Privacy Act of 1974; System of Records, 61822-61825 [2021-24303]
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Federal Register / Vol. 86, No. 213 / Monday, November 8, 2021 / Notices
Interested persons are invited to
submit written data, views, and
arguments regarding whether the
proposal should be approved or
disapproved by November 29, 2021.
Any person who wishes to file a rebuttal
to any other person’s submission must
file that rebuttal by December 13, 2021.
Comments may be submitted by any
of the following methods:
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Electronic Comments
• Use the Commission’s internet
comment form (https://www.sec.gov/
rules/sro.shtml); or
• Send an email to rule-comments@
sec.gov. Please include File Number SR–
CboeBZX–2021–051 on the subject line.
Paper Comments
• Send paper comments in triplicate
to Secretary, Securities and Exchange
Commission, 100 F Street NE,
Washington, DC 20549–1090.
All submissions should refer to File
Number SR–CboeBZX–2021–051. This
file number should be included on the
subject line if email is used. To help the
Commission process and review your
comments more efficiently, please use
only one method. The Commission will
post all comments on the Commission’s
internet website (https://www.sec.gov/
rules/sro.shtml). Copies of the
submission, all subsequent
amendments, all written statements
with respect to the proposed rule
change that are filed with the
Commission, and all written
communications relating to the
proposed rule change between the
Commission and any person, other than
those that may be withheld from the
public in accordance with the
provisions of 5 U.S.C. 552, will be
available for website viewing and
printing in the Commission’s Public
Reference Room, 100 F Street NE,
Washington, DC 20549 on official
business days between the hours of
10:00 a.m. and 3:00 p.m. Copies of the
filing also will be available for
inspection and copying at the principal
office of the Exchange. All comments
received will be posted without change.
Persons submitting comments are
cautioned that we do not redact or edit
personal identifying information from
comment submissions. You should
submit only information that you wish
to make available publicly. All
submissions should refer to File
Number SR–CboeBZX–2021–051 and
should be submitted by November 29,
2021. Rebuttal comments should be
submitted by December 13, 2021.
on Banking, Housing & Urban Affairs, S. Rep. No.
75, 94th Cong., 1st Sess. 30 (1975).
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For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.29
J. Matthew DeLesDernier,
Assistant Secretary.
[FR Doc. 2021–24326 Filed 11–5–21; 8:45 am]
BILLING CODE 8011–01–P
SMALL BUSINESS ADMINISTRATION
Delegation of Authority
U.S. Small Business
Administration.
ACTION: Notice of delegation of
authority.
AGENCY:
This document provides the
public with notice of the delegation of
authority for certain activities related to
the licensing of small business
investment companies by the
Administrator of the U.S. Small
Business Administration (SBA) to the
Agency SBIC Licensing Committee.
FOR FURTHER INFORMATION CONTACT:
Arthur Spivey, Office of Investment and
Innovation, U.S. Small Business
Administration, 409 3rd Street SW,
Washington, DC 20416; (202) 205–7098
or arthur.spivey@sba.gov.
SUPPLEMENTARY INFORMATION: This
document provides the public with
notice of the Administrator’s delegation
of authority to the Agency SBIC
Licensing Committee to review and
recommend to the Administrator for
approval applications for licenses to
operate as a small business investment
company under the Small Business
Investment Act of 1958, as amended.
This delegation of authority reads as
follows:
Pursuant to the authority vested in me
pursuant to section 301 of the Small
Business Investment Act of 1958, as
amended, the authority to take any and
all actions necessary to review
applications for licensing under section
301 of the Small Business Investment
Act of 1958, as amended, and to
recommend to the Administrator which
such applications should be approved is
delegated to the Agency SBIC Licensing
Committee (as defined in SBA Standard
Operating Procedure 10 04 01, effective
Aug. 6, 2014, Processing Applications
for SBIC Licenses).
The Agency SBIC Licensing
Committee shall be composed of the
following members:
SUMMARY:
Chief of Staff, Chair
Associate Administrator for Capital Access
Associate Administrator for Investment and
Innovation
General Counsel
29 17
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CFR 200.30–3(a)(57).
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Deputy General Counsel
Chief Financial Officer
This authority revokes all other
authorities granted by the Administrator
to recommend and approve applications
for a license to operate as a small
business investment company under the
Small Business Investment Act of 1958,
as amended. This authority may not be
re-delegated; however, in the event that
the person serving in one of the
positions listed as a member of the
Agency SBIC Licensing Committee is
absent from the office, as defined in
SBA Standard Operating Procedure 00
01 3 (effective April 17, 2018), Chapter
VI.B., or is unable to perform the
functions and duties of his or her
position, the individual serving in an
acting capacity, pursuant to a written
and established line of succession, may
serve on the Committee during such
absence or inability. In addition, if one
of the positions listed as a member of
the Agency SBIC Licensing Committee
is vacant, the individual serving in that
position in an acting capacity shall
serve on the Agency SBIC Licensing
Committee. This authority will remain
in effect until revoked in writing by the
Administrator or by operation of law.
Isabella Casillas Guzman,
Administrator.
[FR Doc. 2021–24344 Filed 11–5–21; 8:45 am]
BILLING CODE P
DEPARTMENT OF STATE
[Public Notice 11579]
Privacy Act of 1974; System of
Records
ACTION:
Notice of a modified system of
records.
This system of records
compiles information used in the
adjudication of U.S. visas.
DATES: In accordance with 5 U.S.C.
552a(e)(4) and (11), this system of
records notice is applicable upon
publication.
SUMMARY:
Questions can be submitted
by mail, email, or by calling Eric F.
Stein, the Senior Agency Official for
Privacy, on (202) 485–2051. If 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 email,
please address the email to the Senior
Agency Official for Privacy, Eric F.
Stein, at Privacy@state.gov. Please write
‘‘Visa Records, State–39’’ on the
envelope or the subject line of your
email.
ADDRESSES:
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Federal Register / Vol. 86, No. 213 / Monday, November 8, 2021 / Notices
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: The
purpose of this modification is to make
substantive and administrative changes
to the previously published notice. This
notice modifies the following sections of
State–39, Visa Records: System
Location, Categories of Individuals
Covered by the System, Categories of
Records in the System, Record Source
Categories, and Administrative,
Technical, and Physical Safeguards. In
addition, this notice makes
administrative updates to the following
sections: Record Access Procedures,
Contesting Record Procedures,
Notification Procedures, and History.
These changes reflect new visa
adjudication procedures, the movement
to cloud storage, updated contact
information, and a notice publication
history.
FOR FURTHER INFORMATION CONTACT:
SYSTEM NAME AND NUMBER:
Visa Records, State–39.
SECURITY CLASSIFICATION:
Unclassified and Classified.
SYSTEM LOCATION:
Department of State (‘‘Department’’),
located at 2201 C St. NW, Washington,
DC 20520; Visa Office, Department of
State, Annex 17, 600 19th St. NW,
Washington, DC 20006; National Visa
Center, 32 Rochester Avenue,
Portsmouth, NH 03801; Kentucky
Consular Center, 3505 N. U.S. Hwy 25
W., Williamsburg, KY 40769; U.S.
embassies, consulates general,
consulates, and Department of State
Enterprise Server Operations Centers
(henceforth referred to as the
Department of State). Records may also
be located within a government-certified
cloud provided by a cloud-based service
provider.
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SYSTEM MANAGER(S):
Deputy Assistant Secretary for Visa
Services, Room 6811, Department of
State, 2201 C St. NW, Washington, DC
20520–4818; Director, National Visa
Center, 32 Rochester Avenue,
Portsmouth, NH 63801; Director,
Kentucky Consular Center, 3505 N. U.S.
Hwy 25 W., Williamsburg, KY 40769.
All system managers can be contacted
with this email address PRA_
BurdenComments@state.gov. When
emailing system managers, include the
phrase ‘‘SORN’’ in the email subject
line. At specific locations abroad, the
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on-site manager is the consular officer
responsible for visa processing.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301 (Secretary of State’s
authorities with respect to Management
of the Department of State); 22 U.S.C.
2651a (Organization of the Department
of State); 22 U.S.C. 3921 (Management
of the Foreign Service); 8 U.S.C. 1101–
1537 (Immigration and Nationality Act
of 1952, as amended).
PURPOSE(S) OF THE SYSTEM:
The Visa Records system maintains
information used to assist the Bureau of
Consular Affairs and consular officers in
the Department and abroad in
adjudicating visas and Certificates of
Identity. It is also used in dealing with
problems of a legal, enforcement,
technical, or procedural nature that may
arise in connection with a U.S. visa or
Certificate of Identity.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Visa Records may include the
following individuals when required by
a visa application or a Certificate of
Identity application: U.S. petitioners,
U.S. persons applying for returning
residence travel documentation, and
visa and Certificate of Identity
applicants who subsequently become
documented as U.S. persons. The
Privacy Act defines an individual at 5
U.S.C. 552a(a)(2) as a U.S. citizen or
lawful permanent resident.
CATEGORIES OF RECORDS IN THE SYSTEM:
Visa Records maintains visa
applications and related forms;
Certificate of Identity applications or
portions thereof; documents of identity;
biometric information; social security
numbers; national identity numbers;
photographs; financial information;
gender, birth, marriage, death and
divorce certificates; interview
worksheets; biographic information
sheets; affidavits of relationship;
medical examinations and
immunization reports; police records,
criminal and legal information;
educational and employment records;
petitions for immigrant status and
nonimmigrant status; bank statements;
social media handles and information
gathered from social media;
communications between the Visa
Office, the National Visa Center, the
Kentucky Consular Center, U.S.
embassies, U.S. consulates general and
U.S. consulates, other U.S. government
agencies, international organizations,
members of Congress, legal and other
representatives of visa applicants,
relatives of visa applicants, and other
interested parties where such
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communications are, or may be, relevant
to visa adjudication; and internal
Department of State correspondence and
notes relating to visa adjudication. Visa
Records may also contain information
collected regarding applicants’ or
petitioners’ U.S. family members; U.S.
employers; and other U.S. persons
referenced by the applicant or
petitioner.
RECORD SOURCE CATEGORIES:
These records contain information
that is primarily obtained from the
individual who is the subject of the
records; attorneys/agents representing
these individuals; relatives; sponsors;
petitioners; members of Congress; U.S.
Government agencies; foreign
government agencies, international
organizations; local sources at posts;
and anyone else with information that
is, or may be, relevant to a U.S. visa
application.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:
The principal users of this
information outside the Department of
State may include, when consistent
with Section 222(f) of the Immigration
and Nationality Act:
A. The Department of Homeland
Security for uses within its statutory
mission, including to process, approve
or deny visa petitions and waivers, as
well as for law enforcement,
counterterrorism, transportation and
border security, administration of
immigrant benefits, critical
infrastructure protection, fraud
prevention, or employment verification
purposes.
B. Public or private employers seeking
to confirm the authenticity of the visa
when it is presented as evidence of
identity and/or authorization to work in
the United States;
C. The Department of Justice,
including the Federal Bureau of
Investigation (and its National Crime
Information Center), the Terrorist
Screening Center, the Bureau of
Alcohol, Tobacco, Firearms and
Explosives, the U.S. National Central
Bureau (Interpol) and the Drug
Enforcement Administration, for
purposes of law enforcement, criminal
prosecution, representation of the U.S.
government in civil litigation, fraud
prevention, counterterrorism, or border
security.
D. The Department of the Treasury for
uses within its statutory mission,
including the enforcement of U.S. tax
laws, economic sanctions, and
counterterrorism.
E. The National Counterterrorism
Center, the Office of the Director of
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National Intelligence and other U.S.
intelligence community (IC) agencies,
for uses within their statutory missions,
including intelligence,
counterintelligence, counterterrorism
and other national security interests.
F. The Department of Defense, for
uses within its statutory mission
including for purposes of border
security, homeland defense, force
protection, law enforcement and
counterterrorism.
G. The Department of Labor for uses
within its statutory mission including
the administration and enforcement of
U.S. labor laws.
H. Congress, for the formulation,
amendment, administration, or
enforcement of the immigration,
nationality, and other laws of the United
States.
I. State, local, and tribal government
officials for law enforcement,
counterterrorism, or border security
purposes.
J. Interested persons (such as the visa
applicant, the applicant’s legal
representative or other designated
representative) inquiring as to the status
of a particular visa case (limited
unclassified information may be
released when appropriate).
K. Courts provided the Secretary of
State has determined that release is
appropriate, and the court has certified
it needs such information in the interest
of the ends of justice in a case pending
before the court.
L. Foreign governments for purposes
relating to the administration or
enforcement of the immigration,
nationality, and other laws of the United
States, or in the Secretary’s discretion
and on the basis of reciprocity, for the
purpose of preventing, investigating, or
punishing acts that would constitute a
crime in the United States or, pursuant
to an agreement with a foreign
government, to enable such government
to consider whether the record indicates
a person would be inadmissible to the
United States when it determines
whether to deny a visa, grant entry,
authorize an immigration benefit, or
order removal of such person.
M. The Centers for Disease Control
and Prevention, for uses within its
statutory mission, including its role
relative to the physical and mental
examination of aliens under
immigration laws.
N. 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
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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.
O. 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.
The Department of State periodically
publishes in the Federal Register its
standard routine uses that apply to all
of its Privacy Act systems of records.
These notices appear in the form of a
Prefatory Statement (published in
Volume 73, Number 136, Public Notice
6290, on July 15, 2008). All these
standard routine uses apply to Visa
Records, State–39.
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 in the Department’s Foreign
Affairs Manual (https://fam.state.gov/
FAM/05FAM/05FAM0440.html). All
hard copies of records containing
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:
Records may be retrieved through
individual data fields including but not
limited to: Applicant personal data;
biometrics and namecheck data; case
data; and visa data.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
The retention period for visa records
depends on the nature of the
information and disposition of the visa
adjudication. Some files related to
issued immigrant visas are destroyed six
months after issuance. In some
instances, files with historical
significance are permanent records.
Most files related to Certificates of
Identity are retained for twenty-five
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Sfmt 4703
years after closure. These records are
retired and destroyed in accordance
with published Department of State
Records Disposition Schedules as
approved by the National Archives and
Records Administration (NARA), and a
complete list of the Department’s
schedules can be found on its Freedom
of Information Act (FOIA) program’s
website (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–
266; 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
information, including personally
identifiable information (PII). Annual
refresher training is mandatory. In
addition, all Department OpenNet
network users are required to take the
Foreign Service Institute’s 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 being granted access
to Visa Records, a user must first be
granted access to the Department of
State network system.
Department of State employees and
contractors may remotely access this
system of records using non-Department
owned information technology. Such
access is subject to approval by the
Department’s mobile and remote access
program and is limited to information
maintained in unclassified information
systems. Remote access to the
Department’s information systems is
configured in compliance with the
Office of Management and Budget
Circular Memorandum 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 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. While the majority of
records covered in Visa Records are
electronic, all paper records containing
personal information are maintained in
secured file cabinets in restricted areas,
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access to which is limited to authorized
personnel only. 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 personally
identifiable information (PII) must be
specifically authorized by the
Department of State Authorizing Official
and Senior Agency Official for Privacy.
Information that conforms with
Department-specific definitions for
FISMA low, moderate, or high
categorization are permissible for cloud
usage and must specifically be
authorized by the Department’s Cloud
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 policy,
systems that process more sensitive
information will require more stringent
controls and review by Department
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
(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 data center
by the Department 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 mechanisms 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.
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RECORD ACCESS PROCEDURES:
Individuals who wish to gain access
to or to amend records pertaining to
themselves should write to U.S.
Department of State; Director, Office of
Information Programs and Services; A/
GIS/IPS; 2201 C St. NW; Room B–266;
Washington, DC 20520. The individual
must specify that he or she wishes the
Visa 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; email address;
telephone number; notarized signature
or statement under penalty of perjury; 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 Visa
Records include records pertaining to
the individual. Detailed instructions on
Department of State procedures for
accessing and amending records can be
found at the Department’s FOIA website
(https://foia.state.gov/Request/
Guide.aspx).
However, in general, visa records are
confidential and may not be released
under section 222(f) of the Immigration
and Nationality Act, except that, the
Department of State may consider
requests for records that originated with,
or were sent to, a requesting visa
applicant or someone acting on such
applicant’s behalf to be releasable
thereto.
CONTESTING RECORD PROCEDURES:
Individuals who wish to contest
record procedures should write to U.S.
Department of State; Director, Office of
Information Programs and Services; A/
GIS/IPS; 2201 C St. NW; Room B–266;
Washington, DC 20520.
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 St.
NW; Room B–266; Washington, DC
20520. The individual must specify that
he or she wishes the Visa 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; email address; telephone number;
notarized signature or statement under
penalty of perjury; a brief description of
the circumstances that caused the
creation of the record (including the city
and/or country and the approximate
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61825
dates) which gives the individual cause
to believe that the Visa Records include
records pertaining to the individual.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(k)(1), (k)(2),
and (k)(3), records contained within this
system of records are exempted from 5
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G),
(H), and (I), and (f). See Department of
State Rules published in the Federal
Register, under 22 CFR 171.26.
HISTORY:
This SORN was previously published
at 83 FR 28062 (June 15, 2018).
Eric F. Stein,
Acting Deputy Assistant Secretary, Bureau
of Administration, Global Information
Services, U.S. Department of State.
[FR Doc. 2021–24303 Filed 11–5–21; 8:45 am]
BILLING CODE 4710–13–P
DEPARTMENT OF STATE
[Public Notice: 11574]
Certification of Mexico
ACTION:
Notice of country certification.
On October 21, 2021, the
Department of State certified to
Congress that Mexico’s turtle excluder
device (TED) program was determined
to again be comparable to the United
States program. Wild-caught shrimp
harvested in Mexico is again eligible to
enter the United States in accordance
with Section 609(b)(2)(A) and (B).
FOR FURTHER INFORMATION CONTACT:
Jared Milton, Section 609 Program
Manager, Office of Marine Conservation,
Bureau of Oceans and International
Environmental and Scientific Affairs,
Department of State, 2201 C Street NW,
Washington, DC 20520–2758; telephone:
(202) 647–3263; email: DS2031@
state.gov.
SUMMARY:
Section
609 of Public Law 101–162 (‘‘Sec. 609’’)
prohibits imports of wild-caught shrimp
or products from shrimp harvested with
commercial fishing technology unless
the President certifies to the Congress by
May 1, 1991, and annually thereafter,
that either: (1) The harvesting nation has
adopted a regulatory program governing
the incidental taking of relevant species
of sea turtles in the course of
commercial shrimp harvesting that is
comparable to that of the United States
and that the average rate of that
incidental taking by the vessels of the
harvesting nation is comparable to the
average rate of incidental taking of sea
turtles by United States vessels in the
course of such harvesting; or (2) the
SUPPLEMENTARY INFORMATION:
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]]>Agencies
[Federal Register Volume 86, Number 213 (Monday, November 8, 2021)]
[Notices]
[Pages 61822-61825]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2021-24303]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF STATE
[Public Notice 11579]
Privacy Act of 1974; System of Records
ACTION: Notice of a modified system of records.
-----------------------------------------------------------------------
SUMMARY: This system of records compiles information used in the
adjudication of U.S. visas.
DATES: In accordance with 5 U.S.C. 552a(e)(4) and (11), this system of
records notice is applicable upon publication.
ADDRESSES: Questions can be submitted by mail, email, or by calling
Eric F. Stein, the Senior Agency Official for Privacy, on (202) 485-
2051. If 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 email, please address the email to the Senior
Agency Official for Privacy, Eric F. Stein, at [email protected].
Please write ``Visa Records, State-39'' on the envelope or the subject
line of your email.
[[Page 61823]]
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: The purpose of this modification is to make
substantive and administrative changes to the previously published
notice. This notice modifies the following sections of State-39, Visa
Records: System Location, Categories of Individuals Covered by the
System, Categories of Records in the System, Record Source Categories,
and Administrative, Technical, and Physical Safeguards. In addition,
this notice makes administrative updates to the following sections:
Record Access Procedures, Contesting Record Procedures, Notification
Procedures, and History. These changes reflect new visa adjudication
procedures, the movement to cloud storage, updated contact information,
and a notice publication history.
SYSTEM NAME AND NUMBER:
Visa Records, State-39.
SECURITY CLASSIFICATION:
Unclassified and Classified.
SYSTEM LOCATION:
Department of State (``Department''), located at 2201 C St. NW,
Washington, DC 20520; Visa Office, Department of State, Annex 17, 600
19th St. NW, Washington, DC 20006; National Visa Center, 32 Rochester
Avenue, Portsmouth, NH 03801; Kentucky Consular Center, 3505 N. U.S.
Hwy 25 W., Williamsburg, KY 40769; U.S. embassies, consulates general,
consulates, and Department of State Enterprise Server Operations
Centers (henceforth referred to as the Department of State). Records
may also be located within a government-certified cloud provided by a
cloud-based service provider.
SYSTEM MANAGER(S):
Deputy Assistant Secretary for Visa Services, Room 6811, Department
of State, 2201 C St. NW, Washington, DC 20520-4818; Director, National
Visa Center, 32 Rochester Avenue, Portsmouth, NH 63801; Director,
Kentucky Consular Center, 3505 N. U.S. Hwy 25 W., Williamsburg, KY
40769. All system managers can be contacted with this email address
[email protected]. When emailing system managers, include
the phrase ``SORN'' in the email subject line. At specific locations
abroad, the on-site manager is the consular officer responsible for
visa processing.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
5 U.S.C. 301 (Secretary of State's authorities with respect to
Management of the Department of State); 22 U.S.C. 2651a (Organization
of the Department of State); 22 U.S.C. 3921 (Management of the Foreign
Service); 8 U.S.C. 1101-1537 (Immigration and Nationality Act of 1952,
as amended).
PURPOSE(S) OF THE SYSTEM:
The Visa Records system maintains information used to assist the
Bureau of Consular Affairs and consular officers in the Department and
abroad in adjudicating visas and Certificates of Identity. It is also
used in dealing with problems of a legal, enforcement, technical, or
procedural nature that may arise in connection with a U.S. visa or
Certificate of Identity.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Visa Records may include the following individuals when required by
a visa application or a Certificate of Identity application: U.S.
petitioners, U.S. persons applying for returning residence travel
documentation, and visa and Certificate of Identity applicants who
subsequently become documented as U.S. persons. The Privacy Act defines
an individual at 5 U.S.C. 552a(a)(2) as a U.S. citizen or lawful
permanent resident.
CATEGORIES OF RECORDS IN THE SYSTEM:
Visa Records maintains visa applications and related forms;
Certificate of Identity applications or portions thereof; documents of
identity; biometric information; social security numbers; national
identity numbers; photographs; financial information; gender, birth,
marriage, death and divorce certificates; interview worksheets;
biographic information sheets; affidavits of relationship; medical
examinations and immunization reports; police records, criminal and
legal information; educational and employment records; petitions for
immigrant status and nonimmigrant status; bank statements; social media
handles and information gathered from social media; communications
between the Visa Office, the National Visa Center, the Kentucky
Consular Center, U.S. embassies, U.S. consulates general and U.S.
consulates, other U.S. government agencies, international
organizations, members of Congress, legal and other representatives of
visa applicants, relatives of visa applicants, and other interested
parties where such communications are, or may be, relevant to visa
adjudication; and internal Department of State correspondence and notes
relating to visa adjudication. Visa Records may also contain
information collected regarding applicants' or petitioners' U.S. family
members; U.S. employers; and other U.S. persons referenced by the
applicant or petitioner.
RECORD SOURCE CATEGORIES:
These records contain information that is primarily obtained from
the individual who is the subject of the records; attorneys/agents
representing these individuals; relatives; sponsors; petitioners;
members of Congress; U.S. Government agencies; foreign government
agencies, international organizations; local sources at posts; and
anyone else with information that is, or may be, relevant to a U.S.
visa application.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
The principal users of this information outside the Department of
State may include, when consistent with Section 222(f) of the
Immigration and Nationality Act:
A. The Department of Homeland Security for uses within its
statutory mission, including to process, approve or deny visa petitions
and waivers, as well as for law enforcement, counterterrorism,
transportation and border security, administration of immigrant
benefits, critical infrastructure protection, fraud prevention, or
employment verification purposes.
B. Public or private employers seeking to confirm the authenticity
of the visa when it is presented as evidence of identity and/or
authorization to work in the United States;
C. The Department of Justice, including the Federal Bureau of
Investigation (and its National Crime Information Center), the
Terrorist Screening Center, the Bureau of Alcohol, Tobacco, Firearms
and Explosives, the U.S. National Central Bureau (Interpol) and the
Drug Enforcement Administration, for purposes of law enforcement,
criminal prosecution, representation of the U.S. government in civil
litigation, fraud prevention, counterterrorism, or border security.
D. The Department of the Treasury for uses within its statutory
mission, including the enforcement of U.S. tax laws, economic
sanctions, and counterterrorism.
E. The National Counterterrorism Center, the Office of the Director
of
[[Page 61824]]
National Intelligence and other U.S. intelligence community (IC)
agencies, for uses within their statutory missions, including
intelligence, counterintelligence, counterterrorism and other national
security interests.
F. The Department of Defense, for uses within its statutory mission
including for purposes of border security, homeland defense, force
protection, law enforcement and counterterrorism.
G. The Department of Labor for uses within its statutory mission
including the administration and enforcement of U.S. labor laws.
H. Congress, for the formulation, amendment, administration, or
enforcement of the immigration, nationality, and other laws of the
United States.
I. State, local, and tribal government officials for law
enforcement, counterterrorism, or border security purposes.
J. Interested persons (such as the visa applicant, the applicant's
legal representative or other designated representative) inquiring as
to the status of a particular visa case (limited unclassified
information may be released when appropriate).
K. Courts provided the Secretary of State has determined that
release is appropriate, and the court has certified it needs such
information in the interest of the ends of justice in a case pending
before the court.
L. Foreign governments for purposes relating to the administration
or enforcement of the immigration, nationality, and other laws of the
United States, or in the Secretary's discretion and on the basis of
reciprocity, for the purpose of preventing, investigating, or punishing
acts that would constitute a crime in the United States or, pursuant to
an agreement with a foreign government, to enable such government to
consider whether the record indicates a person would be inadmissible to
the United States when it determines whether to deny a visa, grant
entry, authorize an immigration benefit, or order removal of such
person.
M. The Centers for Disease Control and Prevention, for uses within
its statutory mission, including its role relative to the physical and
mental examination of aliens under immigration laws.
N. 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.
O. 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.
The Department of State periodically publishes in the Federal
Register its standard routine uses that apply to all of its Privacy Act
systems of records. These notices appear in the form of a Prefatory
Statement (published in Volume 73, Number 136, Public Notice 6290, on
July 15, 2008). All these standard routine uses apply to Visa Records,
State-39.
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 in the Department's Foreign Affairs
Manual (https://fam.state.gov/FAM/05FAM/05FAM0440.html). All hard
copies of records containing 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:
Records may be retrieved through individual data fields including
but not limited to: Applicant personal data; biometrics and namecheck
data; case data; and visa data.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
The retention period for visa records depends on the nature of the
information and disposition of the visa adjudication. Some files
related to issued immigrant visas are destroyed six months after
issuance. In some instances, files with historical significance are
permanent records. Most files related to Certificates of Identity are
retained for twenty-five years after closure. These records are retired
and destroyed in accordance with published Department of State Records
Disposition Schedules as approved by the National Archives and Records
Administration (NARA), and a complete list of the Department's
schedules can be found on its Freedom of Information Act (FOIA)
program's website (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-266; 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 information, including personally identifiable
information (PII). Annual refresher training is mandatory. In addition,
all Department OpenNet network users are required to take the Foreign
Service Institute's 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 being granted access to Visa Records, a user must
first be granted access to the Department of State network system.
Department of State employees and contractors may remotely access
this system of records using non-Department owned information
technology. Such access is subject to approval by the Department's
mobile and remote access program and is limited to information
maintained in unclassified information systems. Remote access to the
Department's information systems is configured in compliance with the
Office of Management and Budget Circular Memorandum 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
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. While the
majority of records covered in Visa Records are electronic, all paper
records containing personal information are maintained in secured file
cabinets in restricted areas,
[[Page 61825]]
access to which is limited to authorized personnel only. 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
personally identifiable information (PII) must be specifically
authorized by the Department of State Authorizing Official and Senior
Agency Official for Privacy.
Information that conforms with Department-specific definitions for
FISMA low, moderate, or high categorization are permissible for cloud
usage and must specifically be authorized by the Department's Cloud
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 policy, systems that process more sensitive
information will require more stringent controls and review by
Department 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 (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 data center by
the Department 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 mechanisms 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
pertaining to themselves should write to U.S. Department of State;
Director, Office of Information Programs and Services; A/GIS/IPS; 2201
C St. NW; Room B-266; Washington, DC 20520. The individual must specify
that he or she wishes the Visa 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; email address; telephone number;
notarized signature or statement under penalty of perjury; 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 Visa Records include
records pertaining to the individual. Detailed instructions on
Department of State procedures for accessing and amending records can
be found at the Department's FOIA website (https://foia.state.gov/Request/Guide.aspx).
However, in general, visa records are confidential and may not be
released under section 222(f) of the Immigration and Nationality Act,
except that, the Department of State may consider requests for records
that originated with, or were sent to, a requesting visa applicant or
someone acting on such applicant's behalf to be releasable thereto.
CONTESTING RECORD PROCEDURES:
Individuals who wish to contest record procedures should write to
U.S. Department of State; Director, Office of Information Programs and
Services; A/GIS/IPS; 2201 C St. NW; Room B-266; Washington, DC 20520.
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 St. NW; Room B-266; Washington, DC 20520. The individual
must specify that he or she wishes the Visa 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; email address; telephone number;
notarized signature or statement under penalty of perjury; 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 Visa Records include
records pertaining to the individual.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(k)(1), (k)(2), and (k)(3), records
contained within this system of records are exempted from 5 U.S.C.
552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f). See
Department of State Rules published in the Federal Register, under 22
CFR 171.26.
HISTORY:
This SORN was previously published at 83 FR 28062 (June 15, 2018).
Eric F. Stein,
Acting Deputy Assistant Secretary, Bureau of Administration, Global
Information Services, U.S. Department of State.
[FR Doc. 2021-24303 Filed 11-5-21; 8:45 am]
BILLING CODE 4710-13-P
