Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 71737 

Quarantine Hold Requirements.’’ The 

guidance document addresses certain 

requirements that apply to blood 

establishments that collect blood and 

blood components, including Source 

Plasma. Specifically, the guidance 

explains the conditions under which 

FDA does not intend to take regulatory 

action for a blood establishment’s 

failure to comply with certain 

requirements in Title 21 of the Code of 

Federal Regulations (21 CFR 630.30) 

regarding donation suitability; 21 CFR 

630.10(c)(2) regarding donor eligibility; 

and 21 CFR 640.69(f) regarding 

quarantine hold for Source Plasma. 

In the Federal Register of May 24, 

2022 (87 FR 31440), FDA announced the 

availability of the draft guidance of the 

same title dated May 2022. FDA 

received several comments on the draft 

guidance and those comments were 

considered as the guidance was 

finalized. A summary of changes 

includes clarifying the format of the 

report discussed in the guidance and 

clarifying the scope of the compliance 

policy. In addition, editorial changes 

were made to improve clarity. The 

guidance announced in this document 

finalizes the draft guidance dated May 

2022, and supersedes the guidance 

entitled ‘‘Alternative Procedures for 

Blood and Blood Components During 

the COVID–19 Public Health 

Emergency; Guidance for Industry,’’ 

dated April 2020. 

This guidance is being issued 

consistent with FDA’s good guidance 

practices regulation (21 CFR 10.115). 

The guidance represents the current 

thinking of FDA on ‘‘Compliance Policy 

Regarding Blood and Blood Component 

Donation Suitability, Donor Eligibility 

and Source Plasma Quarantine Hold 

Requirements.’’ It does not establish any 

rights for any person and is not binding 

on FDA or the public. You can use an 

alternative approach if it satisfies the 

requirements of the applicable statutes 

and regulations. 

II. Paperwork Reduction Act of 1995 

This guidance contains information 

collection provisions that are subject to 

review by the Office of Management and 

Budget (OMB) under the Paperwork 

Reduction Act of 1995 (44 U.S.C. 3501– 

3521). The collections of information 

have been approved under OMB control 

number 0910–0116. This guidance also 

refers to previously approved FDA 

collections of information. The 

collections of information in 21 CFR 

part 601 have been approved under 

OMB control number 0910–0338 and 

the collections of information in 21 CFR 

parts 606, 630, and 640 have been 

approved under OMB control number 

0910–0116. 

III. Electronic Access 

Persons with access to the internet 

may obtain the guidance at https://

www.fda.gov/vaccines-blood-biologics/ 

guidance-compliance-regulatoryinformation-biologics/biologicsguidances, https://www.fda.gov/ 

regulatory-information/search-fdaguidance-documents, or https://

www.regulations.gov. 

Dated: October 10, 2023. 

Lauren K. Roth, 

Associate Commissioner for Policy. 

[FR Doc. 2023–22957 Filed 10–17–23; 8:45 am] 

BILLING CODE 4164–01–P 

DEPARTMENT OF STATE 

22 CFR Part 171 

[Public Notice 12153] 

RIN 1400–AE00 

Public Access to Information 

AGENCY: Department of State. 

ACTION: Final rule. 

SUMMARY: The Department of State (the 

Department) finalizes the proposed rule 

it published on March 3, 2020, relating 

to the availability to the public of 

information that is under the control of 

the Department. These changes were 

prompted by changes in the law 

governing disclosure of such 

information, including the Freedom of 

Information Act Improvement Act of 

2016. This final rule reflects changes in 

the FOIA and consequent changes in the 

Department’s procedures since the last 

major revision of the Department’s 

regulations on public access to 

information, which occurred in 2016. 

DATES: This rule is effective on 

November 17, 2023. 

FOR FURTHER INFORMATION CONTACT: 

Kellie Robinson, Office of Information 

Programs and Services, FOIAstatus@

state.gov, 202–261–8484. 

SUPPLEMENTARY INFORMATION: This rule 

finalizes the Notice of Proposed 

Rulemaking that was published on 

March 3, 2020. 85 FR 13104. It 

implements the Freedom of Information 

Act (FOIA) Improvement Act of 2016, 

Public Law 114–185, and updates the 

Department’s FOIA regulations at 22 

CFR part 171. The following summary 

of the substantive changes to Part 171 

was included in the NPRM but is 

provided here for convenience. 

The rule, in § 171.4, provides updated 

procedures and addresses for submitting 

FOIA requests to the Department, 

including procedures for requesting 

information about the requester and 

requests for visa information. 

Subpart B of the rule (§§ 171.10 

through 171.17) contains the rules 

governing the processing of a FOIA 

request. Section 171.11 covers the 

Department’s initial processing of a 

request; it clarifies the information that 

is to be provided as part of a request, the 

Department’s process for responding to 

requests, and consultation and referral 

with respect to requests. Section 171.12 

covers the timing of responses to a 

request, including multi-track 

processing, expedited processing, and 

‘‘unusual circumstances’’ (as defined in 

the FOIA) that might affect the 

Department’s ability to respond. Section 

171.13 covers responses to requests, 

including the procedures upon denial of 

a request. The updates add a provision 

for consultation with the Department of 

Justice’s Office of Information Policy 

with respect to invocation of a FOIA 

exclusion. Section 171.14 modifies the 

Department’s process with respect to 

reviews of confidential commercial 

information, including procedures for 

the owner of the information to object 

to the release of the information. 

Section 171.15 revises the timeline for 

submission of appeals to 90 days and 

provides for information to be given to 

requesters about dispute resolution 

services at various stages of the 

processing of a request, in accordance 

with the FOIA Improvement Act of 

2016. Section 171.16 provides updates 

on the fees to be charged for FOIA 

requests, including how fees are 

calculated. This section provides an 

updated explanation of the term, 

‘‘representative of the news media.’’ 

Subpart C contains the rule’s Privacy 

Act provisions. There are two 

substantive changes in this subpart from 

that published in the NPRM. The first 

relates to a Privacy Act exemption that 

was published after the NPRM was 

published. See the final rule on March 

9, 2020, ‘‘Privacy Act; STATE–01, Email 

Archive Management Records,’’ 85 FR 

13482. This SORN was added to the 

lists in paragraph (a)(2)(iii), and (b)(1), 

(2), (3), (4), (5), (6) and (7). However, the 

Department has now determined that 

this item was added in error, and the 

Department is removing STATE–01 

from the lists of Privacy Act exemptions 

in §§ 171.26(a)(2)(iii), (b)(2), (b)(3), 

(b)(4), (b)(5), (b)(6), and (b)(7). The 

reason for this action is that the 

Department has determined that its 

email records do not constitute a system 

of records under the Privacy Act; 

therefore, STATE–01, ‘‘Email Archive 

Management Records’’, will be 


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1 76 FR 76103, finalized at 80 FR 1847. 

2See also ‘‘Guidance for Agency FOIA 

Regulations’’ at https://www.justice.gov/oip/oipguidance/guidance-agency-foia-regulations (last 

accessed March 30, 2021) 

rescinded. The Department finds that 

there is good cause for making this 

amendment subsequent to the Notice of 

Proposed Rulemaking. Since STATE–01 

will be rescinded as not describing a 

system of records under the Privacy Act, 

it must be removed from the lists in 

§ 171.26. 

Also in Subpart C, there is a change 

relating to the ‘‘Risk Analysis and 

Management’’ System of Records Notice 

(SORN) (STATE–78), which was 

established in 2011.1 At the time, it 

appeared that the Department 

anticipated sending and receiving 

classified national security name checks 

on some individuals. For that reason, 

this Department provided notice that 

this SORN would be exempt from 

certain portions of the Privacy Act, 

including § 552a(k)(1), which exempts 

records from certain provisions of the 

Privacy Act if the records are classified 

records subject to the provisions of 5 

U.S.C. 552(b)(1). As it turned out, no 

classified records have been, or will be, 

included in STATE–78. Therefore, the 

exemption is not required, and the 

Department is removing it from the list 

in § 171.26(b)(1). Although this is a new 

action taken since the proposed rule 

was published, the Department believes 

that public comment thereon is not 

required since the Department is 

removing, not imposing, a Privacy Act 

exemption, and it is in the public 

interest for such action to be concluded 

expeditiously. 

In Subpart D, the rule adds 

information about processing of requests 

for confidential financial disclosure 

reports. 

Finally, the final rule makes minor 

changes throughout, to conform more 

closely to the Department of Justice 

Office of Information Policy (OIP) 

Template for Agency FOIA Regulations, 

https://www.justice.gov/oip/templateagency-foia-regulations (the ‘‘OIP 

Template’’) 2 and to implement 

operational lessons learned since the 

last major revision of the Department’s 

FOIA regulations on April 6, 2016. See 

‘‘Public Access to Information’’, 81 FR 

19863. The names of two Department 

bureaus have changed since publication 

of the NPRM: the Bureau of Human 

Resources is now the Bureau of Global 

Talent Management; and the Office of 

Medical Services is now the Bureau of 

Medical Services. 

Response to Public Comments 

The Department would like to thank 

the members of the public for reviewing 

the proposed changes to the FOIA and 

Privacy Act regulations, and for 

providing very useful feedback. The 

Department received 10 substantive 

comments, which were contained in 

two documents, from the International 

Refugee Assistance Project (IRAP) and 

the Immigration Reform Law Institute 

(IRLI). The Department also received 

four submissions that were 

nonresponsive, in that they had nothing 

to do with the proposed rule. 

First public comment: 

IRAP stated that it is concerned about 

the lack of explanation or justification 

by the Department for the proposed 

changes to its FOIA regulations. 

Department response: 

As noted in the proposed rule, there 

have been changes in the law governing 

disclosure of information, including the 

Freedom of Information Act 

Improvement Act of 2016. The 

Department is revising its FOIA 

regulations to make them consistent 

with the FOIA Improvement Act of 2016 

and current law, policy, and the 

Department of Justice, Office of 

Information Policy, template for agency 

FOIA regulations. 

Second public comment: 

IRAP suggests that the proposed rule 

in § 171.4(a)(7), Proof of Third-Party 

Consent, contains too broad a discretion 

to effectively deny requests, without any 

substantive standard or procedural 

safeguards to ensure that the 

Department’s denial is appropriate. 

IRAP further contends that the 

Department did not take into account 

the difficulties this could impose on 

some requesters considering the burden 

the requirements for obtaining such 

records can be in the immigration 

context. These requesters are often 

overseas in difficult circumstances as 

they await the results of their 

application for resettlement in the 

United States and may face the possible 

struggle to find safe and affordable 

access to a printer and scanner, notary, 

and postal service. 

Department response: 

With respect to requests for thirdparty records, § 171.4(a)(7) provides that 

‘‘a requester may receive greater access 

by submitting a notarized authorization 

signed by the person whose records are 

requested, or by submitting a 

declaration made in compliance with 

the requirements set forth in 28 U.S.C. 

1746 by the person whose records are 

requested, authorizing disclosure of the 

records to the requester, or by 

submitting proof that the third party is 

deceased (e.g., a copy of a death 

certificate or an obituary).’’ The rule 

does not require the requester to 

produce all these items. In fact, the rule 

does not say that the requester must 

produce any of the items, but that there 

might be a more expeditious response if 

more information is presented. The 

provisions of this rule are intended to 

advise the requester of the type of 

documentation to submit to ensure the 

most expeditious release of responsive 

records, while still protecting the 

privacy of the individual to whom the 

records pertain. It is not intended to 

deny the disclosure of records. 

The Department agrees to remove the 

text, ‘‘As an exercise of administrative 

discretion, the Department may require 

a requester to supply additional 

information in order to verify that a 

particular individual has consented to 

disclosure or is deceased.’’ 

Pertaining to requests for visa records 

(§ 171.4(a)(8)), the requirements have 

been simplified. The Department has 

eliminated the requirement for the 

submission of the country and Foreign 

Service post where the visa application 

was made; when the visa application 

was made; and whether the visa 

application was granted or denied (and 

if denied, on what grounds). 

The Department’s public FOIA 

website provides requesters with further 

information regarding the electronic 

submission of their request and 

supplemental documentation, thereby 

eliminating the need for a requester to 

have access to a printer, scanner, notary, 

or postal service. The Department does 

not see a need to make any revisions to 

this section. 

Third public comment: 

IRAP notes that the proposed rule text 

in proposed § 171.4(a)(8), Documents in 

Visa Files Not Within 212(f), omits 

language in the current regulations on 

visa-related requests. Specifically, it 

omits what types of records may be 

released. IRAP suggests that the change 

expands the scope of the exemption and 

has the potential to harm applicants by 

preventing them from obtaining 

important notices about benefits and 

leaving them without a means to obtain 

those documents. 

Department response: 

The Department will add the 

following text to the end of § 171.4(a)(8): 

‘‘Other information found in the visa 

file, such as information submitted as 

part of the visa application and 

information not falling within section 

222(f) or another FOIA exemption, may 

be provided to the requester.’’ 

Fourth public comment: 

IRAP suggests that the proposed rule 

in § 171.4(b), Description of Records 


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Sought, adds text that would give the 

Department broad discretion to deny or 

delay requests that are not able to meet 

this high standard of specificity. Also, 

IRAP contends that a requester may be 

able to provide some specifics regarding 

the topic matter but will not be able to 

provide such details as the author, file 

designation, or reference number of 

records that have never before been 

made publicly available. 

Department response: 

A request must reasonably describe 

the Department record(s) that the 

requester seeks. Requesters must 

describe the records sought in sufficient 

detail to enable agency personnel to 

locate them with a reasonable amount of 

effort. If a requester submits a request 

that meets the criteria, the request will 

be processed. If after receiving a request 

the Department determines that the 

request does not reasonably describe the 

records sought, the Department will 

inform the requester that the request is 

insufficient and may ask for additional 

information. FOIA calls for as much 

specificity as requesters can provide; if 

the Department cannot identify the 

record, it cannot act on the request, and 

it is up to requesters to identify what 

records they are seeking (see FOIA 

subsections (a)(1)–(3) and (b)). In 

addition, the proposed section is drawn 

directly from the DOJ Template, Section 

III. The final rule is consistent with 

current law, policy, and the OIP 

Template. 

Fifth public comment: 

IRAP is concerned that the proposed 

regulation on expedited processing 

(proposed § 171.12(d), Grounds for 

Expedited Processing), removes the text 

‘‘compelling need’’ as a factor in 

expedited processing. 

Department response: 

The Department agrees to revise the 

text to state that ‘‘requests shall receive 

expedited processing when a requester 

demonstrates that a ‘compelling need’ 

for the information exists. A ‘compelling 

need’ is deemed to exist where the 

requester can demonstrate one of the 

following:’’ 

Sixth public comment: 

IRAP stated that the proposed text in 

§ 171.12(d)(4), Timeline to Appeal 

Denial of Expedited Processing, removes 

language in the current regulations 

about a timeline for appealing a denial 

of expedited processing and provides 

only that ‘‘[i]f a request for expedited 

processing is denied, the Department 

must act on any appeal of that decision 

expeditiously.’’ 

Department response: 

The Department agrees to revise the 

text to state that ‘‘A denial of a request 

for expedited processing may be 

appealed within 90 calendar days of the 

date of the Department’s letter denying 

the request. A decision in writing on the 

appeal will be issued within 10 calendar 

days of the receipt of the appeal.’’ 

Seventh public comment: 

Regarding proposed § 171.14(c)(1–2), 

When Notice to Submitters Is Not 

Required, IRAP states that the 

‘‘Department does not provide a reason 

why it would not provide individual 

notifications to ensure that all 

submitters were informed, rather than 

‘likely’ to be informed, of the 

‘descri[ption] of the business 

information requested’ or ‘copy of the 

requested records or record portions 

containing the information’ in the 

notice.’’ 

Department response: 

The Department proposed the change 

to the rule as a way of facilitating 

handling notifications when there are 

voluminous responses. However, after 

review, the Department will delete the 

additional text. 

Eighth public comment: 

In proposed § 171.15(a)(1), Incorrect 

Citation, IRAP states that the proposed 

text for § 171.15(a)(1) cites to examples 

of adverse determination in § 171.13(d) 

of the proposed text. The text should 

cite to the proposed § 171.13(e). 

Department response: 

The Department agrees to revise the 

incorrect citation at § 171.15(a)(1) from 

§ 171.13(d) to § 171.13(e). 

Ninth public comment: 

IRAP states that, in § 171.16, Costs of 

Search and Review Time, the proposed 

text for § 171.16(b)(5) and § 171.16(b)(6) 

removes provisions in the current 

regulations for costs of search and 

review time and a quota of pages 

provided free of charge. The commenter 

is concerned that this will impact 

certain categories of requesters when 

they do not meet the criteria for those 

who are not charged fees. 

Department response: 

The Department will add the 

following text as the penultimate 

sentence of § 171.16(b)(5): 

‘‘Noncommercial scientific institution 

requesters will not be charged for search 

and review time, and the first 100 pages 

of the duplication will be provided free 

of charge.’’ The Department will add the 

following text as the penultimate 

sentence of § 171.16(b)(6): ‘‘A 

representative of the news media will 

not be charged for search and review 

time, and the first 100 pages of the 

duplication will be provided free of 

charge.’’ 

Tenth public comment: 

The Immigration Reform Law Institute 

(IRLI) is ‘‘primarily interested in the 

effect the proposed rule will have on 

public interest waiver FOIA 

procedures.’’ 

Department response: 

The text of §§ 171.16(j)(1)–(4) sets 

forth the requirements for waiver or 

reduction of fees. These sections are 

consistent with the FOIA and comply 

with the OIP Template. The Department 

is unaware of any reason why the 

revised rule would have any effect on 

public interest waivers of fees. 

Regulatory Findings 

Administrative Procedure Act 

The Department published this rule 

under the provisions of 5 U.S.C. 553 and 

provided for a 60-day public comment 

period. 

Regulatory Flexibility Act 

The Department of State, in 

accordance with the Regulatory 

Flexibility Act, 5 U.S.C. 605(b), has 

reviewed this regulation and, by 

approving it, certifies that this rule will 

not have a significant economic impact 

on a substantial number of small 

entities. 

Unfunded Mandates Act of 1995 

This rule will not result in the 

expenditure by State, local, and tribal 

governments, in the aggregate, or by the 

private sector, of $100 million or more 

in any year, and it will not significantly 

or uniquely affect small governments. 

Therefore, no actions were deemed 

necessary under the provisions of the 

Unfunded Mandates Reform Act of 

1995. 

Congressional Review Act 

This rule is not a major rule as 

defined by section 804 of the Small 

Business Regulatory Enforcement 

Fairness Act of 1996. 

Executive Order 12988—Civil Justice 

Reform 

The Department has reviewed this 

regulation in light of Executive Order 

12988 to eliminate ambiguity, minimize 

litigation, establish clear legal 

standards, and reduce burden. 

Executive Orders 12372 and 13132— 

Federalism 

This regulation will not have 

substantial direct effects on the States, 

on the relationship between the national 

government and the States, or on the 

distribution of power and 

responsibilities among the various 

levels of government. Therefore, in 

accordance with Executive Order 13132, 

it is determined that this rule does not 

have sufficient federalism implications 

to require consultations or warrant the 

preparation of a federalism summary 


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impact statement. The regulations 

implementing Executive Order 12372 

regarding intergovernmental 

consultation on Federal programs and 

activities do not apply to this regulation. 

Executive Order 13175—Consultation 

and Coordination With Indian Tribal 

Governments 

The Department has determined that 

this rulemaking will not have tribal 

implications, will not impose 

substantial direct compliance costs on 

Indian tribal governments, and will not 

pre-empt tribal law. Accordingly, the 

requirements of Executive Order 13175 

do not apply to this rulemaking. 

Executive Orders 12866 (Regulatory 

Planning and Review), 13563 

(Improving Regulation and Regulatory 

Review), and 14094 (Modernizing 

Regulatory Review) 

The Department has considered this 

rule in light of these Executive Orders 

and affirms that this regulation is 

consistent with the guidance therein. 

The Office of Management and Budget 

has designated this rule as significant 

under E.O. 12866, as amended. The 

benefits of this rulemaking for the 

public include: providing the public 

with an up-to-date procedure for 

requesting information from the 

Department that is consistent with the 

FOIA Improvement Act of 2016, 

updating its procedures for 

communicating electronically with 

requesters, including in its 

acknowledgment a brief description of 

the records sought to allow requesters to 

more easily keep track of their requests, 

adding a provision that the Department 

may divide a multi-part request into 

multiple requests to facilitate 

processing, adding a provision for 

consultation with the Department of 

Justice’s Office of Information Policy 

with respect to invocation of a FOIA 

exclusion, providing information 

regarding the reasons for a denial and 

any FOIA exemptions applied in 

denying the request, revising the 

timeline for submission of appeals to 90 

days, providing requesters with 

information regarding assistance 

available from the Department’s FOIA 

Public Liaison and the dispute 

resolution services offered by the Office 

of Government Information Services 

(OGIS), updating information on the 

fees to be charged for FOIA requests, 

and updating its description of 

‘‘representative of the news media,’’ The 

Department is aware of no cost to the 

public from this rulemaking. 

Paperwork Reduction Act 

This rule does not impose or revise 

any reporting or recordkeeping 

requirements subject to the Paperwork 

Reduction Act, 44 U.S.C. Chapter 35. 

List of Subjects in 22 CFR Part 171 

Administrative practice and 

procedure, Freedom of Information, 

Privacy. 

■ 1. For the reasons set forth in the 

preamble, 22 CFR part 171 is revised to 

read as follows: 

PART 171—PUBLIC ACCESS TO 

INFORMATION 

Subpart A—General Policy and Procedures 

Sec. 

171.1 General provisions. 

171.2 Types of records maintained. 

171.3 Records available on the 

Department’s website. 

171.4 Requests for information—types and 

how made. 

171.5 Archival records. 

Subpart B—Freedom of Information Act 

Provisions 

171.10 Purpose and scope. 

171.11 Processing requests. 

171.12 Timing of responses to requests. 

171.13 Responses to requests. 

171.14 Confidential commercial 

information. 

171.15 Administrative appeals. 

171.16 Fees to be charged. 

171.17 Preservation of records. 

Subpart C—Privacy Act Provisions 

171.20 Purpose and scope. 

171.21 Definitions. 

171.22 Request for access to records. 

171.23 Request to amend or correct records. 

171.24 Request for an accounting of record 

disclosures. 

171.25 Appeals from denials of PA 

amendment requests. 

171.26 Exemptions. 

Subpart D—Access to Financial Disclosure 

Reports 

171.30 Purpose and scope. 

171.31 Requests for Public Financial 

Disclosure Reports—OGE Form 278. 

171.32 Denial of Public Access to 

Confidential Financial Disclosure 

Reports—OGE Form 450. 

Authority: 22 U.S.C. 2651a; 5 U.S.C. 552, 

552a; E.O. 12600 (52 FR 23781); Pub. L. 114– 

185; Pub. L. 95–521, 92 Stat. 1824 (codified 

as amended at 5 U.S.C. Ch. 131); 5 CFR part 

2634. 

Subpart A—General Policy and 

Procedures 

§ 171.1 General provisions. 

(a) In General. This part contains the 

rules that the Department of State and 

the Foreign Service Grievance Board 

(FSGB), an independent body, follow in 

processing requests for records under 

the Freedom of Information Act (FOIA), 

as amended, 5 U.S.C. 552, and the 

Privacy Act of 1974 (PA), as amended, 

5 U.S.C. 552a. These rules should be 

read in conjunction with the text of the 

FOIA, the PA, and the Uniform Freedom 

of Information Fee Schedule and 

Guidelines published by the Office of 

Management and Budget (‘‘OMB 

Guidelines’’). 

(b) Definitions. For purposes of 

subparts A and B of this part, 

Component means the offices that 

respond directly to requests concerning 

records under their jurisdiction: the 

Office of Inspector General; the Bureau 

of Consular Affairs’ Directorates for Visa 

Services, Passport Services, and 

Overseas Citizens Services; the Bureau 

of Diplomatic Security; the Bureau of 

Global Talent Management; the Bureau 

of Medical Services; and the Foreign 

Service Grievance Board. 

Control means the Department’s legal 

authority over a record, taking into 

account the ability of the Department to 

use and dispose of the record, the intent 

of the record’s creator to retain or 

relinquish control over the record, the 

extent to which Department personnel 

have read or relied upon the record, and 

the degree to which the record has been 

integrated into the Department’s recordkeeping systems or files. 

Department means the United States 

Department of State, including its field 

offices, Foreign Service posts abroad, 

and its components. This part does not 

address FOIA requests to the U.S. 

Agency for International Development 

(USAID). Requesters should visit 

USAID’s website for further 

information. 

Record means information regardless 

of its physical form or characteristics— 

including information created, stored, 

and retrievable by electronic means— 

that is created or obtained by the 

Department and under the control of the 

Department at the time of the request, 

including information maintained for 

the Department by an entity under 

government contract for records 

management purposes. It does not 

include records that are not already in 

existence and that would have to be 

created specifically to respond to a 

request. 

§ 171.2 Types of records maintained. 

Most of the records maintained by the 

Department pertain to the formulation 

and execution of U.S. foreign policy. 

The Department also maintains certain 

records that pertain to individuals, such 

as applications for U.S. passports, 

applications for U.S. visas, records on 

consular assistance given abroad by U.S. 

Foreign Service posts to U.S. citizens 


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and lawful permanent residents, and 

records on Department employees. 

Further information on the types of 

records maintained by the Department 

may be obtained by reviewing the 

Department’s records disposition 

schedules, which are available on the 

Department’s FOIA website at 

www.foia.state.gov. 

§ 171.3 Records available on the 

Department’s website. 

(a) Records that are required by the 

FOIA to be made available for public 

inspection in an electronic format under 

5 U.S.C. 552(a)(2) also are available on 

the Department’s public website. 

Included on the Department’s FOIA 

home page, www.foia.state.gov, are links 

to other sites where Department 

information may be available and to the 

Department’s records disposition 

schedules. Also available on the FOIA 

website are certain records released by 

the Department pursuant to requests 

under the FOIA and compilations of 

records reviewed and released in certain 

special projects. Links to the 

Department’s Privacy Act System of 

Records Notices are available at 

www.state.gov/privacy. In addition, see 

22 CFR part 173 regarding release 

within the United States of public 

diplomacy program material generated 

pursuant to the U.S. Information and 

Educational Exchange Act of 1948, as 

amended (22 U.S.C. 1431, et seq., also 

referred to as the Smith-Mundt Act). 

(b) The Department’s Office of 

Inspector General (OIG) is responsible 

for determining which of its records are 

required to be made publicly available 

on its website at www.stateoig.gov. OIG 

will ensure that its website of posted 

records and indices is reviewed and 

updated on an ongoing basis. 

§ 171.4 Requests for information—types 

and how made. 

(a) General Information. (1) Requests 

for records made in accordance with 

this part must be made in writing. FOIA 

requests may be made to the Office of 

Information Programs and Services (A/ 

GIS/IPS) by email to foiarequest@

state.gov, through the Department’s 

FOIA website (www.foia.state.gov/), by 

fax to (202) 485–1669, or by mail to the 

address below. PA requests must be 

made in writing and signed, and the 

requester’s signature must be either 

notarized or made under penalty of 

perjury pursuant to 28 U.S.C. 1746. See 

§ 171.22(a). PA requests may be made to 

A/GIS/IPS by email to foiarequest@

state.gov, by fax to (202) 485–1669, or 

by mail. FOIA and PA requests made by 

mail should be addressed to: Office of 

Information Programs and Services (A/ 

GIS/IPS), Room B–266, U.S. Department 

of State, 2201 C Street NW, Washington, 

DC 20520. 

(2) Requests for passport records 

covered under PA System of Records 

Notice STATE–26 (available at 

www.state.gov/system-of-recordsnotices-privacy-office/) must be made in 

writing, and may be submitted directly 

to the Law Enforcement Liaison 

Division of the Passport Services 

directorate (PPT) of the Bureau of 

Consular Affairs by mailing the request 

to U.S. Department of State, Office of 

Law Enforcement Liaison, FOIA Officer, 

44132 Mercure Circle, P.O. Box 1227, 

Sterling, VA 20166–1227. Requests for 

passport records and information that 

do not need to be certified may also be 

emailed to PPT-Public-FOIARequests@

state.gov. 

(3) Requests for records of the OIG 

must be made in writing, and may be 

submitted via email to foia@

stateoig.gov, by fax to 703–284–1866, or 

by mail addressed to FOIA Officer, 

Officer of General Counsel, Office of 

Inspector General, U.S. Department of 

State, 1700 N Moore Street, Suite 1400, 

Arlington, VA 22209. Submission by 

email is preferred. Guidance and contact 

information are available on the OIG’s 

website at www.stateoig.gov/foiarequest. 

(4) The Office of Information 

Programs and Services, the Law 

Enforcement Liaison Division of the 

Passport Services directorate, and the 

OIG are the only Department 

components authorized to accept FOIA 

and PA requests submitted to the 

Department. 

(5) The requester should provide the 

specific citation to the authority under 

which he or she is requesting 

information (e.g., the FOIA, the PA, or 

Mandatory Declassification Review 

(MDR) under the current Executive 

Order on classification). This will 

facilitate the processing of the request. 

When individual U.S. citizens and 

lawful permanent residents request 

access to records about themselves, the 

Department processes responsive 

records maintained in Privacy Act 

systems of records under both the FOIA 

and the PA to provide requesters with 

the greatest degree of access to the 

records. Information in such records 

will be withheld only if it is exempt 

from access under both laws; if the 

information is exempt under only one of 

the laws, it will be released. Responsive 

records that are not maintained in a 

Privacy Act system of records are 

processed only under the FOIA. 

(6) A requester who requests records 

about himself or herself, including 

passport records, must comply with the 

verification of identity requirements as 

set forth in § 171.22 of Subpart C (the 

Privacy Act Provisions) of this part in 

order for the request to be processed 

under the PA. 

(7) Where a request for records 

pertains to a third party or to a 

requester’s own records outside of a 

request under the Privacy Act, a 

requester may receive greater access by 

submitting a notarized authorization 

signed by the person whose records are 

requested, or by submitting a 

declaration made in compliance with 

the requirements set forth in 28 U.S.C. 

1746 by the person whose records are 

requested, authorizing disclosure of the 

records to the requester, or by 

submitting proof that the third party is 

deceased (e.g., a copy of a death 

certificate or an obituary). 

(8) The Immigration and Nationality 

Act, as amended, section 222(f) (8 

U.S.C. 1202(f)), provides that the 

records of the Department of State and 

of diplomatic and consular offices of the 

United States pertaining to the issuance 

or refusal of visas or permits to enter the 

United States must be considered 

confidential and shall be used only for 

certain enumerated purposes, including 

the formulation, amendment, 

administration, or enforcement of the 

immigration, nationality, and other laws 

of the United States. As a result, 

information subject to release in 

response to a request for visa records 

about an individual may be limited. 

Requests for visa records should include 

the following information for the 

applicant and, if applicable, the 

petitioner: full name, as well as any 

aliases used; current address; email; and 

date and place of birth (including city, 

state, and country). Additional 

information describing the records 

sought will assist the Department in 

properly identifying the responsive 

records and in processing the request. 

Attorneys or other legal representatives 

requesting visa information on behalf of 

a visa applicant should submit a 

statement with the request signed by the 

applicant (and the petitioner if the 

records sought pertain to a petition) 

authorizing release of the requested visa 

information to the representative. 

Alternatively, requesters may submit a 

DS–4240–R to certify their identity or a 

DS–4240–C to provide authorization by 

the applicant (and the petitioner if the 

records sought pertain to a petition) to 

release the requested information to the 

legal representative. Forms created by 

other Federal agencies will not be 

accepted. Other information found in 

the visa file, such as information 

submitted as part of the visa application 

and information not falling within 

section 222(f) or another FOIA 


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exemption, may be provided to the 

requester. 

(b) Description of records sought. 

Although no particular format is 

required, a request must reasonably 

describe the Department record(s) that 

the requester seeks. Requesters must 

describe the records sought in sufficient 

detail to enable agency personnel to 

locate them with a reasonable amount of 

effort. To the extent possible, requesters 

should include specific information that 

may assist the Department in identifying 

the requested record(s), such as the date, 

title or name, author, recipient, subject 

matter, case number, file designation 

reference number, or timeframe. If after 

receiving a request the Department 

determines that the request does not 

reasonably describe the records sought, 

the Department will inform the 

requester that the request is insufficient 

and shall inform the requester what 

additional information is needed or why 

the request is otherwise insufficient. If 

a request does not reasonably describe 

the records sought, the agency’s 

response to the request may be delayed. 

Any records provided in response to a 

request will be provided in the form or 

format requested if a releasable form of 

the records is readily reproducible in 

that form or format. Requesters must 

provide contact information, such as 

their phone number, email address, 

and/or mailing address, to assist the 

Department in communicating with 

them and providing released records. 

(c) Privacy Act versus FOIA. While 

the Department makes every effort to 

provide the greatest possible access to 

all requested records regardless of the 

statute(s) under which the information 

is requested, the following guidance is 

provided for the benefit of requesters: 

(1) The Freedom of Information Act 

applies to requests for records 

concerning the general activities of 

government and of the Department in 

particular (see subpart B of this part). 

(2) The Privacy Act applies to 

requests from U.S. citizens or lawful 

permanent residents for records about 

them that are maintained by the 

Department in a system of records 

retrievable by the individual’s name or 

personal identifier (see subpart C of this 

part). 

§ 171.5 Archival records. 

The Department ordinarily transfers 

records designated as historically 

significant to the National Archives 

when they are 25 years old. 

Accordingly, requests for some 

Department records 25 years old or 

older should be submitted to the 

National Archives by mail addressed to 

Special Access and FOIA Staff (RD–F), 

National Archives at College Park, 8601 

Adelphi Road, Room 5500, College Park, 

MD 20740–6001; by fax to (301) 837– 

1864; or by email to specialaccess_foia@

nara.gov. The Department’s website, 

www.foia.state.gov, has additional 

information regarding archival records. 

Subpart B—Freedom of Information 

Act Provisions 

§ 171.10 Purpose and scope. 

This subpart contains the rules that 

the Department follows under the 

Freedom of Information Act (FOIA) as 

amended, 5 U.S.C. 552. The rules 

should be read together with the FOIA, 

which provides additional information 

about access to records and contains the 

specific exemptions that are applicable 

for withholding information; the 

Uniform Freedom of Information Fee 

Schedule and Guidelines published by 

the Office of Management and Budget 

(OMB Guidelines) (see www.justice.gov/ 

oip/foia-resources#s5); and information 

located at www.foia.state.gov. 

§ 171.11 Processing requests. 

(a) In general. (1) The Office of 

Information Programs and Services (A/ 

GIS/IPS) is responsible for initial action 

on all FOIA requests for Department 

records, with two exceptions: requests 

seeking records under the purview of 

the Office of Inspector General (OIG), 

which receives and processes requests 

for OIG records (see § 171.4 (a)(3)); and 

requests seeking records under the 

purview of the Law Enforcement 

Liaison Division of the Passport 

Services directorate of the Bureau of 

Consular Affairs (CA), which receives 

and processes requests for certain 

consular records (see § 171.4 (a)(2)). 

(2) For requests for which A/GIS/IPS 

is responsible for initial action, A/GIS/ 

IPS will issue all initial decisions on 

whether a request is valid (or has 

subsequently been perfected) and 

whether to grant or deny requests for a 

fee waiver or for expedited processing. 

(3) After A/GIS/IPS takes initial 

action, all requests for records coming 

under the jurisdiction of the following 

components are processed by those 

components, although A/GIS/IPS may 

provide review and coordination 

support to these components in some 

situations: the Directorates for Visa 

Services, Passport Services, and 

Overseas Citizens Services, in the 

Bureau of Consular Affairs; the Bureau 

of Diplomatic Security; the Bureau of 

Global Talent Management; and the 

Bureau of Medical Services. 

Additionally, the Foreign Service 

Grievance Board (FSGB), as an 

independent body, processes all FOIA 

requests seeking access to its records 

and responds directly to requesters. 

(b) Receipt of request. The 

Department is in receipt of a request 

when the request is received by A/GIS/ 

IPS, OIG, or PPT, depending on which 

office is the proper recipient. At that 

time, the Department must send an 

acknowledgement letter to the requester 

that identifies the date of receipt of the 

request in the proper office (A/GIS/IPS, 

OIG, or PPT), and the case tracking 

number. When one of these offices 

determines that a request was 

misdirected within the Department, that 

office must promptly route the request 

to the proper office(s) within the 

Department. 

(c) Cut-off date and exclusions. In 

determining which records are 

responsive to a request, the Department 

ordinarily will include only records in 

its possession as of the date of initiation 

of the search for responsive records, 

unless the requester has specified an 

earlier cut-off date. A record that is 

excluded from the requirements of the 

FOIA pursuant to 5 U.S.C. 552(c) is not 

considered responsive to a request. 

(d) Consultation, referral, and 

coordination. When reviewing records 

located in response to a request, the 

component processing the request will 

determine whether another agency of 

the Federal Government is better able to 

determine whether the record is exempt 

from disclosure under the FOIA. As to 

any such record, the component must 

proceed in one of the following ways: 

(1) Consultation. When records 

originated with the Department, but 

contain within them information of 

interest to another agency or other 

Federal Government office, the 

component processing the request 

should typically consult with that other 

entity prior to making a release 

determination. 

(2) Referral. (i) When the component 

processing the request believes that a 

different Department component or 

other Federal Government agency is 

better able to determine whether to 

disclose the record, the component 

processing the request typically should 

refer the responsibility for responding to 

the request regarding that record to that 

component or agency, as long as the 

referral is to an entity subject to the 

FOIA. Ordinarily, the agency that 

originated the record will be presumed 

to be best able to make the disclosure 

determination. However, if the 

component processing the request and 

the originating agency jointly agree that 

the former is in the better position to 

respond regarding the record, then the 

record may be handled as a 

consultation. 


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(ii) Whenever the component 

processing the request refers any part of 

the responsibility for responding to a 

request to another entity, the component 

must document the referral, maintain a 

copy of the record that it refers, and 

notify the requester of the referral and 

inform the requester of the name(s) of 

the entity to which the record was 

referred, including that entity’s FOIA 

contact information. 

(3) Coordination. The standard 

referral procedure is not appropriate 

where disclosure of the identity of the 

component or agency to which the 

referral would be made could harm an 

interest protected by an applicable 

exemption, such as the exemptions that 

protect personal privacy or national 

security interests. For example, if a nonlaw enforcement component responding 

to a request for records on a living third 

party locates within its files records 

originating with a law enforcement 

agency, and if the existence of that law 

enforcement interest in the third party 

was not publicly known, then to 

disclose that law enforcement interest 

could cause an unwarranted invasion of 

the personal privacy of the third party. 

Similarly, if a component locates within 

its files material originating with an 

Intelligence Community agency, and the 

involvement of that agency in the matter 

is classified and not publicly 

acknowledged, then to disclose or give 

attribution to the involvement of that 

Intelligence Community agency could 

cause national security harm. In such 

instances, in order to avoid harm to an 

interest protected by an applicable 

exemption, the component that received 

the request should coordinate with the 

originating component or agency to seek 

its views on the whether the record may 

be disclosed. The release determination 

for the record that is the subject of the 

coordination will be conveyed to the 

requester by the component that 

originally received the request. 

(e) Timing of responses to 

consultations and referrals. All 

consultations and referrals received by 

the Department will be handled 

according to the date that the perfected 

FOIA request was received by the first 

agency. 

(f) Agreements regarding 

consultations and referrals. The 

Department may make agreements with 

other agencies to eliminate, reduce, or 

streamline the need for consultations or 

referrals for particular types of records. 

§ 171.12 Timing of responses to requests. 

(a) In general. The Department 

ordinarily will respond to requests in 

the order received. In instances 

involving misdirected requests that are 

re-routed pursuant to § 171.11 (b), the 

response time will commence on the 

date that the request is received by the 

proper office that is designated to 

receive requests (A/GIS/IPS, OIG or 

PPT), but in any event not later than 10 

working days after the request is first 

received by any of these three offices. 

(b) Multi-track processing. The 

Department has a specific track for 

requests that are granted expedited 

processing, in accordance with the 

standards that are set forth in paragraph 

(d) of this section. An intake office (A/ 

GIS/IPS, OIG, or PPT) may also 

designate additional processing tracks 

that, for example, distinguish between 

simple and more complex requests 

based on the estimated amount of work 

and/or time needed to process the 

request. Among the factors that may also 

be considered are the number of records 

requested, the number of pages involved 

in processing the request, and the need 

for consultations or referrals. The 

Department must advise requesters of 

the track in which their request falls 

and, when appropriate, should offer the 

requesters an opportunity to narrow 

their request so that it can be placed in 

a different processing track. 

(c) Unusual circumstances. Whenever 

the statutory time limit for processing a 

request cannot be met because of 

unusual circumstances, as defined in 

the FOIA, and the Department extends 

the time limit on that basis, the 

Department must, before expiration of 

the 20-day period to respond, notify the 

requester in writing of the unusual 

circumstances involved. Where the 

extension exceeds 10 working days, the 

Department must, as described by the 

FOIA, provide the requester with an 

opportunity to modify the request or 

arrange an alternative time period for 

processing the original or a modified 

request. The Department must make 

available its designated FOIA contact 

and FOIA Public Liaison for this 

purpose (see foia.state.gov/contact/). In 

the written notice to the requester, the 

Department must also alert the requester 

to the availability of the Office of 

Government Information Services to 

provide dispute resolution services. 

(d) Expedited processing. (1) Requests 

shall receive expedited processing when 

a requester demonstrates that a 

compelling need for the information 

exists. A compelling need is deemed to 

exist when the requester can 

demonstrate one of the following: 

(i) Failure to obtain requested records 

on an expedited basis could reasonably 

be expected to pose an imminent threat 

to the life or physical safety of an 

individual; 

(ii) With respect to a request made by 

a person primarily engaged in 

disseminating information, there exists 

an urgency to inform the public 

concerning actual or alleged Federal 

Government activity; or 

(iii) Failure to release the information 

would impair substantial due process 

rights or harm substantial humanitarian 

interests. 

(2) A request for expedited processing 

may be made at the time of the initial 

request for records or at any later time. 

Requests for expedited processing must 

be submitted to the office responsible 

for receiving the FOIA request (A/GIS/ 

IPS, OIG, or PPT). When making a 

request for expedited processing of an 

administrative appeal, the request must 

be submitted to A/GIS/IPS, or OIG in 

the case of appeals of OIG decisions (see 

§ 171.15). A Department FOIA office 

that receives a misdirected request for 

expedited processing must forward it 

promptly to the correct office 

responsible for receiving requests (A/ 

GIS/IPS, OIG, or PPT) for its 

determination. The time period for 

making the determination on the request 

for expedited processing commences on 

the date that the correct office receives 

the request, provided that the 

Department will be considered to have 

received the request for expedited 

processing no more than 10 working 

days after the request for expedited 

processing is received by A/GIS/IPS, 

OIG, or PPT. 

(3) A requester who seeks expedited 

processing must submit a statement, 

certified to be true and correct, 

explaining in detail the basis for making 

the request for expedited processing. 

For example, under paragraph (d)(1)(ii) 

of this section, a requester who is not a 

full-time member of the news media 

must establish that the requester is a 

person whose primary professional 

activity or occupation is information 

dissemination, though it need not be the 

requester’s sole occupation. Such a 

requester also must establish a 

particular urgency to inform the public 

about the government activity involved 

in the request—one that extends beyond 

the public’s right to know about 

government activity generally. The 

existence of numerous articles 

published on a given subject can be 

helpful in establishing the requirement 

that there be an ‘‘urgency to inform’’ the 

public on the topic. As a matter of 

administrative discretion, the 

Department may waive the formal 

certification requirement. 

(4) A notice of the determination 

whether to grant expedited processing 

must be provided to the requester 

within 10 calendar days of the date of 


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the receipt of the request for expedited 

processing in the appropriate office 

(whether A/GIS/IPS, OIG, or PPT). If 

expedited processing is granted, the 

request must be given priority, placed in 

the processing track for expedited 

requests, and processed as soon as 

practicable. A denial of a request for 

expedited processing may be appealed 

within 90 calendar days of the date of 

the Department’s letter denying the 

request. A decision in writing on the 

appeal will be issued within 10 calendar 

days of the receipt of the appeal. 

§ 171.13 Responses to requests. 

(a) In general. The Department will, to 

the extent practicable, communicate 

with requesters having access to the 

internet using electronic means, such as 

email or a web portal. 

(b) Acknowledgment of requests. The 

Department must acknowledge the 

request in writing and assign it an 

individualized tracking number if it will 

take longer than 10 working days to 

process. The Department must include 

in the acknowledgment a brief 

description of the records sought to 

allow requesters to more easily keep 

track of their requests. The Department 

may in its discretion divide a multi-part 

request into multiple requests in order 

to facilitate processing. 

(c) Estimated dates of completion and 

interim responses. Upon request, the 

Department will provide an estimated 

date by which the Department expects 

to provide a response to the requester. 

If a request involves a voluminous 

amount of material, or searches in 

multiple locations, the agency may 

provide interim responses, releasing the 

records on a rolling basis. 

(d) Grants of requests. Once the 

Department makes a determination to 

grant a request in full or in part, it must 

notify the requester in writing. The 

Department also must inform the 

requester of any fees charged under 

§ 171.16 and must disclose the 

requested records to the requester 

promptly upon payment of any 

applicable fees. The Department must 

inform the requester of the availability 

of the FOIA Public Liaison to offer 

assistance. 

(e) Adverse determinations of 

requests. If the Department makes an 

adverse determination denying a request 

in any respect, it must notify the 

requester of that determination in 

writing. Adverse determinations, or 

denials of requests, include decisions 

that: the requested record is exempt 

from disclosure, in whole or in part; the 

request does not reasonably describe the 

records sought; the information 

requested is not a record subject to the 

FOIA; the requested record does not 

exist, cannot be located, or has been 

destroyed; or the requested record is not 

readily reproducible in the form or 

format sought by the requester. Adverse 

determinations also include denials 

involving fees or fee waiver matters or 

denials of requests for expedited 

processing. 

(f) Content of denial. The denial must 

be signed by the head of the component 

processing the request, or designee, and 

must include: 

(1) The name and title or position of 

the person responsible for the denial; 

(2) A brief statement of the reasons for 

the denial, including any FOIA 

exemptions applied in denying the 

request; 

(3) An estimate of the volume of any 

records or information withheld, such 

as the number of pages or some other 

reasonable form of estimation, although 

such an estimate is not required if the 

volume is otherwise indicated by 

deletions marked on records that are 

disclosed in part or if providing an 

estimate would harm an interest 

protected by an applicable exemption; 

(4) A statement that the denial may be 

appealed under § 171.15 and a 

description of the requirements set forth 

therein; and 

(5) A statement notifying the requester 

of the assistance available from the 

Department’s FOIA Public Liaison and 

the dispute resolution services offered 

by the Office of Government 

Information Services of the National 

Archives and Records Administration. 

(g) Markings on released documents. 

Markings on released documents must 

be clearly visible to the requester. 

Records disclosed in part must be 

marked to show the amount of 

information deleted and the exemption 

under which the deletion was made 

unless doing so would harm an interest 

protected by an applicable exemption. 

The location of the information deleted 

must also be indicated on the record, if 

technically feasible. 

(h) Use of record exclusions. (1) In the 

event that the Department identifies 

records that may be subject to exclusion 

from the requirements of the FOIA 

pursuant to 5 U.S.C. 552(c), A/GIS/IPS 

or OIG must confer with the Department 

of Justice, Office of Information Policy 

to obtain approval to apply the 

exclusion. 

(2) Any time the Department invokes 

an exclusion, it must maintain an 

administrative record of the process of 

invocation and approval of the 

exclusion by OIP. 

§ 171.14 Confidential commercial 

information. 

(a) Definitions. The following 

definitions apply for purposes of this 

section: 

Confidential commercial information 

means commercial or financial 

information obtained by the Department 

from a submitter that may be exempt 

from disclosure under Exemption 4 of 

the FOIA, 5 U.S.C. 552(b)(4). 

Submitter means any person or entity 

from which the Department obtains 

confidential commercial information, 

directly or indirectly. The term includes 

corporations, partnerships, and sole 

proprietorships; state, local, and tribal 

governments; foreign governments; 

NGOs; and educational institutions. 

This term does not include another 

Federal Government entity. 

(b) Designation of confidential 

commercial information. A submitter of 

confidential commercial information 

must use good-faith efforts to designate 

by appropriate markings at the time of 

submission any portions of its 

submission that it considers exempt 

from disclosure under FOIA Exemption 

4. These designations expire ten years 

after the date of the submission unless 

the submitter requests, and provides 

justification for, a longer designation 

period. 

(c) Notice to submitters. (1) The 

Department must provide a submitter 

with prompt written notice whenever 

records containing its confidential 

commercial information are requested 

under the FOIA if the agency 

determines that it may be required to 

disclose the records, provided: 

(i) The information has been 

designated in good faith by the 

submitter as information considered 

exempt from disclosure under 

Exemption 4; or 

(ii) The Department has reason to 

believe that the requested information 

may be exempt from disclosure under 

Exemption 4 but has not yet determined 

whether the information is protected 

from disclosure. 

(2) The notice must either describe 

the confidential commercial information 

requested or include a copy of the 

requested records or record portions 

containing the information. 

(d) When notice is not required. The 

notice requirements of this section do 

not apply if: 

(1) The Department determines that 

the information is exempt from 

disclosure under the FOIA and, 

therefore, will not be disclosed; 

(2) The information has been lawfully 

published or has been officially made 

available to the public; 


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(3) Disclosure of the information is 

required by statute (other than the 

FOIA) or by a regulation issued in 

accordance with the requirements of 

Executive Order 12600; or 

(4) The designation made by the 

submitter under paragraph (b) of this 

section appears obviously frivolous. In 

such a case, the Department must give 

the submitter written notice of any final 

decision to disclose the information a 

reasonable number of days prior to a 

specified disclosure date. 

(e) Opportunity to object to disclosure. 

The Department must allow a submitter 

a reasonable time to respond to the 

notice described in paragraph (c) of this 

section and must specify that time 

period in the notice. If a submitter has 

any objections to disclosure, it should 

provide the Department a detailed 

written statement that specifies all 

grounds for withholding the particular 

information under any exemption of the 

FOIA. In order to rely on Exemption 4 

as basis for nondisclosure, the submitter 

must explain why the information 

constitutes a trade secret or commercial 

or financial information that is 

privileged or confidential. If a submitter 

fails to respond to the notice within the 

time specified in it, the submitter will 

be considered to have no objection to 

disclosure of the information. The 

Department is not required to consider 

any information received after any 

disclosure decision. Information 

provided by a submitter under this 

subpart may itself be subject to 

disclosure under the FOIA. 

(f) Notice of intent to disclose. The 

Department will consider a submitter’s 

objections and specific grounds for 

nondisclosure in deciding whether to 

disclose confidential commercial 

information. Whenever the Department 

decides to disclose information over the 

objection of a submitter, it must give the 

submitter written notice, which must 

include: 

(1) A statement of the reason(s) why 

each of the submitter’s disclosure 

objections was not sustained; 

(2) A description of the information to 

be disclosed or copies of the records as 

the Department intends to release them; 

and 

(3) A specified disclosure date, which 

must be a reasonable time after the 

notice. 

(g) Notice of FOIA lawsuit. Whenever 

a requester files a lawsuit seeking to 

compel the disclosure of confidential 

commercial information, the 

Department must promptly notify the 

submitter. 

(h) Notice to requester. The 

Department must notify the requester 

whenever it provides a submitter with 

notice and an opportunity to object to 

disclosure; whenever it notifies a 

submitter of its intent to disclose 

requested information; and whenever a 

submitter files a lawsuit seeking to 

prevent the disclosure of the requested 

information. 

§ 171.15 Administrative appeals. 

(a) Requirements for making an 

appeal. (1) Requesters may appeal any 

adverse determinations made on their 

FOIA request by the Department. 

Examples of adverse determinations are 

provided in § 171.13(e). The requester 

must make the appeal in writing and to 

be considered timely it must be 

postmarked, or in the case of electronic 

submissions, transmitted, within 90 

calendar days after the date of the 

adverse determination. The appeal must 

clearly identify the component’s 

determination that is being appealed 

and the assigned request number. To 

facilitate handling, the requester should 

mark both the appeal letter and 

envelope, or subject line of the 

electronic transmission, ‘‘Freedom of 

Information Act Appeal.’’ 

(2) To appeal any adverse 

determinations made by A/GIS/IPS or a 

component other than OIG, requesters 

must submit an administrative appeal to 

the A/GIS/IPS FOIA Appeals Office 

using any of the following methods: by 

mail to the Appeals Officer, Office of 

Information Programs and Services (A/ 

GIS/IPS), Room B–266, U.S. Department 

of State, 2201 C Street NW, Washington, 

DC 20520; by fax to (202) 485–1718; or 

by email to FOIAAppeals@state.gov. 

(3) To appeal any adverse 

determinations made by OIG, requesters 

must submit an administrative appeal to 

OIG via email to foia@stateoig.gov, by 

fax to 703–284–1866, or by mail 

addressed to the FOIA Officer, Officer of 

General Counsel, Office of Inspector 

General, U.S. Department of State, 1700 

N Moore Street, Suite 1400, Arlington, 

VA 22209. Contact information for OIG 

is available on OIG’s FOIA website at 

www.stateoig.gov/foiaappeals. For those 

cases in which both A/GIS/IPS and OIG 

provided written denials to the 

requester, the requester may 

administratively appeal to both A/GIS/ 

IPS and OIG and each office will handle 

its respective portion of the appeal. 

(4) To appeal any adverse 

determinations made by the FSGB, 

requesters must submit an 

administrative appeal to A/GIS/IPS 

using the methods listed above in 

paragraph (2). A/GIS/IPS will assign a 

tracking number to the appeal and 

forward it to the FSGB, which is an 

independent body, for adjudication. 

(b) Adjudication of appeals. (1) The 

A/GIS/IPS Director or designee will act 

on behalf of the Assistant Secretary for 

Administration on all appeals of A/GIS/ 

IPS FOIA determinations under this 

section. Likewise, the General Counsel 

of OIG or his/her designee will act on 

behalf of the Inspector General on all 

appeals of OIG FOIA determinations 

under this section. 

(2) An appeal ordinarily will not be 

adjudicated if the request becomes a 

matter of FOIA litigation. 

(c) Decisions on appeals. The 

Department must provide its decision 

on an appeal in writing. A decision that 

upholds the Department’s determination 

in whole or in part must include a brief 

statement of the reason for the 

affirmance, including any FOIA 

exemptions applied. The decision must 

inform the requester that the decision 

represents the final decision of the 

Department; must advise the requester 

of the statutory right to file a lawsuit; 

and must inform the requester of the 

dispute resolution services offered by 

the Office of Government Information 

Services of the National Archives and 

Records Administration (OGIS) as a 

non-exclusive alternative to litigation. If 

a decision is remanded or modified on 

appeal, the requester will be notified in 

writing. The appropriate component 

will then further process the request in 

accordance with that appeal 

determination and respond directly to 

the requester. 

(d) Engaging in dispute resolution 

services provided by OGIS. Dispute 

resolution is a voluntary process. If a 

component agrees to participate in the 

dispute resolution services provided by 

OGIS, it will actively engage as a partner 

to the process in an attempt to resolve 

the dispute. 

(e) When appeal is required. Before 

seeking review by a court of the 

Department’s adverse determination, a 

requester generally must first submit a 

timely administrative appeal. 

§ 171.16 Fees to be charged. 

(a) In general. The Department will 

charge fees for processing requests 

under the FOIA in accordance with the 

provisions of this section and with the 

OMB Guidelines. For purposes of 

assessing fees, the FOIA establishes 

three categories of requesters: (1) 

commercial use requesters, (2) noncommercial scientific or educational 

institutions or news media requesters, 

and (3) all other requesters. Different 

fees are assessed depending on the 

category. Requesters may seek a fee 

waiver. The Department considers fee 

waivers in accordance with the 

requirements set forth below. To resolve 


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any issues that arise under this section, 

the Department may contact a requester 

for additional information. The 

Department must use the most efficient 

and least costly methods to comply with 

requests for records made under the 

FOIA. The Department shall attempt to 

notify the requester if fees are estimated 

to exceed $25.00, unless the requester 

has expressed a willingness to pay fees 

as high as those anticipated. Such 

notification shall include a breakdown 

of the fees for search, review, and 

duplication. The Department ordinarily 

will collect all applicable fees before 

sending copies of records to a requester. 

Requesters must pay fees by check or 

money order made payable to the 

Treasury of the United States, or by 

another method as determined by the 

Department. 

(b) Definitions. For purposes of this 

section: 

Charging fees. In responding to FOIA 

requests, the Department will charge the 

following fees unless a waiver or 

reduction of fees has been granted under 

paragraph (j) of this section. Because the 

fee amounts provided below already 

account for the direct costs associated 

with a given fee type, the Department 

should not add any additional costs to 

charges calculated under this section. 

Commercial use request is a request 

that asks for information for a use or 

purpose that furthers a commercial, 

trade, or profit interest, which can 

include furthering those interests 

through litigation. The Department’s 

decision to place a requester in the 

commercial use category will be made 

on a case-by-case basis based on the 

requester’s intended use of the 

information. The Department will notify 

requesters of their placement in this 

category. 

Direct costs are those expenses the 

Department incurs in searching for, 

duplicating, and, in the case of 

commercial use requests, reviewing 

records in response to a FOIA request. 

For example, direct costs include the 

salary of the employee performing the 

work (i.e., the basic rate of pay for the 

employee, plus 16 percent of that rate to 

cover benefits) and the cost of operating 

computers and other electronic 

equipment, such as photocopiers and 

scanners. The term does not include 

overhead expenses such as the costs of 

space and of heating or lighting of a 

facility. 

Duplication is reproducing a copy of 

a record, or of the information contained 

in it, necessary to respond to a FOIA 

request. Copies can take the form of 

paper, audiovisual materials, or 

electronic records, among others. 

Educational institution is any school 

that operates a program of scholarly 

research. A requester in this category 

must show that the request is made in 

connection with the requester’s role at 

the educational institution. The 

Department may seek verification from 

the requester that the request is in 

furtherance of scholarly research. The 

Department will advise requesters of 

their placement in this category. 

Non-commercial scientific institution 

is an institution that is not operated on 

a ‘‘commercial’’ basis, as defined in 

paragraph (b)(1) of this section, and 

which is operated solely for the purpose 

of conducting scientific research the 

results of which are not intended to 

promote any particular product or 

industry. A requester in this category 

must show that the request is authorized 

by and is made under the auspices of a 

qualifying institution and that the 

records are sought to further scientific 

research and are not for a commercial 

use. Noncommercial scientific 

institution requesters will not be 

charged for search and review time, and 

the first 100 pages of the duplication 

will be provided free of charge. The 

Department will advise requesters of 

their placement in this category. 

Representative of the news media is 

any person or entity that gathers 

information of potential interest to a 

segment of the public, uses its editorial 

skills to turn the raw materials into a 

distinct work, and distributes that work 

to an audience. The term ‘‘news’’ means 

information that is about current events 

or that would be of current interest to 

the public. Examples of news media 

entities include television or radio 

stations that broadcast news to the 

public at large and publishers of 

periodicals that disseminate news and 

make their products available through a 

variety of means to the general public, 

including news organizations that 

disseminate solely on the internet. A 

request for records supporting the newsdissemination function of the requester 

shall not be considered to be for a 

commercial use. Freelance journalists 

who demonstrate a solid basis for 

expecting publication through a news 

media entity shall be considered as a 

representative of the news media. A 

publishing contract would provide the 

clearest evidence that publication is 

expected; however, the Department 

shall also consider a requester’s past 

publication record in making this 

determination. A representative of the 

news media will not be charged for 

search and review time, and the first 

100 pages of the duplication will be 

provided free of charge. The Department 

will advise requesters of their placement 

in this category. 

Review is the examination of a record 

located in response to a request to 

determine whether any portion of it is 

exempt from disclosure. Review time 

includes processing any record for 

disclosure, such as doing all that is 

necessary to prepare the record for 

disclosure, including the process of 

redacting the record and marking the 

appropriate exemptions. Review costs 

are properly charged even if a record 

ultimately is not disclosed. Review time 

also includes time spent both obtaining 

and considering any formal objection to 

disclosure made by a confidential 

commercial information submitter 

under § 171.14 but it does not include 

time spent resolving general legal or 

policy issues regarding the application 

of exemptions. 

Search is the process of looking for, 

identifying, and retrieving records or 

information responsive to a request. 

Search time includes page-by-page or 

line-by-line identification of 

information within records and the 

reasonable efforts expended to locate 

and retrieve information from electronic 

records. 

(i) Requests made by educational 

institutions, non-commercial scientific 

institutions, or representatives of the 

news media are not subject to search 

fees. Search fees shall be charged for all 

other requesters, subject to the 

restrictions of paragraph (j) of this 

section. The Department may properly 

charge for time spent searching even if 

responsive records are not located, or if 

records are determined to be entirely 

exempt from disclosure. 

(ii) For each hour spent by personnel 

searching for requested records, the fees 

shall be as stated at the following 

website: foia.state.gov/Request/ 

Guide.aspx (section VII, ‘‘Fees’’) and 

www.stateoig.gov/foiafees for OIG 

requested records. 

(iii) For requests that require the 

retrieval of records stored by the 

Department at a Federal records center 

operated by the National Archives and 

Records Administration (NARA), the 

Department will charge additional costs 

in accordance with the Transactional 

Billing Rate Schedule established by 

NARA. 

(2) Review. The Department will 

charge review fees to requesters who 

make commercial use requests. Review 

fees will be assessed in connection with 

the initial review of the record, i.e., the 

review conducted to determine whether 

an exemption applies to a particular 

record or portion of a record. No charge 

will be made for review at the 

administrative appeal stage of 


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exemptions applied at the initial review 

stage. However, if a particular 

exemption is deemed to no longer 

apply, any costs associated with the 

Department’s re-review of the records in 

order to consider the use of other 

exemptions may be assessed as review 

fees. Review fees shall be charged at the 

same rates as those charged for a search 

under paragraph (c)(1)(ii) of this section. 

(3) Duplication. The Department will 

charge duplication fees to all requesters, 

subject to the restrictions of paragraph 

(d) of this section. The Department must 

honor a requester’s preference for 

receiving a record in a particular form 

or format where it is readily 

reproducible by the Department in the 

form or format requested. The 

Department charges the direct costs of 

producing the copy, including operator 

time. Where paper documents must be 

scanned in order to comply with a 

requester’s preference to receive the 

records in an electronic format, the 

requester must also pay the direct costs 

associated with scanning those 

materials. Duplication fees are as stated 

at the following website: foia.state.gov/ 

Request/Guide.aspx (section VII, 

‘‘Fees’’). 

(d) Restrictions on charging fees. (1) 

The Department will not charge search 

fees for requests by educational 

institutions, non-commercial scientific 

institutions, or representatives of the 

news media, unless the records are 

sought for a commercial use. 

(2) If the Department fails to comply 

with the FOIA’s time limits in which to 

respond to a request, it may not charge 

search fees, or, in the instances of 

requests from requesters described in 

paragraph (d)(1) of this section, may not 

charge duplication fees, except as 

described in paragraphs (d)(2)(i) through 

(iii) of this section. 

(i) If the Department has determined 

that unusual circumstances as defined 

by the FOIA apply and the agency 

provided timely written notice to the 

requester in accordance with the FOIA, 

a failure to comply with the time limit 

is excused for an additional 10 days. 

(ii) If the Department has determined 

that unusual circumstances as defined 

by the FOIA apply, and more than 5,000 

pages are necessary to respond to the 

request, the Department may charge 

search fees, or, in the case of requesters 

described in paragraph (d)(1) of this 

section, may charge duplication fees, if 

the following steps are taken. The 

Department must have provided timely 

written notice of unusual circumstances 

to the requester in accordance with the 

FOIA, and the Department must have 

discussed with the requester via written 

mail, email, or telephone (or made not 

less than three good-faith attempts to do 

so) how the requester could effectively 

limit the scope of the request in 

accordance with 5 U.S.C. 

552(a)(6)(B)(ii). If this exception is 

satisfied, the Department may charge all 

applicable fees incurred in the 

processing of the request. 

(iii) If a court has determined that 

exceptional circumstances exist as 

defined by the FOIA, a failure to comply 

with the time limits shall be excused for 

the length of time provided by the court 

order. 

(3) Except for requesters seeking 

records for a commercial use, the 

Department must provide without 

charge: 

(i) the first 100 pages of duplication 

(or the cost equivalent for other media); 

and 

(ii) the first two hours of search. 

(4) When, after deducting the 100 free 

pages (or its cost equivalent) and the 

first two hours of search, the total fee 

calculated under paragraph (c) of this 

section is $25.00 or less, no fee will be 

charged. 

(5) Apart from the stated provisions 

regarding waiver or reduction of fees, 

see paragraph (j) of this section, the 

Department may in its sole discretion 

decide to not assess fees or to reduce 

them if it is in the best interests of the 

government not to do so. 

(e) Notice of anticipated fees in excess 

of $25.00. (1) When the Department 

determines or estimates that the fees to 

be assessed in accordance with this 

section will exceed $25.00, the 

Department must notify the requester of 

the actual or estimated amount of the 

fees, including a breakdown of the fees 

for search, review, or duplication, 

unless the requester has indicated a 

willingness to pay fees as high as those 

anticipated. If only a portion of the fee 

can be estimated readily, the 

Department will advise the requester 

accordingly. If the request is not for 

commercial use, the notice will specify 

that the requester is entitled to the 

statutory entitlement of 100 pages of 

duplication at no charge and, if the 

requester is charged search fees, two 

hours of search time at no charge, and 

will advise the requester whether those 

entitlements have been provided. 

(2) In cases in which the Department 

has notified the requester that the actual 

or estimated fees are in excess of $25.00, 

the request will not be considered 

received and further work will not be 

completed until the requester commits 

in writing to pay the actual or estimated 

total fee, or designates an amount of fees 

the requester is willing to pay, or in the 

case of a noncommercial use requester 

who has not yet been provided with the 

requester’s statutory entitlements, 

designates that the requester seeks only 

that which can be provided by the 

statutory entitlements. The requester 

must provide the commitment or 

designation in writing, and must, when 

applicable, designate an exact dollar 

amount the requester is willing to pay. 

The Department is not required to 

accept payments in installments. 

(3) If the requester has indicated a 

willingness to pay some designated 

amount of fees, but the Department 

estimates that the total fee will exceed 

that amount, the Department will toll 

the processing of the request when it 

notifies the requester of the estimated 

fees in excess of the amount the 

requester has indicated a willingness to 

pay. The Department will inquire 

whether the requester wishes to revise 

the amount of fees the requester is 

willing to pay or modify the request. 

Once the requester responds, the time to 

respond will resume from where it was 

at the date of the notification. 

(4) The Department must make 

available its FOIA Public Liaison or 

other FOIA professional to assist any 

requester in reformulating a request to 

meet the requester’s needs at a lower 

cost. 

(f) Charges for other services. 

Although not required to provide 

special services, if a component chooses 

to do so as a matter of administrative 

discretion, the direct costs of providing 

the service shall be charged. Examples 

of such services include certifying that 

records are true copies, providing 

multiple copies of the same document, 

or sending records by means other than 

first class mail. 

(g) Charging interest. The Department 

may charge interest on any unpaid bill 

starting on the 31st day following the 

date the bill was sent to the requester. 

Interest charges will be assessed at the 

rate provided in 31 U.S.C. 3717 and 

shall accrue from the date of the billing 

until payment is received by the 

Department. The fact that a fee has been 

received by the Department within the 

thirty-day grace period, even if not 

processed, shall stay the accrual of 

interest. The Department must follow 

the provisions of the Debt Collection 

Act of 1982 (Pub. L. 97–365, 96 Stat. 

1749), as amended, and its 

administrative procedures, including 

the use of consumer reporting agencies, 

collection agencies, and offset. 

(h) Aggregating requests. When the 

Department reasonably believes that a 

requester or a group of requesters acting 

in concert is attempting to divide a 

single request into a series of requests 

for the purpose of avoiding fees, the 

Department may aggregate those 


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requests and charge accordingly. The 

Department may presume that multiple 

requests of this type made within a 30- 

day period have been made in order to 

avoid fees. For requests separated by a 

longer period, components will 

aggregate them only where there is a 

reasonable basis for determining that 

aggregation is warranted in view of all 

the circumstances involved. Multiple 

requests involving unrelated matters 

cannot be aggregated. 

(i) Advance payments. (1) For 

requests other than those described in 

paragraphs (i)(2) or (i)(3) of this section, 

the Department cannot require a 

requester to make an advance payment 

before work is commenced or continued 

on a request. Payment owed for work 

already completed (i.e., payment before 

copies are sent to the requester) is not 

advance payment. 

(2) When the Department estimates or 

determines that a total fee to be charged 

under this section will exceed $250, it 

may require that the requester make an 

advance payment up to the amount of 

the entire anticipated fee before 

beginning to process the request. The 

Department may elect to process the 

request prior to collecting fees when it 

receives a satisfactory assurance of full 

payment from a requester with a history 

of prompt payment. 

(3) Where a requester has previously 

failed to pay FOIA fees to any 

component within 30 calendar days of 

the date of its billing, the Department 

may require the requester to pay the full 

amount due, plus any applicable 

interest on that prior request, and to 

make an advance payment of the full 

amount of any anticipated fee before the 

Department begins to process a new 

request or continues to process a 

pending request or any appeal from that 

requester. Where the Department has a 

reasonable basis to believe that a 

requester has misrepresented the 

requester’s identity in order to avoid 

paying outstanding fees, it may require 

that the requester provide proof of 

identity. Additionally, if a requester has 

failed to pay FOIA fees to another U.S. 

Government agency in a FOIA case, the 

Department may require proof that such 

fee has been paid before processing a 

new or pending request from that 

requester. 

(4) In cases in which the Department 

requires advance payment, the request 

will not be considered received and 

further work will not be completed until 

the required payment is received. If the 

requester does not pay the advance 

payment within 30 calendar days after 

the date of the Department’s fee 

determination, the request will be 

closed. 

(j) Requirements for waiver or 

reduction of fees. (1) Requesters may 

seek a waiver of fees by submitting a 

written application demonstrating how 

disclosure of the requested information 

is in the public interest because it is 

likely to contribute significantly to 

public understanding of the operations 

or activities of the government and is 

not primarily in the commercial interest 

of the requester. 

(2) The Department must furnish 

records responsive to a request without 

charge or at a reduced rate when it 

determines, based on all available 

information, that the factors described 

in paragraphs (j)(2)(i) through (iii) of 

this section are satisfied: 

(i) Disclosure of the requested 

information would shed light on the 

operations or activities of the 

government. The subject of the request 

must concern identifiable operations or 

activities of the Federal Government 

with a connection that is direct and 

clear, not remote or attenuated. 

(ii) Disclosure of the requested 

information is likely to contribute 

significantly to public understanding of 

those operations or activities. This 

factor is satisfied when the following 

criteria are met: 

(A) Disclosure of the requested 

records must be meaningfully 

informative about government 

operations or activities. The disclosure 

of information that already is in the 

public domain, in either the same or a 

substantially identical form, would not 

be meaningfully informative if nothing 

new would be added to the public’s 

understanding. 

(B) The disclosure must contribute to 

the understanding of a reasonably broad 

audience of persons interested in the 

subject, as opposed to the individual 

understanding of the requester. A 

requester’s expertise in the subject area 

as well as the requester’s ability and 

intention to effectively convey 

information to the public shall be 

considered. The Department will 

presume that a representative of the 

news media satisfies this consideration. 

(iii) The disclosure must not be 

primarily in the commercial interest of 

the requester. To determine whether 

disclosure of the information is 

primarily in the commercial interest of 

the requester, the Department will 

consider the following factors: 

(A) The Department must identify 

whether the requester has any 

commercial interest that would be 

furthered by the requested disclosure. 

A commercial interest includes any 

commercial, trade, or profit interest. 

Requesters must be given an 

opportunity to provide explanatory 

information regarding this 

consideration. 

(B) If there is an identified 

commercial interest, the Department 

must determine whether that is the 

primary interest furthered by the 

request. A waiver or reduction of fees is 

justified when the requirement of 

paragraphs (j)(2)(i) and (ii) of this 

section are satisfied and any commercial 

interest is not the primary interest 

furthered by the request. The 

Department ordinarily will presume that 

when a news media requester has 

satisfied the requirements of paragraphs 

(j)(2)(i) and (ii) of this section, the 

request is not primarily in the 

commercial interest of the requester. 

Disclosure to data brokers or others who 

merely compile and market government 

information for direct economic return 

will not be presumed to primarily serve 

the public interest. 

(3) Where only some of the records to 

be released satisfy the requirements for 

a waiver or reduction of fees, a waiver 

or reduction must be granted for those 

records. 

(4) Requests for a waiver or reduction 

of fees should be made when the request 

is first submitted to the Department and 

should address the criteria referenced 

above. A requester may submit a fee 

waiver request at a later time so long as 

the underlying record request is 

pending or on administrative appeal. 

When a requester who has committed to 

pay fees subsequently asks for a waiver 

of those fees and that waiver is denied, 

the requester must pay any costs 

incurred up to the date the fee waiver 

request was received. 

§ 171.17 Preservation of records. 

The Department must preserve all 

correspondence pertaining to the 

requests that it receives under this 

subpart, as well as copies of all 

requested records, until disposition or 

destruction is authorized pursuant to 

title 44 of the United States Code and 

applicable records disposition 

schedules, including the General 

Records Schedule 4.2 of the National 

Archives and Records Administration. 

The Department must not dispose of or 

destroy records while they are the 

subject of a pending request, appeal, or 

lawsuit under the FOIA. 

Subpart C—Privacy Act Provisions 

§ 171.20 Purpose and scope. 

This subpart contains the rules that 

the Department follows when 

implementing certain provisions of the 

Privacy Act of 1974 (PA), as amended, 

5 U.S.C. 552a. These rules should be 

read together with the statute. The rules 


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in this subpart apply to all records in 

systems of records maintained by the 

Department that are retrieved by an 

individual’s name or personal identifier. 

They describe the procedures by which 

individuals may request access to 

records about themselves, request 

amendment or correction of those 

records, and request an accounting of 

disclosures of those records by the 

Department. If any records retrieved 

pursuant to an access request under the 

PA are found to be exempt from access 

under that Act, they will be processed 

for possible disclosure under the 

Freedom of Information Act (FOIA), 5 

U.S.C. 552, as amended. No fees shall be 

charged when an individual requests 

access to or amendment of his or her 

own PA records. 

§ 171.21 Definitions. 

As used in this subpart, the following 

definitions shall apply: 

Individual means a citizen or a lawful 

permanent resident (LPR) of the United 

States. 

Maintain includes maintain, collect, 

use, or disseminate. 

Record means any item, collection, or 

grouping of information about an 

individual that is maintained by the 

Department and that contains the 

individual’s name or the identifying 

number, symbol, or other identifying 

particular assigned to the individual, 

such as a fingerprint, voice print, or 

photograph. 

System of records means a group of 

any records under the control of the 

Department from which information is 

retrieved by the name of an individual 

or by some identifying number, symbol, 

or other identifying particular assigned 

to an individual. 

§ 171.22 Request for access to records. 

(a) In general. Requests for access to 

records under the PA must be made in 

writing and sent to the Office of 

Information Programs and Services, the 

Law Enforcement Liaison Division of 

the Passport Services directorate within 

the Bureau of Consular Affairs, or the 

Office of Inspector General at the 

addresses given in § 171.4. The Director 

of the Office of Information Programs 

and Services (A/GIS/IPS) is responsible 

for acting on all PA requests for 

Department records except for requests 

received directly by the Office of 

Inspector General, which processes its 

own requests for information, and the 

Law Enforcement Liaison Division of 

the Passport Services directorate within 

the Bureau of Consular Affairs, which 

receives directly and processes its own 

PA requests for information as described 

in PA System of Record Notice STATE– 

26. All processing of PA requests 

coming under the jurisdiction of the 

Directorates for Visa Services and 

Overseas Citizens Services in the 

Bureau of Consular Affairs, the Bureau 

of Diplomatic Security, the Bureau of 

Global Talent Management, the Bureau 

of Medical Services, and the Foreign 

Service Grievance Board (FSGB) are 

handled by those bureaus or offices. 

(b) Description of records sought. 

Requests for access should describe the 

requested record(s) in sufficient detail to 

permit identification of the record(s). At 

a minimum, requests should include the 

individual’s full name (including 

maiden name, if appropriate) and any 

other names used, current complete 

mailing address, and date and place of 

birth (city, state, and country). Helpful 

information includes the approximate 

time period of the record and the 

circumstances that give the individual 

reason to believe that the Department 

maintains a record under the 

individual’s name or personal identifier, 

and, if known, the system of records in 

which the record is maintained. In 

certain instances, it may be necessary 

for the Department to request additional 

information from the requester, either to 

ensure a full search, or to ensure that a 

record retrieved does in fact pertain to 

the individual. 

(c) Verification of personal identity. 

The Department will require reasonable 

identification of individuals requesting 

records about themselves under the 

PA’s access provisions to ensure that 

records are only accessed by the proper 

persons. Requesters must state their full 

name, current address, citizenship or 

legal permanent resident alien status, 

and date and place of birth (city, state, 

and country). The request must be 

signed, and the requester’s signature 

must be either notarized or made under 

penalty of perjury pursuant to 28 U.S.C. 

1746. If the requester seeks records 

under another name the requester has 

used, a statement, under penalty of 

perjury, that the requester has also used 

the other name must be included. 

Requesters seeking access to copies of 

the Passport Services’ passport records 

must meet the requirements in 

paragraph (d) of this section. 

(d) Special requirements for passport 

records. Given the sensitive nature of 

passport records and their use, 

requesters seeking access to copies of 

passport records from Passport Services 

under the PA must submit a letter that 

is either notarized or made under 

penalty of perjury pursuant to 28 U.S.C. 

1746, which includes the full name at 

birth and any subsequent name changes 

of the individual whose records are 

being requested (if submitting the 

request on behalf of a minor, provide 

the representative’s full name as well); 

the date and place of birth of the 

individual whose records are being 

requested; the requester’s current 

mailing address; and, if available, 

daytime telephone number and email 

address; the date or estimated date the 

passport(s) was issued; the passport 

number of the person whose records are 

being sought, if known; and any other 

information that will help to locate the 

records. The requester must also include 

a clear copy of both sides of the 

requester’s valid government-issued 

photo identification, e.g., a driver’s 

license. 

(e) Authorized third party access. The 

Department shall process all properly 

authorized third party requests, as 

described in this section, under the PA. 

In the absence of proper authorization 

from the individual to whom the 

records pertain, the Department will 

process third party requests under the 

FOIA. The Department’s forms DS– 

4240–R and DS–4240–C, respectively, 

may be used to certify identity and 

provide third party authorization. Forms 

created by other Federal agencies will 

not be accepted. 

(1) Parents and guardians of minor 

children. Upon presentation of 

acceptable documentation of the 

parental or guardian relationship, a 

parent or guardian of a U.S. citizen or 

LPR minor (an unmarried person under 

the age of 18) may, on behalf of the 

minor, request records under the PA 

pertaining to the minor. In any case, 

U.S. citizen or LPR minors may request 

such records on their own behalf. When 

making a request as the parent or 

guardian of a minor child, for access to 

records about that individual, a 

requester must establish: (1) the identity 

of the individual who is the subject of 

the records, by stating the name, current 

address, date and place of birth; (2) the 

requester’s own identity, as required in 

paragraph (c) of this section; (3) that the 

requester is the parent of that 

individual, which the requester may 

prove by providing a copy of the 

individual’s birth certificate showing 

parentage, or by providing a court order 

establishing guardianship; and (4) that 

the requester is acting on behalf of that 

individual in making the request. 

(2) Guardians of incompetent adults. 

A guardian of an individual who has 

been declared by a court to be 

incompetent may act for and on behalf 

of the incompetent individual upon 

presentation of appropriate 

documentation of the guardian 

relationship. 

(i) Verification of guardianship of 

incompetent adult. When making a 


ddrumheller on DSK120RN23PROD with RULES1
71750 Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 

request as the guardian of someone 

determined by a court to be 

incompetent, for access to records about 

that individual, a requester must 

establish: (1) the identity of the 

individual who is the subject of the 

records, by stating the name, current 

address, date and place of birth; (2) the 

requester’s own identity, as required in 

paragraph (c) of this section; (3) that the 

requester is the guardian of that 

individual, which the requester may 

prove by providing a copy of a court 

order establishing guardianship; and (4) 

that the requester is acting on behalf of 

that individual in making the request. 

(ii) Authorized representatives or 

designees. When an individual wishes 

to authorize the Department to permit a 

third party access to his or her records, 

the individual to whom the records 

pertain must submit, in addition to the 

identity verification information 

described in paragraph (c) (or paragraph 

(d) of this section if the request is for 

passport records), a signed statement 

from the individual to whom the 

records pertain, either notarized or 

made under penalty of perjury pursuant 

to 28 U.S.C. 1746, giving the 

Department authorization to release 

records about the individual to the third 

party. The designated third party must 

submit identity verification information 

described in paragraph (c). Third party 

requesters seeking access to copies of 

the Passport Office’s records must 

submit a clear copy of both sides of a 

valid government-issued photo 

identification (e.g., a driver’s license) in 

addition to the other information 

described above. 

(f) Referrals and consultations. If the 

Department determines that records 

retrieved as responsive to the request 

were created by another agency, it 

ordinarily will refer the records to the 

originating agency for direct response to 

the requester. If the Department 

determines that Department records 

retrieved as responsive to the request 

are of interest to another agency, it may 

consult with the other agency before 

responding to the request. The 

Department may make agreements with 

other agencies to eliminate the need for 

consultations or referrals for particular 

types of records. 

(g) Records relating to civil actions. 

Nothing in this subpart entitles an 

individual to access any information 

compiled in reasonable anticipation of a 

civil action or proceeding. 

(h) Time limits. The Department will 

acknowledge the request promptly and 

furnish the requested information as 

soon as possible thereafter. 

§ 171.23 Request to amend or correct 

records. 

(a) An individual has the right to 

request that the Department amend a 

record pertaining to the individual that 

the individual believes is not accurate, 

relevant, timely, or complete. 

(b) Requests to amend records must be 

in writing and mailed or delivered to A/ 

GIS/IPS or OIG at the address given in 

§ 171.4, with ATTENTION: PRIVACY 

ACT AMENDMENT REQUEST written 

on the envelope. A/GIS/IPS or OIG will 

coordinate the review of the request 

with the appropriate offices under its 

purview. The Department will require 

verification of personal identity as 

provided in § 171.22(c) before it will 

initiate action to amend a record. 

Amendment requests should contain, at 

a minimum, identifying information 

needed to locate the record in question, 

a description of the specific correction 

requested, and an explanation of why 

the existing record is not accurate, 

relevant, timely, or complete. The 

request must be signed, and the 

requester’s signature must be either 

notarized or made under penalty of 

perjury pursuant to 28 U.S.C. 1746. The 

requester should submit as much 

pertinent documentation, other 

information, and explanation as 

possible to support the request for 

amendment. 

(c) All requests for amendments to 

records shall be acknowledged within 

10 working days. 

(d) In reviewing a record in response 

to a request to amend, the Department 

shall review the record to determine if 

it is accurate, relevant, timely, and 

complete. 

(e) If the Department agrees with an 

individual’s request to amend a record, 

it shall: 

(1) Advise the individual in writing of 

its decision; 

(2) Amend the record accordingly; 

and 

(3) If an accounting of disclosure has 

been made, advise all previous 

recipients of the record of the 

amendment and its substance. 

(f) If the Department denies an 

individual’s request to amend a record, 

it shall advise the individual in writing 

of its decision and the reason for the 

refusal, and the procedures for the 

individual to request further review. See 

§ 171.25. 

§ 171.24 Request for an accounting of 

record disclosures. 

(a) How made. Except where 

accountings of disclosures are not 

required to be kept, as set forth in 

paragraph (b) of this section, or where 

accountings of disclosures do not need 

to be provided to a requesting 

individual pursuant to 5 U.S.C. 

552a(c)(3), an individual has a right to 

request an accounting of any disclosure 

that the Department has made to 

another person, organization, or agency 

of any record about such individual, 

provided that the disclosed records are 

maintained in a system of records. This 

accounting shall contain the date, 

nature, and purpose of each disclosure 

as well as the name and address of the 

recipient of the disclosure. Any request 

for accounting should identify each 

particular record in question and may 

be made by writing directly to A/GIS/ 

IPS at the address given in § 171.4. 

(b) Where accountings not required. 

The Department is not required to keep 

an accounting of disclosures in the case 

of: 

(1) Disclosures made to employees 

within the Department who have a need 

for the record in the performance of 

their duties; and 

(2) Disclosures required under the 

FOIA. 

§ 171.25 Appeals from denials of PA 

amendment requests. 

(a) If the Department denies a request 

for amendment of such records, the 

requester shall be informed of the 

reason for the denial and of the right to 

appeal the denial within 90 working 

days of the date of the Department’s 

denial letter. 

(b) For decisions made by A/GIS/IPS, 

requesters should submit their appeal to 

the A/GIS/IPS FOIA Appeals Office 

using any of the following methods: by 

mail to the Appeals Officer, Office of 

Information Programs and Services (A/ 

GIS/IPS), Room B–266, U.S. Department 

of State, 2201 C Street NW, Washington, 

DC 20520; by fax to (202) 485–1718; or 

by email to FOIAAppeals@state.gov. To 

facilitate handling, the requester should 

mark both the appeal letter and 

envelope, or subject line of the 

electronic transmission, ‘‘Privacy Act 

Appeal.’’ 

(c) For decisions made by OIG, 

requesters should submit their appeal to 

the OIG. The contact information for 

OIG is available at www.stateoig.gov/ 

foiaappeals. To facilitate handling, the 

requester should mark both the appeal 

letter and envelope, or subject line of 

the electronic transmission, ‘‘Privacy 

Act Appeal.’’ 

(d) Appellants should submit an 

administrative appeal of any denial, in 

whole or in part, of a request for access 

to FSGB records under the PA to A/GIS/ 

IPS FOIA Appeals Office using any of 

the following methods: by mail to the 

Appeals Officer, Office of Information 

Programs and Services (A/GIS/IPS), 


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Room B–266, U.S. Department of State, 

2201 C Street NW, Washington, DC 

20520; by fax to (202) 485–1718; or by 

email to FOIAAppeals@state.gov. A/ 

GIS/IPS will assign a tracking number to 

the appeal and forward it to the FSGB, 

which is an independent body, for 

adjudication. 

(e) A/GIS/IPS or OIG will decide 

appeals from denials of PA amendment 

requests within 30 working days from 

the date when the appeal is received, 

unless an extension of that period for 

good cause shown is needed. 

(f) Decisions will be made in writing, 

and appellants will receive notification 

of the decision. A reversal will result in 

reprocessing of the request in 

accordance with that decision. An 

affirmance will include a brief statement 

of the reason for the affirmance and will 

inform the appellant that the decision 

represents the final decision of the 

Department and of the right to seek 

judicial review of the decision, when 

applicable. 

(g) If the decision is that a record shall 

be amended in accordance with the 

appellant’s request, A/GIS/IPS or OIG 

shall direct the office under its purview 

that is responsible for the record to 

amend the record, advise all previous 

recipients of the record of the 

amendment and its substance (if an 

accounting of previous disclosures has 

been made), and so advise the 

individual in writing. 

(h) If the decision is that the 

amendment request is denied, in 

addition to the notification required by 

paragraph (f) of this section, A/GIS/IPS 

or OIG shall advise the appellant: 

(1) of the right to file a concise 

Statement of Disagreement stating the 

reasons for disagreement with the 

decision of the Department; 

(2) of the procedures for filing the 

Statement of Disagreement; 

(3) that any Statement of 

Disagreement that is filed will be made 

available to anyone to whom the record 

is subsequently disclosed, together with, 

at the discretion of the Department, a 

brief statement by the Department 

summarizing its reasons for refusing to 

amend the record; 

(4) that prior recipients of the 

disputed record will be provided a copy 

of any statement of disagreement, to the 

extent that an accounting of disclosures 

was maintained. 

(i) If the appellant files a Statement of 

Disagreement under paragraph (h) of 

this section, the Department will clearly 

annotate the record so that the fact that 

the record is disputed is apparent to 

anyone who may subsequently access 

the record. When the disputed record is 

subsequently disclosed, the Department 

will note the dispute and provide a copy 

of the Statement of Disagreement. The 

Department may also include a brief 

summary of the reasons for not 

amending the record. Copies of the 

Department’s statement shall be treated 

as part of the individual’s record for 

granting access; however, it will not be 

subject to amendment by an individual 

under this part. 

§ 171.26 Exemptions. 

Systems of records maintained by the 

Department are authorized to be exempt 

from certain provisions of the PA under 

both general and specific exemptions set 

forth in the Act. In utilizing these 

exemptions, the Department is 

exempting only those portions of 

systems that are necessary for the proper 

functioning of the Department and that 

are consistent with the PA. Where 

compliance would not interfere with or 

adversely affect the law enforcement 

process, and/or where it may be 

appropriate to permit individuals to 

contest the accuracy of the information 

collected, the applicable exemption may 

be waived, either partially or totally, by 

the Department or the OIG, in the sole 

discretion of the Department or the OIG, 

as appropriate. Records exempt under 5 

U.S.C. 552a(j) or (k) by the originator of 

the record remain exempt if 

subsequently incorporated into any 

Department system of records, provided 

the reason for the exemption remains 

valid and necessary. 

(a) General exemptions. If exempt 

records are the subject of an access 

request, the Department will advise the 

requester of their existence and of the 

name and address of the source agency, 

unless that information is itself exempt 

from disclosure. 

(1) Individuals may not have access to 

records maintained by the Department 

that are maintained or originated by the 

Central Intelligence Agency under 5 

U.S.C. 552a(j)(1). 

(2) In accordance with 5 U.S.C. 

552a(j)(2), individuals may not have 

access to records maintained or 

originated by an agency or component 

thereof that performs as its principal 

function any activity pertaining to the 

enforcement of criminal laws, including 

police efforts to prevent, control, or 

reduce crime or to apprehend criminals, 

and the activities of prosecutors, courts, 

correctional, probation, pardon, or 

parole authorities, and which consists 

of: 

(i) Information compiled for the 

purpose of identifying individual 

criminal offenders and alleged offenders 

and consisting only of identifying data 

and notations of arrests, the nature and 

disposition of criminal charges, 

sentencing, confinement, release, and 

parole and probation status; 

(ii) Information compiled for the 

purpose of a criminal investigation, 

including reports of informants and 

investigators, and associated with an 

identifiable individual; or 

(iii) Reports identifiable to an 

individual compiled at any stage of the 

process of enforcement of the criminal 

laws from arrest or indictment through 

release from supervision. The reason for 

invoking these exemptions is to ensure 

effective criminal law enforcement 

processes. Records maintained by the 

Department in the following systems of 

records are exempt from all of the 

provisions of the PA except paragraphs 

(b), (c)(1) and (2), (e)(4)(A) through (F), 

(e)(6), (e)(7), (e)(9), (e)(10), and (e)(11), 

and (i), to the extent to which they meet 

the criteria of section (j)(2) of 5 U.S.C. 

552a. The names of the systems 

correspond to those published in the 

Federal Register by the Department. 

TABLE 1 TO PARAGRAPH (a)(2)(iii) 

Title No. 

Information Access Program Records .......................................................................................................................................... STATE–35. 

Office of Inspector General Investigation Management System .................................................................................................. STATE–53. 

Risk Analysis and Management .................................................................................................................................................... STATE–78. 

Security Records ........................................................................................................................................................................... STATE–36. 

(b) Specific exemptions. Portions of 

the following systems of records are 

exempt from 5 U.S.C. 552a(c)(3), (d), 

(e)(1), and (4), (G), (H), and (I), and (f). 

The names of the systems correspond to 

those published in the Federal Register 

by the Department. 


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71752 Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 

(1) Exempt under 5 U.S.C. 552a(k)(1). 

Records contained within the following 

systems of records are exempt under 

this section to the extent that they are 

subject to the provisions of 5 U.S.C. 

552(b)(1). 

TABLE 2 TO PARAGRAPH (b)(1) 

Title No. 

Board of Appellate Review Records ............................................................................................................................................. STATE–02. 

Congressional Correspondence .................................................................................................................................................... STATE–43. 

Congressional Travel Records ...................................................................................................................................................... STATE–44. 

Coordinator for the Combating of Terrorism Records .................................................................................................................. STATE–06. 

External Research Records .......................................................................................................................................................... STATE–10. 

Extradition Records ....................................................................................................................................................................... STATE–11. 

Family Advocacy Case Records ................................................................................................................................................... STATE–75. 

Foreign Assistance Inspection Records ........................................................................................................................................ STATE–48. 

Human Resources Records .......................................................................................................................................................... STATE–31. 

Information Access Programs Records ......................................................................................................................................... STATE–35. 

Intelligence and Research Records .............................................................................................................................................. STATE–15. 

International Organizations Records ............................................................................................................................................. STATE–17. 

Law of the Sea Records ................................................................................................................................................................ STATE–19. 

Legal Case Management Records ................................................................................................................................................ STATE–21. 

Munitions Control Records ............................................................................................................................................................ STATE–42. 

Office of Inspector General Investigation Management System .................................................................................................. STATE–53. 

Overseas Citizens Services Records ............................................................................................................................................ STATE–05. 

Passport Records .......................................................................................................................................................................... STATE–26. 

Personality Cross Reference Index to the Secretariat Automated Data Index ............................................................................ STATE–28. 

Personality Index to the Central Foreign Policy Records ............................................................................................................. STATE–29. 

Personnel Payroll Records ............................................................................................................................................................ STATE–30. 

Records of Domestic Accounts Receivable .................................................................................................................................. STATE–23. 

Records of the Office of the Assistant Legal Adviser for International Claims and Investment Disputes ................................... STATE–54. 

Records of the Office of White House Liaison .............................................................................................................................. STATE–34. 

Refugee Records ........................................................................................................................................................................... STATE–59. 

Rover Records ............................................................................................................................................................................... STATE–41. 

Security Records ........................................................................................................................................................................... STATE–36. 

Visa Records ................................................................................................................................................................................. STATE–39. 

(2) Exempt under 5 U.S.C. 552a(k)(2). 

Records contained within the following 

systems of records are exempt under 

this section to the extent that they 

consist of investigatory material 

compiled for law enforcement purposes, 

subject to the limitations set forth in 5 

U.S.C. 552a(k)(2). 

TABLE 3 TO PARAGRAPH (b)(2) 

Title No. 

Board of Appellate Review Records ............................................................................................................................................. STATE–02. 

Coordinator for the Combating of Terrorism Records .................................................................................................................. STATE–06. 

Extradition Records ....................................................................................................................................................................... STATE–11. 

Family Advocacy Case Records ................................................................................................................................................... STATE–75. 

Foreign Assistance Inspection Records ........................................................................................................................................ STATE–48. 

Garnishment of Wages Records ................................................................................................................................................... STATE–61. 

Information Access Program Records .......................................................................................................................................... STATE–35. 

Intelligence and Research Records .............................................................................................................................................. STATE–15. 

Munitions Control Records ............................................................................................................................................................ STATE–42. 

Office of Foreign Missions Records .............................................................................................................................................. STATE–81. 

Office of Inspector General Investigation Management System .................................................................................................. STATE–53. 

Overseas Citizens Services Records ............................................................................................................................................ STATE–05. 

Passport Records .......................................................................................................................................................................... STATE–26. 

Personality Cross Reference Index to the Secretariat Automated Data Index ............................................................................ STATE–28. 

Personality Index to the Central Foreign Policy Records ............................................................................................................. STATE–29. 

Risk Analysis and Management Records ..................................................................................................................................... STATE–78. 

Security Records ........................................................................................................................................................................... STATE–36. 

Visa Records ................................................................................................................................................................................. STATE–39. 

(3) Exempt under 5 U.S.C. 552a(k)(3). 

Records contained within the following 

systems of records are exempt under 

this section to the extent that they are 

maintained in connection with 

providing protective services pursuant 

to 18 U.S.C. 3056. 


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Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 71753 

TABLE 4 TO PARAGRAPH (b)(3) 

Title No. 

Extradition Records ....................................................................................................................................................................... STATE–11. 

Information Access Programs Records ......................................................................................................................................... STATE–35. 

Intelligence and Research Records .............................................................................................................................................. STATE–15. 

Overseas Citizens Services Records ............................................................................................................................................ STATE–05. 

Passport Records .......................................................................................................................................................................... STATE–26. 

Personality Cross-Reference Index to the Secretariat Automated Data Index ............................................................................ STATE–28. 

Personality Index to the Central Foreign Policy Records ............................................................................................................. STATE–29. 

Security Records ........................................................................................................................................................................... STATE–36. 

Visa Records ................................................................................................................................................................................. STATE–39. 

(4) Exempt under 5 U.S.C. 552a(k)(4). 

Records contained within the following 

systems of records are exempt under 

this section to the extent that they are 

required by statute to be maintained and 

are used solely as statistical records. 

TABLE 5 TO PARAGRAPH (b)(4) 

Title No. 

Foreign Service Institute Records ................................................................................................................................................. STATE–14. 

Human Resources Records .......................................................................................................................................................... STATE–31. 

Information Access Programs Records ......................................................................................................................................... STATE–35. 

Overseas Citizens Services Records ............................................................................................................................................ STATE–05. 

Personnel Payroll Records ............................................................................................................................................................ STATE–30. 

Security Records ........................................................................................................................................................................... STATE–36. 

(5) Exempt under 5 U.S.C. 552a(k)(5). 

Records contained within the following 

systems of records are exempt under 

this section to the extent that they 

consist of investigatory material 

compiled solely for the purpose of 

determining suitability, eligibility, or 

qualifications for Federal civilian 

employment, military service, Federal 

contracts, or access to classified 

information, but only to the extent that 

disclosure of such material would reveal 

the identity of a confidential informant. 

TABLE 6 TO PARAGRAPH (b)(5) 

Title No. 

Foreign Assistance Inspection Records ........................................................................................................................................ STATE–48. 

Foreign Service Grievance Board Records .................................................................................................................................. STATE–13. 

Human Resources Records .......................................................................................................................................................... STATE–31. 

Information Access Programs Records ......................................................................................................................................... STATE–35. 

Legal Adviser Attorney Employment Application Records ............................................................................................................ STATE–20. 

Office of Inspector General Investigation Management System .................................................................................................. STATE–53. 

Overseas Citizens Services Records ............................................................................................................................................ STATE–25. 

Personality Cross-Reference Index to the Secretariat Automated Data Index ............................................................................ STATE–28. 

Records Maintained by the Office of Civil Rights ......................................................................................................................... STATE–09. 

Records of the Office of White House Liaison .............................................................................................................................. STATE–34. 

Risk Analysis and Management Records ..................................................................................................................................... STATE–78. 

Rover Records ............................................................................................................................................................................... STATE–41. 

Security Records ........................................................................................................................................................................... STATE–36. 

Senior Personnel Appointments Records ..................................................................................................................................... STATE–47. 

(6) Exempt under 5 U.S.C. 552a(k)(6). 

Records contained within the following 

systems of records are exempt under 

this section to the extent that they 

consist of testing or examination 

material used solely to determine 

individual qualifications for 

appointment or promotion in the 

Federal service the disclosure of which 

would compromise the objectivity or 

fairness of the testing or examination 

process. 

TABLE 7 TO PARAGRAPH (b)(6) 

Title No. 

Foreign Service Institute Records ................................................................................................................................................. STATE–14. 

Human Resources Records .......................................................................................................................................................... STATE–31. 

Information Access Programs Records ......................................................................................................................................... STATE–35. 

Records Maintained by the Office of Civil Rights ......................................................................................................................... STATE–09. 

Security Records ........................................................................................................................................................................... STATE–36. 


ddrumheller on DSK120RN23PROD with RULES1
71754 Federal Register / Vol. 88, No. 200 / Wednesday, October 18, 2023 / Rules and Regulations 

(7) Exempt under 5 U.S.C. 552a(k)(7). 

Records contained within the following 

systems of records are exempt under 

this section to the extent that they 

consist of evaluation material used to 

determine potential for promotion in the 

armed services, but only to the extent 

that such disclosure would reveal the 

identity of a confidential informant. 

TABLE 8 TO PARAGRAPH (b)(7) 

Title No. 

Human Resources Records .......................................................................................................................................................... STATE–31. 

Information Access Programs Records ......................................................................................................................................... STATE–35. 

Overseas Citizens Services Records ............................................................................................................................................ STATE–25. 

Personality Cross-Reference Index to the Secretariat Automated Data Index ............................................................................ STATE–28. 

Personality Index to the Central Foreign Policy Records ............................................................................................................. STATE–29. 

Security Records ........................................................................................................................................................................... STATE–36. 

Subpart D—Access to Financial 

Disclosure Reports 

§ 171.30 Purpose and scope. 

This subpart sets forth the process by 

which persons may request access to 

public financial disclosure reports filed 

with the Department in accordance with 

sections 101 and 103(l) of the Ethics in 

Government Act of 1978, as amended, 

recodified at 5 U.S.C. 13103 and 13105. 

The retention, public availability, and 

improper use of these reports are 

governed by 5 U.S.C. 13107 and 5 CFR 

2634.603. It also sets forth the 

prohibition on access to confidential 

financial disclosure reports filed under 

5 CFR 2634, Subpart I, in accordance 

with sections 107(a) of the Ethics in 

Government Act of 1978, 5 U.S.C. 13109 

and 5 CFR 2634.604. 

§ 171.31 Requests for Public Financial 

Disclosure Reports—OGE Form 278. 

Requests for access to public financial 

disclosure reports filed with the 

Department should be made by 

submitting the information required by 

5 CFR 2634.603(c) or a completed Office 

of Government Ethics request form, OGE 

Form 201, to OGE201Request@state.gov 

or to the Office of the Assistant Legal 

Adviser for Ethics and Financial 

Disclosure, U.S. Department of State, 

2201 C Street NW, Washington, DC 

20520. The OGE Form 201 may be 

obtained by visiting www.oge.gov or 

writing to the address in this section. 

§ 171.32 Denial of Public Access to 

Confidential Financial Disclosure Reports— 

OGE Form 450. 

No member of the public shall have 

access to confidential financial 

disclosure reports filed pursuant to 5 

CFR 2634, Subpart I, except pursuant to 

the order of a Federal court or as 

otherwise provided under the Privacy 

Act. See 5 U.S.C. 552a. 

Kevin E. Bryant, 

Deputy Director, Office of Directives 

Management, Department of State. 

[FR Doc. 2023–22380 Filed 10–17–23; 8:45 am] 

BILLING CODE 4710–24–P 

DEPARTMENT OF HOMELAND 

SECURITY 

Coast Guard 

33 CFR Part 100 

[Docket No. USCG–2023–0791] 

Special Local Regulations; Northern 

California and Lake Tahoe Area Annual 

Marine Events; Sacramento Ironman 

Swim, Sacramento, CA 

AGENCY: Coast Guard, Department of 

Homeland Security (DHS). 

ACTION: Notification of enforcement of 

regulation. 

SUMMARY: The Coast Guard will enforce 

the special local regulations for the 

annual Sacramento Ironman Swim on 

October 22, 2023, to provide for the 

safety of life on navigable waterways in 

the American River and Sacramento 

River during this event. The regulation 

for marine events in Northern California 

identifies the regulated area for this 

event in Sacramento, CA. During the 

enforcement period, unauthorized 

persons or vessels are prohibited from 

entering into, transiting through, or 

loitering or anchoring in the regulated 

area, unless authorized by the 

designated Patrol Commander 

(PATCOM) or other Federal, State, or 

local law enforcement agencies on scene 

to assist the Coast Guard in enforcing 

the regulated area. 

DATES: The regulations in 33 CFR 

100.1103 will be enforced for the 

location in table 1 to § 100.1103, Item 

number 5, from 4:30 a.m. to 10:30 a.m. 

on October 22, 2023. 

FOR FURTHER INFORMATION CONTACT: If 

you have questions about this 

notification of enforcement, call, or 

email MST1 Shannon Curtaz-Milian, 

Sector San Francisco Waterways 

Management, U.S. Coast Guard; 

telephone (415) 399–7440, email 

SFWaterways@uscg.mil. 

SUPPLEMENTARY INFORMATION: The Coast 

Guard will enforce the special local 

regulations in 33 CFR 100.1103, table 1 

to § 100.1103, Item number 5, for the 

Sacramento Ironman Swim regulated 

area from 4:30 a.m. to 10:30 a.m. on 

October 22, 2023. This action is being 

taken to provide for the safety of life on 

navigable waterways during this event. 

The regulation for marine events within 

Northern California, § 100.1103, 

specifies the location of the regulated 

area for the Sacramento Ironman Swim 

which encompasses portions of the 

American River and Sacramento River. 

During the enforcement period, the 

regulated area will be in effect in the 

navigable waters, from surface to 

bottom, defined by a line drawn from 

Township 9 Park to North of the Tower 

Bridge. 

During the enforcement period, under 

the provisions of 33 CFR 100.1103(b), if 

you are the operator of a vessel in the 

regulated area you must comply with 

directions from the Patrol Commander 

(PATCOM) or any other Official Patrol, 

defined as a Federal, State, or local law 

enforcement agency on scene to assist 

the Coast Guard in enforcing the 

regulated area. The PATCOM or Official 

Patrol may, upon request, allow the 

transit of commercial vessels through 

regulated areas when it is safe to do so. 

In addition to this notification of 

enforcement in the Federal Register, the 

Coast Guard plans to provide 

notification of this enforcement period 

via the Local Notice to Mariners. If the 

Captain of the Port determines that the 

regulated area need not be enforced for 

the full duration stated in this 

notification, a Broadcast Notice to 

Mariners or other marine broadcast may 


ddrumheller on DSK120RN23PROD with RULES1