[Federal Register Volume 87, Number 23 (Thursday, February 3, 2022)]
[Notices]
[Pages 6224-6227]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-02202]


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DEPARTMENT OF STATE

[Public Notice: 11637]


Privacy Act of 1974; System of Records

ACTION: Notice of a modified system of records.

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SUMMARY: This system supports the Department of State's Office of the 
Directorate of Defense Trade Controls' (DDTC) mission of controlling 
the export and temporary import of defense articles and defense 
services covered by the United States Munitions List (USML).

DATES: In accordance with 5 U.S.C. 552a(e)(4) and (11), this system of 
records notice is effective upon publication, except for the routine 
uses that are subject to a 30-day period during which interested 
persons may submit comments to the Department of State. Please submit 
any comments by March 1st 2022.

ADDRESSES: Questions can be submitted by mail or email or by calling 
Eric F. Stein, the Senior Agency Official for Privacy, at (202) 485-
2051. If by mail, please write to: U.S Department of State; Office of 
Global Information Systems; A/GIS; Room 1417, 2201 C St. NW; 
Washington, DC 20520. If by email, please address the email to the 
Senior Agency Official for Privacy, Eric F. Stein, at 
<a href="/cdn-cgi/l/email-protection#f7a7859e8196948eb78483968392d9909881"><span class="__cf_email__" data-cfemail="7525071c0314160c3506011401105b121a03">[email protected]</span></a>. Please write ``Munitions Control Records, State-42'' 
on the envelope or the subject line of your email.

FOR FURTHER INFORMATION CONTACT: Eric F. Stein, Senior Agency Official 
for Privacy; U.S. Department of State; Office of Global Information 
Services, A/GIS; Room 1417, 2201 C St. NW; Washington, DC 20520 or by 
calling (202) 485-2051.

SUPPLEMENTARY INFORMATION: This notice is being modified to reflect the 
Department of State's move to cloud storage, an Information Technology 
(IT) modernization, and new OMB guidance. The modified system of 
records notice includes revisions and additions to the following 
sections: Authority for Maintenance of the System, System Location, 
Categories of Individuals, Categories of Records in the System, Routine 
Uses, Storage, and Safeguards. In addition, the Department of State is 
taking this opportunity to make minor administrative updates to the 
notice.

SYSTEM NAME AND NUMBER:
    Munitions Control Records, State-42.

SECURITY CLASSIFICATION:
    Unclassified and Classified.

[[Page 6225]]

SYSTEM LOCATION:
    (a) Department of State domestic data centers located within the 
United States, with local infrastructure placed overseas at U.S. 
Embassies, U.S. Consulates General, and U.S. Consulates; and U.S. 
Missions, (b) within a government cloud platform provided by the 
Department of State's Enterprise Server Operations Center (ESOC), 2201 
C Street NW, Washington, DC 20520.

SYSTEM MANAGER(S):
    DDTC Chief Information Officer; 2401 E Street NW, Washington DC 
20037; (202) 663-2023; <a href="/cdn-cgi/l/email-protection#01454555422c42484e4172756075642f666e77"><span class="__cf_email__" data-cfemail="0a4e4e5e49274943454a797e6b7e6f246d657c">[email protected]</span></a>.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    22 U.S.C. 2651a (Organization of Department of State); 5 U.S.C. 301 
(Departmental Regulations); 22 U.S.C. 2776, 22 U.S.C. 2778, 22 U.S.C. 
2779, 22 U.S.C. 2780, and 22 U.S.C. 2751 et seq. (Arms Export Control 
Act); E.O. 13637; International Traffic in Arms Regulations (ITAR), 22 
CFR parts 120-130.

PURPOSE(S) OF THE SYSTEM:
    This system enables DDTC to support industry customers as DDTC 
performs its mission to implement relevant provisions of the Arms 
Export Control Act (AECA) and the International Traffic in Arms 
Regulations (ITAR) and control the export and temporary import of 
defense articles and defense services covered by the United States 
Munitions List (USML).

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Exporters of defense articles and defense services with or without 
Department of State authorization; applicants for export licenses; 
registered exporters; brokers for sales of defense articles or defense 
services who completed registration statements or submitted requests 
for approval of a brokering activity; and debarred parties. The Privacy 
Act defines an individual at 5 U.S.C. 552a(a)(2) as a United States 
citizen or lawful permanent resident.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Correspondence, registration statements when a principal executive 
officer or owner is the same as the applicant, and payment for 
registration fees sent to the Department of State when an individual or 
business registers as a manufacturer, exporter and/or broker of defense 
articles or defense services; information on political contributions, 
gifts, commissions and fees relating to certain sales of defense 
articles and defense services; license applicants, secondary entity 
contacts, third-party points of contact, and other relevant entities, 
may be asked to provide information such as: Name, address, 
nationality/citizenship status, passport/visa/social security number, 
operator/certificate license, contract and licensing eligibility, 
contact information (e.g., telephone number, email address), 
information related to current or past law enforcement charges and 
convictions, place of birth, financial account numbers, and date of 
birth; copies of letters to individuals and businesses from the 
Department of State pertaining to their registration, including notices 
of suspension and debarment; proposed charging letters and orders and 
consent agreements pertaining to the Department of State's 
administrative cases; Federal Register Notices of statutory debarment; 
correspondence, memoranda, federal court documents, telegrams, other 
government agency reports, and email messages between the Department of 
State and other federal agencies regarding law enforcement and 
intelligence information about defense trade activities pertaining to 
the subject of the record.

RECORD SOURCE CATEGORIES:
    These records contain information that is primarily obtained from 
the individual, from the organization the individual represents, 
federal court documents, and intelligence and law enforcement agencies.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    Munitions Control Records may be disclosed to:
    (a) Appropriate agencies, entities, and persons when (1) the 
Department of State suspects or has confirmed that there has been a 
breach of the system of records; (2) the Department of State has 
determined that as a result of the suspected or confirmed breach there 
is a risk of harm to individuals, the Department of State (including 
its information systems, programs, and operations), the Federal 
Government, or national security; and (3) the disclosure made to such 
agencies, entities, and persons is reasonably necessary to assist in 
connection with the Department of State efforts to respond to the 
suspected or confirmed breach or to prevent, minimize, or remedy such 
harm.
    (b) Another Federal agency or Federal entity, when the Department 
of State determines that information from this system of records is 
reasonably necessary to assist the recipient agency or entity in (1) 
responding to a suspected or confirmed breach or (2) preventing, 
minimizing, or remedying the risk of harm to individuals, the recipient 
agency or entity (including its information systems, programs, and 
operations), the Federal Government, or national security, resulting 
from a suspected or confirmed breach.
    (c) The Department of Homeland Security, the Department of Justice 
(DOJ), the Department of Commerce, and other federal entities, 
including intelligence and law enforcement agencies to assist in their 
investigations of violations of the AECA or in the context of 
multilateral or bilateral export regimes.
    (d) A court, adjudicative body, or administrative body before which 
the Department is authorized to appear when (i) the Department; (ii) 
any employee of the Department in his or her official capacity; (iii) 
any employee of the Department in his or her individual capacity where 
the U.S. Department of Justice or the Department has agreed to 
represent the employee; or (iv) the Government of the United States, 
when the Department determines that litigation is likely to affect the 
Department, is a party to litigation or has an interest in such 
litigation, and the use of such records by the Department is deemed to 
be relevant and necessary to the litigation or administrative 
proceeding.
    (e) Foreign governments for purposes relating to law enforcement or 
regulatory matters or in the context of multilateral or bilateral 
export regimes, in accordance with 22 CFR 126.10(d)(1).
    (f) Congress to comply with statutory and regulatory reporting 
requirements in the AECA or ITAR related to certain defense trade 
transactions.
    (g) Other federal agencies in order to provide independent 
monitoring of a system of security policy enforcement, malicious 
activity detection, and security incident response.
    (h) The public, as necessary, to comply with statutory or 
regulatory requirements or to enable exporters to comply with such 
requirements, as follows:
    i. The periodic publication in the Federal Register of names, dates 
of conviction, and months and years of birth of those on the Debarred 
Parties List pursuant to the authorities granted in 22 U.S.C. 2778(g), 
as implemented in 22 CFR 127.7.
    ii. The periodic publication of charging letters, debarment orders, 
and orders imposing civil penalties and probationary periods in the 
Public Reading Room of the Department of State, as required by 22 CFR 
128.17, and on the Directorate of Defense Trade Controls website.

[[Page 6226]]

    iii. The periodic publication of registrant name and address 
changes on the Directorate of Defense Trade Controls website to assist 
registrants and applicants in keeping their records current.
    The Department of State periodically publishes in the Federal 
Register its Prefatory Statement of Routine Uses. These standard 
routine uses apply to Munitions Control Records SORN, State-42.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records are stored both in hard copy and on electronic media. A 
description of standard Department of State policies concerning storage 
of electronic records is found at https://fam.state.gov/FAM/05FAM/05FAM0440.html. All hard copies of records that contain personal 
information are maintained in secured file cabinets in restricted 
areas, access to which is limited to authorized personnel.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Individual name, company name, DDTC Registration Code, DDTC Case 
Number.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    These records will be maintained in accordance with the Department 
of State Records Schedule, Chapter 24 Arms Control and International 
Security Records, Office of Defense Trade Controls (A-24-048-01a(1)), 
as approved by the National Archives and Records Administration (NARA) 
and outlined at https://foia.state.gov/Learn/RecordsDisposition.aspx. 
More specific information may be obtained by writing to the following 
address: U.S. Department of State; Director, Office of Information 
Programs and Services; A/GIS/IPS; 2201 C Street NW, Room B-226; 
Washington, DC 20520.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    All Department of State network users are given cyber security 
awareness training which covers the procedures for handling Sensitive 
but Unclassified (SBU) information, including personally identifiable 
information (PII). Annual refresher training is mandatory. In addition, 
all Department of State OpenNet network users are required to take the 
Foreign Service Institute distance learning course instructing 
employees on privacy and security requirements, including the rules of 
behavior for handling PII and the potential consequences if it is 
handled improperly. Before a user is granted access to Munitions 
Control Records, they must first be granted access to the Department of 
State computer network.
    Department of State employees and contractors may remotely access 
this system of records using non-Department of State owned information 
technology. Such access is subject to approval by the Department of 
State's mobile and remote access program and is limited to information 
maintained in unclassified information systems. Remote access to the 
Department of State's information system is configured in compliance 
with OMB Circular A-130 multifactor authentication requirements and 
includes a time-out function.
    All Department of State employees and contractors with authorized 
access to records maintained in this system of records have undergone a 
thorough background security investigation. Access to the Department of 
State, its annexes and posts abroad is controlled by security guards 
and admission is limited to those individuals possessing a valid 
identification card or individuals under proper escort. Access to 
computerized files is password-protected and under the direct 
supervision of the system manager. The system manager has the 
capability of printing audit trails of access from the computer media, 
thereby permitting regular and ad hoc monitoring of computer usage. 
When it is determined that a user no longer needs access, the user 
account is disabled.
    The safeguards in the following paragraphs apply only to records 
that are maintained in government-certified cloud systems. All cloud 
systems that provide IT services and process Department of State 
information must be specifically authorized by the Department of State 
Authorizing Official and Senior Agency Official for Privacy.
    Information that conforms with Department of State-specific 
definitions for Federal Information Security Modernization Act (FISMA) 
low, moderate, or high categorization are permissible for cloud usage 
and must specifically be authorized by the Department of State's Cloud 
Program Management Office and the Department of State Authorizing 
Official. Specific security measures and safeguards will depend on the 
FISMA categorization of the information in a given cloud system. In 
accordance with Department of State policy, systems that process more 
sensitive information will require more stringent controls and review 
by Department of State cybersecurity experts prior to approval. Prior 
to operation, all Cloud systems must comply with applicable security 
measures that are outlined in FISMA, FedRAMP, OMB regulations, National 
Institute of Standards and Technology's (NIST) Special Publications 
(SP) and Federal Information Processing Standards (FIPS) and Department 
of State policies and standards.
    All data stored in cloud environments categorized above a low FISMA 
impact risk level must be encrypted at rest and in-transit using a 
federally approved encryption mechanism. The encryption keys shall be 
generated, maintained, and controlled in a Department of State data 
center by the Department of State key management authority. Deviations 
from these encryption requirements must be approved in writing by the 
Department of State Authorizing Official. High FISMA impact risk level 
systems will additionally be subject to continual auditing and 
monitoring, multifactor authentication mechanism utilizing Public Key 
Infrastructure (PKI) and NIST 800 53 controls concerning 
virtualization, servers, storage and networking, as well as stringent 
measures to sanitize data from the cloud service once the contract is 
terminated.

RECORD ACCESS PROCEDURES:
    Individuals who wish to gain access to or to amend records that 
pertain to themselves should write to U.S. Department of State; 
Director, Office of Information Programs and Services; A/GIS/IPS; 2201 
C Street NW, Room B-226; Washington, DC 20520. The individual must 
specify in the written correspondence that he or she wishes the 
Munitions Control Records to be checked. At a minimum, the individual 
must include: Full name (including maiden name, if appropriate) and any 
other names used; current mailing address and zip code; date and place 
of birth; notarized signature or statement under penalty of perjury 
that the information in the written is true and correct; a brief 
description of the circumstances that caused the creation of the record 
(including the city and/or country and the approximate dates) which 
gives the individual cause to believe that the Munitions Control 
Records include records that pertain to the individual. Detailed 
instructions on Department of State procedures to access and amend 
records can be found at the Department of State's FOIA website at 
https://foia.state.gov/Request/Guide.aspx.

CONTESTING RECORD PROCEDURES:
    Individuals who wish to contest records should write to U.S. 
Department of State; Director, Office of Information Programs and 
Services; A/GIS/IPS; 2201 C Street NW, Room B-226; Washington, DC 
20520.

[[Page 6227]]

NOTIFICATION PROCEDURES:
    Individuals who have reason to believe that this system of records 
may contain information pertaining to them may write to U.S. Department 
of State; Director, Office of Information Programs and Services; A/GIS/
IPS; 2201 C Street NW, Room B-226; Washington, DC 20520. The individual 
must specify in the written correspondence that he/she wishes the 
Munitions Control Records to be checked. At a minimum, the individual 
must include: Full name (including maiden name, if appropriate) and any 
other names used; current mailing address and zip code; date and place 
of birth; notarized signature or statement under penalty of perjury 
that the information contained in the written correspondence is true 
and correct; a brief description of the circumstances that caused the 
creation of the record (including the city and/or country and the 
approximate dates) which gives the individual cause to believe that the 
Munitions Control Records include records pertaining to the individual.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    Pursuant to 5 U.S.C. 552a(k)(1) and (k)(2), portions of certain 
records contained within this system of records are exempted from 5 
U.S.C. 552a (c)(3),(d),(e)(1),(3)(4)(G),(H) and (I), and (f). See 22 
CFR 171.26.

HISTORY:
    Previously published at Public Notice 6140 State-42, System Name: 
Munitions Control Records. Volume 73, Number 55; March 20, 2008.

Eric F. Stein,
Deputy Assistant Secretary, Bureau of Administration, Global 
Information Services, U.S. Department of State.
[FR Doc. 2022-02202 Filed 2-2-22; 8:45 am]
BILLING CODE 4710-25-P


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