PART 171—PUBLIC ACCESS TO INFORMATION 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. Source: 88 FR 71740, Oct. 18, 2023, unless otherwise noted. Subpart A—General Policy and Procedures § 171.1 General provisions. (a) In General. (b) Definitions. Component Control Department Record § 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 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, www.state.gov/privacy et seq., (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 § 171.4 Requests for information—types and how made. (a) General Information. [email protected], www.foia.state.gov/ [email protected], (2) Requests for passport records covered under PA System of Records Notice STATE-26 (available at www.state.gov/system-of-records-notices-privacy-office/ [email protected] (3) Requests for records of the OIG must be made in writing, and may be submitted via email to [email protected], 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 exemption, may be provided to the requester. (b) Description of records sought. (c) Privacy Act versus FOIA. (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 [email protected]. www.foia.state.gov, 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 www.foia.state.gov. § 171.11 Processing requests. (a) In general. (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. (c) Cut-off date and exclusions. (d) Consultation, referral, and coordination. (1) Consultation. (2) Referral. (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. (e) Timing of responses to consultations and referrals. (f) Agreements regarding consultations and referrals. § 171.12 Timing of responses to requests. (a) In general. (b) Multi-track processing. (c) Unusual circumstances. see foia.state.gov/contact/ (d) Expedited processing. (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 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. (b) Acknowledgment of requests. (c) Estimated dates of completion and interim responses. (d) Grants of requests. (e) Adverse determinations of requests. (f) Content of denial. (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. (h) Use of record exclusions. (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. Confidential commercial information Submitter (b) Designation of confidential commercial information. (c) Notice to submitters. (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. (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; (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. (f) Notice of intent to disclose. (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. (h) Notice to requester. § 171.15 Administrative appeals. (a) Requirements for making an 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 [email protected]. (3) To appeal any adverse determinations made by OIG, requesters must submit an administrative appeal to OIG via email to [email protected], www.stateoig.gov/foiaappeals. (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. (2) An appeal ordinarily will not be adjudicated if the request becomes a matter of FOIA litigation. (c) Decisions on appeals. (d) Engaging in dispute resolution services provided by OGIS. (e) When appeal is required. § 171.16 Fees to be charged. (a) In general. (b) Definitions. Commercial use request Direct costs i.e., Duplication Educational institution Non-commercial scientific institution Representative of the news media Review Search (c) Charging fees. (1) Search. (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 www.stateoig.gov/foiafees (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. i.e., (3) Duplication. foia.state.gov/Request/Guide.aspx (d) Restrictions on charging fees. (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. (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. (g) Charging interest. (h) Aggregating requests. (i) Advance payments. i.e., (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. (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. [88 FR 71740, Oct. 18, 2023; 88 FR 73755, Oct. 27, 2023] § 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 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 Maintain Record System of records § 171.22 Request for access to records. (a) In general. (b) Description of records sought. (c) Verification of personal identity. (d) Special requirements for passport records. (e) Authorized third party access. (1) Parents and guardians of minor children. (2) Guardians of incompetent adults. (i) Verification of guardianship of incompetent adult. (ii) Authorized representatives or designees. (f) Referrals and consultations. (g) Records relating to civil actions. (h) Time limits. § 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. (b) Where accountings not required. (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 [email protected]. (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. (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), 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 [email protected] (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. (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 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. Federal Register (1) Exempt under 5 U.S.C. 552a(k)(1). Table 2 to Paragraph ( b 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. 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. Risk Analysis and Management Records STATE-78. Rover Records STATE-41. Security Records STATE-36. Visa Records STATE-39. (2) Exempt under 5 U.S.C. 552a(k)(2). Table 3 to Paragraph ( b 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. 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). Table 4 to Paragraph ( b 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. Security Records STATE-36. Visa Records STATE-39. (4) Exempt under 5 U.S.C. 552a(k)(4). 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). 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). 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. (7) Exempt under 5 U.S.C. 552a(k)(7). Table 8 to Paragraph ( b 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. Security Records STATE-36. [88 FR 71740, Oct. 18, 2023, as amended at 88 FR 78232, Nov. 15, 2023; 89 FR 79435, Sept. 30, 2024] 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 [email protected] www.oge.gov § 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.