Privacy Act of 1974; System of Records, 37119-37124 [2023-12022]
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Federal Register / Vol. 88, No. 108 / Tuesday, June 6, 2023 / Notices
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. Do not include
personal identifiable information in
submissions; you should submit only
information that you wish to make
available publicly. We may redact in
part or withhold entirely from
publication submitted material that is
obscene or subject to copyright
protection. All submissions should refer
to File Number SR–Phlx–2023–21, and
should be submitted on or before June
27, 2023.
For the Commission, by the Division of
Trading and Markets, pursuant to delegated
authority.22
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023–11923 Filed 6–5–23; 8:45 am]
BILLING CODE 8011–01–P
SECURITIES AND EXCHANGE
COMMISSION
[SEC File No. 270–630, OMB Control No.
3235–0689]
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Submission for OMB Review;
Comment Request; Extension: Rule
203A–2(d)
Upon Written Request, Copies Available
From: Securities and Exchange
Commission, Office of FOIA Services,
100 F Street NE, Washington, DC
20549–2736.
Notice is hereby given that pursuant
to the Paperwork Reduction Act of 1995
(44 U.S.C. 3501 et seq.) the Securities
and Exchange Commission
(‘‘Commission’’) has submitted to the
Office of Management and Budget
(‘‘OMB’’) a request for extension of the
previously approved collection of
information discussed below.
The title of the collection of
information is: ‘‘Exemption for Certain
Multi-State Investment Advisers (Rule
203A–2(d)).’’ Its currently approved
OMB control number is 3235–0689. An
agency may not conduct or sponsor, and
a person is not required to respond to
a collection of information unless it
displays a currently valid control
number.
Pursuant to section 203A of the
Investment Advisers Act of 1940 (the
22 17
CFR 200.30–3(a)(12).
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‘‘Act’’) (15 U.S.C. 80b–3a), an
investment adviser that is regulated or
required to be regulated as an
investment adviser in the state in which
it maintains its principal office and
place of business is prohibited from
registering with the Commission unless
that adviser has at least $25 million in
assets under management or advises a
Commission-registered investment
company. Section 203A also prohibits
from Commission registration an adviser
that: (i) has assets under management
between $25 million and $100 million;
(ii) is required to be registered as an
investment adviser with the state in
which it maintains its principal office
and place of business; and (iii) if
registered, would be subject to
examination as an adviser by that state
(a ‘‘mid-sized adviser’’). A mid-sized
adviser that otherwise would be
prohibited may register with the
Commission if it would be required to
register with 15 or more states.
Similarly, Rule 203A–2(d) under the Act
(17 CFR 275.203a–2(d)) provides that
the prohibition on registration with the
Commission does not apply to an
investment adviser that is required to
register in 15 or more states. An
investment adviser relying on this
exemption also must: (i) include a
representation on Schedule D of Form
ADV that the investment adviser has
concluded that it must register as an
investment adviser with the required
number of states; (ii) undertake to
withdraw from registration with the
Commission if the adviser indicates on
an annual updating amendment to Form
ADV that it would be required by the
laws of fewer than 15 states to register
as an investment adviser with the state;
and (iii) maintain in an easily accessible
place a record of the states in which the
investment adviser has determined it
would, but for the exemption, be
required to register for a period of not
less than five years from the filing of a
Form ADV relying on the rule.
Respondents to this collection of
information are investment advisers
required to register in 15 or more states
absent the exemption that rely on rule
203A–2(d) to register with the
Commission. The information collected
under rule 203A–2(d) permits the
Commission’s examination staff to
determine an adviser’s eligibility for
registration with the Commission under
this exemptive rule and is also
necessary for the Commission staff to
use in its examination and oversight
program. This collection of information
is codified at 17 CFR 275.203a–2(d) and
is mandatory to qualify for and maintain
Commission registration eligibility
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under rule 203A–2(d). Responses to the
recordkeeping requirements under rule
203A–2(d) in the context of the
Commission’s examination and
oversight program are generally kept
confidential.
The estimated number of investment
advisers subject to the collection of
information requirements under the rule
is 110. These advisers will incur an
average one-time initial burden of
approximately 8 hours, and an average
ongoing burden of approximately 8
hours per year, to keep records
sufficient to demonstrate that they meet
the 15-state threshold. These estimates
are based on an estimate that each year
an investment adviser will spend
approximately 0.5 hours creating a
record of its determination whether it
must register as an investment adviser
with each of the 15 states required to
rely on the exemption, and
approximately 0.5 hours to maintain
these records. Accordingly, we estimate
that rule 203A–2(d) results in an annual
aggregate burden of collection for SECregistered investment advisers of a total
of 880 hours. Estimates of average
burden hours are made solely for the
purposes of the Paperwork Reduction
Act, and are not derived from a
comprehensive or even a representative
survey or study of the costs of
Commission rules and forms.
The public may view background
documentation for this information
collection at the following website:
www.reginfo.gov. Find this particular
information collection by selecting
‘‘Currently under 30-day Review—Open
for Public Comments’’ or by using the
search function. Written comments and
recommendations for the proposed
information collection should be sent
within 30 days of publication of this
notice by July 6, 2023 to (i)
MBX.OMB.OIRA.SEC_desk_officer@
omb.eop.gov and (ii) David Bottom,
Director/Chief Information Officer,
Securities and Exchange Commission,
c/o John Pezzullo, 100 F Street NE,
Washington, DC 20549, or by sending an
email to: PRA_Mailbox@sec.gov.
Dated: June 1, 2023.
Sherry R. Haywood,
Assistant Secretary.
[FR Doc. 2023–11992 Filed 6–5–23; 8:45 am]
BILLING CODE 8011–01–P
DEPARTMENT OF STATE
[Public Notice: 12089]
Privacy Act of 1974; System of
Records
AGENCY:
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Department of State.
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Federal Register / Vol. 88, No. 108 / Tuesday, June 6, 2023 / Notices
Information Contact; Supplementary
Information; System Location; System
Manager; Record Source Categories;
SUMMARY: The information collected and
Policies and Practices for Retrieval of
maintained in Human Resources
Records; Policies and Practices for
Records is in keeping with the
Retention and Disposal of Records;
Department’s mission to document all
Contesting Record Procedures; and
processes associated with individual
Notification Procedures.
employment histories and career
SYSTEM NAME AND NUMBER:
progression; to ensure that all
employees and potential employees
Human Resources Records, State–31.
have equal employment opportunities;
SECURITY CLASSIFICATION:
and to make personnel management
Unclassified and Classified.
determinations about employees
throughout their Federal careers.
SYSTEM LOCATION:
DATES: In accordance with 5 U.S.C.
Department of State, 2201 C Street
552a(e)(4) and (11), this system of
NW, Washington, DC 20520; State
records notice (SORN) is effective upon
Annex 01, 2401 E Street NW,
publication, with the exception of the
Washington, DC 20037; State Annex 03,
routine uses (Y), (Z), (AA), (BB), (CC),
2121 Virginia Avenue NW, Washington,
(DD), (EE), (FF), and (GG) that are
DC 20037; State Annex 44, 301 4th
subject to a 30-day period during which Street SW, Washington, DC 20547;
interested persons may submit
overseas at U.S. embassies, U.S.
comments to the Department. Please
consulates general, and U.S. consulates;
submit any comments by July 6, 2023.
U.S. missions; and the National
ADDRESSES: Questions can be submitted
Personnel Records Center, 111
by mail, email, or by calling Eric F.
Winnebago Street, St. Louis, MO 63118;
Stein, the Senior Agency Official for
and the Florida Regional Center (FRC),
Privacy on (202) 485–2051. If mail,
4000 North Andrews Ave, Oakland
please write to: U.S Department of State; Park, FL 33309, and using a government
Office of Global Information Systems,
approved commercial cloud service,
A/GIS; Room 4534, 2201 C St. NW;
implemented and overseen by State
Washington, DC 20520. If email, please
Department employees, or within a
address the email to the Senior Agency
government cloud provided,
Official for Privacy, Eric F. Stein, at
implemented, and overseen by the
Privacy@state.gov. Please write ‘‘Human Department’s Enterprise Server
Resources Records, State–31’’ on the
Operations Center (ESOC), 2201 C Street
envelope or the subject line of your
NW, Washington, DC 20520.
email.
SYSTEM MANAGER(S):
FOR FURTHER INFORMATION CONTACT: Eric
The Director General of the Foreign
F. Stein, Senior Agency Official for
Service and Director of Global Talent
Privacy; U.S. Department of State; Office
Management, and Bureau of Information
of Global Information Services, A/GIS;
Resource Management—IRM,
Room 4534, 2201 C St. NW;
Department of State; 2201 C Street NW,
Washington, DC 20520 or by calling on
Washington, DC 20520, phone: 202–
(202) 485–2051.
647–4000.
SUPPLEMENTARY INFORMATION: This
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
notice is being modified to reflect the
Department’s move to cloud storage,
22 U.S.C. 2581 (General Authority of
new OMB guidance, additional
Secretary of State); 22 U.S.C. 2651a
authorities, and to incorporate data
(Organization of the Department of
collection by additional Bureaus and
State); 22 U.S.C. 3901 et seq. (Foreign
overseas posts within the Department
Service Act of 1980) [This SORN is not
(e.g.., Regional and Functional Bureaus). intended to conflict with, override, or
The modified system of records notice
create an exception to the restrictions
includes revisions and additions to the
and prohibitions in Sections 603 and
following sections: Authority for
604 of the Foreign Service Act]; 22
Maintenance of the System; Routine
U.S.C. 3921 (Management of the Foreign
Uses of Records Maintained in the
Service); 22 U.S.C. 4041
System; Categories of Individuals
(Administration of the Foreign Service
Covered by the System; Purpose(s) of
Retirement and Disability System); 5
the System; Administrative, Technical,
U.S.C. 301–302 (Management of
and Physical Safeguards; and Record
Executive Departments); 22 U.S.C 4081
Access Procedures. In addition, the
(Travel and Related Expenses); 31
Department is taking this opportunity to U.S.C. 901–902 (Agency Chief Financial
make minor administrative updates to
Officer); E.O. 9397, as amended
the notice in the following sections:
(Numbering System for Federal
Summary; Addresses; For Further
Accounts Relating to Individual
ACTION:
Notice of a modified system of
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Persons); E.O. 9830 (Amending the Civil
Service Rules and Providing for Federal
Personnel Administration); E.O. 12107
(Relating to the Civil Service
Commission and Labor-Management in
the Federal Service) and successor
authorities; and 31 U.S.C. 7701(c)(2)
(incorporating by reference 26 U.S.C.
6109) (Taxpayer Identification Number).
PURPOSE(S) OF THE SYSTEM:
The information collected and
maintained in Human Resources
Records is in keeping with the
Department’s mission to document all
processes associated with individual
employment histories and career
progression; to ensure that all
employees and potential employees
have equal opportunities; and to make
personnel management determinations
about employees throughout their
Federal careers.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
All applicants for employment with
the Department of State (including
unsuccessful applicants); all current and
former Civil Service (CS) and Foreign
Service (FS) employees of the
Department of State including members
of the Senior Executive Service (SES),
Senior Foreign Service (SFS),
Presidential Appointees, employees
under full-time, part-time, intermittent,
temporary, and limited appointments;
all current and former Locally
Employed (LE) Staff, [as defined in 3
FAM 7120] or [defined as individuals
hired under the local compensation
plan at a U.S. mission abroad under
Chief of Mission authority, or at an
office of the American Institute in
Taiwan, and employed on a Foreign
Service National direct hire
appointment, Department of State
Personal Services Agreement (PSA) or
Personal Services Contract (PSC), or an
employing agency’s specific direct hire,
PSA, or PSC authority]; anyone serving
in an advisory capacity (compensated
and uncompensated); other agency
employees on detail to the Department
of State; former Foreign Service Reserve
Officers; applicants for potential
employment; student applicants for
internships, Presidential Management
Fellows, Foreign Affairs Fellowship
Program Fellows, student interns and
other student summer hires, Pathways
student employees; and prospective
alien spouses and cohabitants of
Department of State employees.
CATEGORIES OF RECORDS IN THE SYSTEM:
Categories of records may include
identifying information, such as, but not
limited to, name, date of birth, home
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address, mailing and email addresses,
numeric identifier (such as employee
identification number, SGID, or Social
Security number/host country
identification number) and telephone
numbers. Types of files include
documents relating to class action
lawsuits, annuitants under the Foreign
Service Retirement and Disability
System and the Foreign Service Pension
System as well as Civil Service and LE
Staff annuitants, prospective alien
spouses and cohabitants of Department
employees, employees who apply for
their spouses or children to be
expeditiously naturalized, employees
detailed or seconded to international
organizations, Foreign Service
personnel separated for cause; official
personnel files; documents relating to
merit promotions, recruitment and
employment, employee relations, career
development and counseling,
performance, conduct, suitability, and
discipline, Foreign Service promotion
and Permanent Change of Station (PCS)
travel. These records may contain any
documents not otherwise stated relating
to employment, to include, but not
limited to, hiring, employment and
separation from the Department.
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RECORD SOURCE CATEGORIES:
These records contain information
obtained directly from the individual
who is the subject of these records,
previous employers, supervisors,
Foreign Service inspectors, any/all
offices within the Bureau of Global
Talent Management (counselors,
placement officers, and personnel
technicians), other bureaus
(administrative/executive officers,
personnel and payroll offices, security,
medical, and legal), reports of the Board
of Examiners of the Foreign Service,
Foreign Service Employee Evaluation
Reports and Selection Board findings,
the Foreign Service Institute, colleges,
universities, Armed Forces academic
institutions, contractors responsible for
administration of the Foreign Service
written examination, and other
authorized agencies administering preemployment tests, Office of Personnel
Management and other Federal
agencies, officials of foreign
governments, contractors and vendors
responsible for administration of
benefits/taxes for LE Staff under a post’s
local compensation plan, prospective
alien spouses of Foreign Service
employees; grievance staff and appeals
boards, affidavits and testimony of
witnesses, and from commercial
recruitment and employment systems
managed on behalf of the Department of
State by private vendors.
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ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
THE PURPOSES OF SUCH USES:
Records may be disclosed:
A. To consulting services that provide
information about available aids,
devices and methods of accommodating
employees with disabilities;
B. To the Office of Personnel
Management for its government-wide
personnel management functions such
as pay, benefits, and retirement
deductions or other relevant personnel
processes;
C. To other Federal agencies, state
governments, foreign governments and
international organizations where
employees are being considered for
detail, assignment or secondment;
D. To academic institutions to which
Department employees may be assigned
for long-term training;
E. To any member of an agency’s
Performance Review Board or other
panel when the member is not an
official of the employing agency.
Information would then be used for
approving or recommending selection of
candidates for executive development or
Senior Executive Service (SES)
candidate programs, issuing a
performance rating of record, issuing
performance awards, nominating for
meritorious and distinguished executive
ranks, removal, reduction in grade, and
other personnel actions based on
performance;
F. To attorneys, union representatives
or other persons designated by
employees in writing to represent them
in complaints, grievance, appeal, or
litigation cases;
G. To attorneys providing legal
services to posts with respect to LE Staff
personnel matters;
H. To requestors in determining a
former spouse’s entitlement to benefits
and other inquiries related to retirement
benefits;
I. To the President of the United
States, the Executive Office of the
President and legislative and
appropriations committees of the U.S.
Congress charged with consideration of
legislation and appropriations for the
Foreign Service, or representatives duly
authorized by such committees;
J. To labor organization officials when
such information is relevant to
personnel policies affecting
employment conditions and necessary
for exclusive representation by the labor
organization;
K. To officials of foreign governments
and other U.S. government agencies for
clearance before a Federal employee is
assigned to that country as well as for
the procurement of necessary services
for American personnel assigned
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overseas, such as permits of free entry
and identity cards;
L. To officials of foreign governments,
for the administration of benefits, taxes,
and other personnel matters for LE Staff
and to respond to requests from the host
government for the names and addresses
of LE Staff, if the chief of mission has
determined that this information should
be released;
M. To the Department of Labor,
Department of Veterans Affairs, Social
Security Administration, Department of
Defense, or any other Federal agencies
that have special civilian employee
retirement and disability programs; or to
a national, state, county, municipal, or
other publicly recognized income
administration agency (e.g. State
unemployment compensation agencies),
when necessary to adjudicate a claim
under the retirement, insurance,
unemployment or health benefits
programs of the Department or an
agency cited above, or to an agency to
conduct an analytical study or audit of
benefits being paid under such
programs. For LE Staff this includes
host country national, state, or local
agencies, as applicable;
N. To the Office of Federal Employees
Group Life Insurance, information
necessary to verify election, declination,
or waiver of regular and/or optional life
insurance coverage, or eligibility for
payment of a claim for life insurance;
O. To health insurance carriers
contracting with the Federal
government to provide a health benefits
plan under the Federal Employees
Health Benefits Program or, for LE Staff,
under a post’s local compensation plan,
information necessary to identify
enrollment in a plan, to verify eligibility
for payment of a claim for health
benefits, or to carry out the coordination
or audit of benefit provisions of such
contracts;
P. To any person who is responsible
for the care of an individual to whom
a record pertains who is mentally
incompetent or under other legal
disability. Information in the
individual’s record may be disclosed to
said person to the extent necessary to
assure payment of benefits to which the
individual is entitled;
Q. To public and private
organizations, including news media,
which grant or publicize employee
recognition to consider and select
employees for incentive awards and
other honors and to publicize awards
and honors granted;
R. To the Department of Justice in
connection with proceedings before a
court, adjudicative body, or other
administrative body when any of the
following is a party to litigation or has
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an interest in such litigation and the
Department of State determines that the
use of such records is arguably relevant
and necessary to the litigation of (1) the
Department of State or any component
thereof, (2) any employee of the
Department of State in his or her official
capacity, (3) any employee of the
Department of State in his or her
individual capacity where the
Department of Justice or the Department
of State has agreed to represent the
employee, or (4) the United States,
when the Department of State
determines that litigation is likely to
affect the Department of State or any of
its components;
S. To the parties when implementing
court decisions and/or terms of
settlement agreements reached by the
parties;
T. To the courts when preparing
reports to the courts in compliance with
monitoring requirements;
U. In response to an order from a
court or an administrative body
directing the production of personnel
records (including, but not limited to
the Equal Employment Opportunity
Commission, the Foreign Service
Grievance Board and the Merit Systems
Protection Board);
V. To other Government agencies and
private organizations, institutions or
individuals to verify employment, to
process security clearances/security
certifications and to request record or
credit checks;
W. To provide an official of another
Federal agency information needed in
the performance of official duties in
support of the functions for which the
records were collected and maintained;
X. To disclose information to Equal
Employment Opportunity (EEO)
counselors and EEO investigators in
connection with EEO complaints and to
the Equal Employment Opportunity
Commission when requested in
connection with investigations of
alleged or possible discrimination
practices in the Federal sector,
examination of Federal affirmative
employment programs, compliance by
Federal agencies with the Uniform
Guidelines on Employee Selection
Procedures, or other functions vested in
the Commission;
Y. To the Department of Labor’s
Office of Workers’ Compensation
programs or officials of a foreign
government relating to benefits under
the Federal Employees Compensation
Act or a host country workers’
compensation program; and
Z. To the news media and the public
when a matter involving the Department
of State has become public knowledge;
the Under Secretary for Management
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determines that in response to the
matter in the public domain, disclosure
is necessary to provide an accurate
factual record on the matter; and the
Under Secretary for Management
determines that there is a legitimate
public interest in the information
disclosed.
AA. To 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.
BB. To 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.
CC. To a contractor of the Department
having need for the information in the
performance of the contract, but not
operating a system of records within the
meaning of 5 U.S.C. 552a(m).
DD. To a vendor or third-party agent
providing or administering benefits for
LE Staff under a post’s local
compensation plan.
EE. To an agency, whether federal,
state, local or foreign, where a record
indicates a violation or potential
violation of law, whether civil, criminal
or regulatory in nature, and whether
arising by general statute or particular
program statute, or by regulation, rule or
order issued pursuant thereto, so that
the recipient agency can fulfill its
responsibility to investigate or prosecute
such violation or enforce or implement
the statute, rule, regulation, or order.
FF. To the Federal Bureau of
Investigation, the Department of
Homeland Security, the National
Counter-Terrorism Center (NCTC), the
Terrorist Screening Center (TSC), or
other appropriate federal agencies, for
the integration and use of such
information to protect against terrorism,
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if that record is about one or more
individuals known, or suspected, to be
or to have been involved in activities
constituting, in preparation for, in aid
of, or related to terrorism. Such
information may be further
disseminated by recipient agencies to
Federal, State, local, territorial, tribal,
and foreign government authorities, and
to support private sector processes as
contemplated in Homeland Security
Presidential Directive/HSPD–6 and
other relevant laws and directives, for
terrorist screening, threat-protection,
and other homeland security purposes.
GG. To a Congressional office from
the record of an individual in response
to an inquiry from the Congressional
office made at the request of that
individual.
HH. To a court, adjudicative body, or
administrative body before which the
Department is authorized to appear
when (a) the Department; (b) any
employee of the Department in his or
her official capacity; (c) any employee of
the Department in his or her individual
capacity where the U.S. Department of
Justice (‘‘DOJ’’) or the Department has
agreed to represent the employee; or (d)
the Government of the United States,
when the Department determines that
litigation is likely to affect the
Department, is a party to litigation or
has an interest in such litigation, and
the use of such records by the
Department is deemed to be relevant
and necessary to the litigation or
administrative proceeding.
II. To the Department of Justice
(‘‘DOJ’’), including any counsel retained
by DOJ for foreign litigation, for its use
in providing legal advice to the
Department or in representing the
Department in a proceeding before a
court, adjudicative body, or other
administrative body before which the
Department is authorized to appear,
where the Department deems DOJ’s use
of such information relevant and
necessary to the litigation, and such
proceeding names as a party or interests:
Æ The Department or any component
of it;
Æ Any employee of the Department in
his or her official capacity;
Æ Any employee of the Department in
his or her individual capacity where
DOJ has agreed to represent the
employee; or
Æ The Government of the United
States, where the Department
determines that litigation is likely to
affect the Department or any of its
components.
JJ. To the National Archives and
Records Administration and the General
Services Administration for records
management inspections, surveys and
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studies; following transfer to a Federal
records center for storage; and to
determine whether such records have
sufficient historical or other value to
warrant accessioning into the National
Archives of the United States.
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 Human
Resources Records, State-31.
POLICIES AND PRACTICES FOR STORAGE OF
RECORDS:
Records are stored both in hard copy
and on electronic media. A description
of standard Department of State policies
concerning storage of electronic records
is found at https://fam.state.gov/FAM/
05FAM/05FAM0440.html. All hard
copies of records containing personal
information are maintained in secured
file cabinets in restricted areas, access to
which is limited to authorized
personnel only.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:
Records in Human Resources Records,
State-31 are retrieved by an individual
name and numeric identifier.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
Human resources records are retained
from within 180 days of an appointment
to permanently. 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 outlined at https://
foia.state.gov/Learn/
RecordsDisposition.aspx. More specific
information may be obtained by writing
to the following address: U.S.
Department of State; Director, Office of
Information Programs and Services; A/
GIS/IPS; 2201 C Street NW; Room B–
266; Washington, DC 20520.
ddrumheller on DSK120RN23PROD with NOTICES1
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:
All 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 distance
learning course instructing employees
on privacy and security requirements,
including the rules of behavior for
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19:24 Jun 05, 2023
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handling PII and the potential
consequences if it is handled
improperly. Before being granted access
to Human Resources Records, a user
must first be granted access to the
Department of State computer network.
Department of State employees and
contractors may remotely access this
system of records using nonDepartment-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 OMB Circular A–130
multifactor authentication requirements
and includes a time-out function. All
Department of State employees and
contractors with authorized access to
records maintained in this system of
records have undergone a thorough
background security investigation.
Access to the Department of State, its
annexes, and posts abroad is controlled
by security guards and admission is
limited to those individuals possessing
a valid identification card or individuals
under proper escort. Access to
computerized files is passwordprotected and under the direct
supervision of the system manager. The
system manager has the capability of
printing audit trails of access from the
computer media, thereby permitting
regular and ad hoc monitoring of
computer usage. When it is determined
that a user no longer needs access, the
user account is disabled.
The safeguards in the following
paragraphs apply only to records that
are maintained in government-certified
cloud systems. All cloud systems that
provide IT services and process
Department of State information must
be specifically authorized by the
Department of State Authorizing Official
and Senior Agency Official for Privacy.
Information that conforms with
Department-specific definitions for
Federal Information Security
Modernization Act (FISMA) low,
moderate, or high categorization are
permissible for cloud usage and must
specifically be authorized by the
Department’s Cloud Program
Management Office and the Department
of State Authorizing Official. Specific
security measures and safeguards will
depend on the FISMA categorization of
the information in a given cloud system.
In accordance with Department 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
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Fmt 4703
Sfmt 4703
37123
must comply with applicable security
measures that are outlined in FISMA,
FedRAMP, OMB regulations, National
Institute of Standards and Technology’s
(NIST) Special Publications (SP) and
Federal Information Processing
Standards (FIPS) and Department of
State policies and standards.
All data stored in cloud environments
categorized above a low FISMA impact
risk level must be encrypted at rest and
in-transit using a federally-approved
encryption mechanism. The encryption
keys shall be generated, maintained, and
controlled in a Department 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 mechanism utilizing
Public Key Infrastructure (PKI) and
NIST 800 53 controls concerning
virtualization, servers, storage and
networking, as well as stringent
measures to sanitize data from the cloud
service once the contract is terminated.
RECORD ACCESS PROCEDURES:
Individuals who wish to gain access
to or to amend records pertaining to
themselves should write to U.S.
Department of State; Director, Office of
Information Programs and Services;
A/GIS/IPS; 2201 C Street NW; Room
B–266; Washington, DC 20520. The
individual must specify that he or she
wishes the Human Resources Records to
be checked. At a minimum, the
individual must include: full name
(including maiden name, if appropriate)
and any other names used; current
mailing address and zip code; date and
place of birth; notarized signature or
statement under penalty of perjury; 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
Human Resources 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 located at
https://foia.state.gov/Request/
Guide.aspx.
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 Street NW; Room B–
266; Washington, DC 20520.
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37124
Federal Register / Vol. 88, No. 108 / Tuesday, June 6, 2023 / Notices
NOTIFICATION PROCEDURES:
DEPARTMENT OF TRANSPORTATION
Individuals who have reason to
believe that this system of records might
have records pertaining to them may
write to the 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. The individual must specify that
he or she wishes the Human Resources
Records to be checked. At a minimum,
the individuals must include: full name
(including maiden name, if appropriate)
and any other names used; current
mailing address and zip code; date and
place of birth; notarized signature or
statement under penalty of perjury; 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
Human Resources Records include
records pertaining to the individual.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(k)(1),
subject to the provisions of section
552(b)(1), records are exempted from 5
U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G),
(H) and (I), and (f) to protect material
required to be kept Secret. Pursuant to
5 U.S.C. 552a(k)(4), records contained
within this system that are maintained
solely for statistical purposes are also
exempted from 5 U.S.C. 552a(c)(3), (d),
(e)(1), (e)(4)(G), (H) and (I), and (f).
Pursuant to 5 U.S.C. 552a(k)(5) and
(k)(7), certain records contained within
this system contain confidential source
information and are exempted from 5
U.S.C. 552a (c)(3), (d), (e)(1), (e)(4)(G),
(H) and (I), and (f). Pursuant to 5 U.S.C.
552a(k)(6), records that contain testing
or examination material, the release of
which may compromise testing or
examination procedures, are also
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
22 CFR 171.
HISTORY:
ddrumheller on DSK120RN23PROD with NOTICES1
Human Resources Records, State-31,
was previously published at 78 FR
43258.
Eric F. Stein,
Deputy Assistant Secretary, Global
Information Services (A/GIS), Department of
State.
[FR Doc. 2023–12022 Filed 6–5–23; 8:45 am]
BILLING CODE 4710–15–P
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Federal Transit Administration
Limitation on Claims Against Proposed
Public Transportation Projects—
Coolidge Terminal Replacement
Project, and VIA Advanced Rapid
Transit North/South Corridor Project
Federal Transit Administration
(FTA), Department of Transportation
(DOT).
ACTION: Notice.
AGENCY:
This notice announces final
environmental actions taken by the
Federal Transit Administration (FTA)
regarding the two projects: Coolidge
Terminal Replacement Project, City of
Detroit, Wayne County, Michigan; and
VIA Advanced Rapid Transit North/
South Corridor Project, San Antonio,
Bexar County, Texas. The purpose of
this notice is to publicly announce
FTA’s environmental decisions on the
subject projects and to activate the
limitation on any claims that may
challenge these final environmental
actions.
DATES: A claim seeking judicial review
of FTA actions announced herein for the
listed public transportation projects will
be barred unless the claim is filed on or
before November 3, 2023.
FOR FURTHER INFORMATION CONTACT:
Kathryn Loster, Assistant Chief Counsel,
Office of Chief Counsel, (312) 705–1269,
or Saadat Khan, Environmental
Protection Specialist, Office of
Environmental Programs, (202) 366–
9647. FTA is located at 1200 New Jersey
Avenue SE, Washington, DC 20590.
Office hours are from 9:00 a.m. to 5:00
p.m., Monday through Friday, except
Federal holidays.
SUPPLEMENTARY INFORMATION: Notice is
hereby given that FTA has taken final
agency actions subject to 23 U.S.C.
139(l) by issuing certain approvals for
the public transportation projects listed
below. The actions on the projects, as
well as the laws under which such
actions were taken, are described in the
documentation issued in connection
with the projects to comply with the
National Environmental Policy Act
(NEPA) and in other documents in the
FTA environmental project files for the
projects. Interested parties may contact
either the project sponsor or the relevant
FTA Regional Office for more
information. Contact information for
FTA’s Regional Offices may be found at
https://www.transit.dot.gov.
This notice applies to all FTA
decisions on the listed projects as of the
issuance date of this notice and all laws
under which such actions were taken,
SUMMARY:
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Frm 00120
Fmt 4703
Sfmt 4703
including, but not limited to, NEPA (42
U.S.C. 4321–4375), section 4(f)
requirements (49 U.S.C. 303), section
106 of the National Historic
Preservation Act (54 U.S.C. 306108),
Endangered Species Act (16 U.S.C.
1531), Clean Water Act (33 U.S.C. 1251),
Uniform Relocation and Real Property
Acquisition Policies Act (42 U.S.C.
4601), and the Clean Air Act (42 U.S.C.
7401–7671q). This notice does not,
however, alter or extend the limitation
period for challenges of project
decisions subject to previous notices
published in the Federal Register. The
projects and actions that are the subject
of this notice follow:
1. Project name and location:
Coolidge Terminal Replacement Project,
City of Detroit, Wayne County,
Michigan. Project Sponsor: Detroit
Department of Transportation (DDOT),
Detroit, Michigan. Project description:
The Project involves a replacement of
the existing Coolidge Terminal with an
entirely new facility. The Project
consists of three buildings with
interdependent programs: Bus Storage,
Fleet Maintenance, and Operations. The
Project will accommodate 24-hour
operations and initially accommodate
144 buses, with the capacity to expand
to up to 216 buses in the future. The
Project also involves construction of
parking spaces for staff and visitors
meeting American with Disabilities Act
(ADA) standards and associated
infrastructure improvements.
Final agency actions: Section 4(f) use
determination, dated March 16, 2023;
executed Section 106 Memorandum of
Agreement, dated April 26, 2023; and
Coolidge Terminal Replacement Project
Finding of No Significant Impact
(FONSI), dated May 12, 2023.
Supporting documentation: The
Coolidge Terminal Replacement Project
Environmental Assessment (EA), dated
January 27, 2023. The FONSI, EA and
associated documents can be viewed
and downloaded from: https://
detroitmi.gov/departments/detroitdepartment-transportation/coolidgeterminal-replacement-project
2. Project name and location: VIA
Advanced Rapid Transit North/South
Corridor Project, San Antonio, Bexar
County, Texas. Project Sponsor: VIA
Metropolitan Transit, San Antonio,
Texas. Project description: The Project
includes construction of an advanced
rapid transit bus route from San
Antonio International Airport in the
north, through Downtown San Antonio,
to Steves Avenue in the south. The
Project is approximately 12 miles long
and includes approximately 26 new
stations that will be uniquely branded
for the service. Service is anticipated to
E:\FR\FM\06JNN1.SGM
06JNN1
Agencies
[Federal Register Volume 88, Number 108 (Tuesday, June 6, 2023)]
[Notices]
[Pages 37119-37124]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2023-12022]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF STATE
[Public Notice: 12089]
Privacy Act of 1974; System of Records
AGENCY: Department of State.
[[Page 37120]]
ACTION: Notice of a modified system of records.
-----------------------------------------------------------------------
SUMMARY: The information collected and maintained in Human Resources
Records is in keeping with the Department's mission to document all
processes associated with individual employment histories and career
progression; to ensure that all employees and potential employees have
equal employment opportunities; and to make personnel management
determinations about employees throughout their Federal careers.
DATES: In accordance with 5 U.S.C. 552a(e)(4) and (11), this system of
records notice (SORN) is effective upon publication, with the exception
of the routine uses (Y), (Z), (AA), (BB), (CC), (DD), (EE), (FF), and
(GG) that are subject to a 30-day period during which interested
persons may submit comments to the Department. Please submit any
comments by July 6, 2023.
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 4534, 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 ``Human Resources Records, State-31'' on the envelope or
the subject line of your email.
FOR FURTHER INFORMATION CONTACT: Eric F. Stein, Senior Agency Official
for Privacy; U.S. Department of State; Office of Global Information
Services, A/GIS; Room 4534, 2201 C St. NW; Washington, DC 20520 or by
calling on (202) 485-2051.
SUPPLEMENTARY INFORMATION: This notice is being modified to reflect the
Department's move to cloud storage, new OMB guidance, additional
authorities, and to incorporate data collection by additional Bureaus
and overseas posts within the Department (e.g.., Regional and
Functional Bureaus). The modified system of records notice includes
revisions and additions to the following sections: Authority for
Maintenance of the System; Routine Uses of Records Maintained in the
System; Categories of Individuals Covered by the System; Purpose(s) of
the System; Administrative, Technical, and Physical Safeguards; and
Record Access Procedures. In addition, the Department is taking this
opportunity to make minor administrative updates to the notice in the
following sections: Summary; Addresses; For Further Information
Contact; Supplementary Information; System Location; System Manager;
Record Source Categories; Policies and Practices for Retrieval of
Records; Policies and Practices for Retention and Disposal of Records;
Contesting Record Procedures; and Notification Procedures.
SYSTEM NAME AND NUMBER:
Human Resources Records, State-31.
SECURITY CLASSIFICATION:
Unclassified and Classified.
SYSTEM LOCATION:
Department of State, 2201 C Street NW, Washington, DC 20520; State
Annex 01, 2401 E Street NW, Washington, DC 20037; State Annex 03, 2121
Virginia Avenue NW, Washington, DC 20037; State Annex 44, 301 4th
Street SW, Washington, DC 20547; overseas at U.S. embassies, U.S.
consulates general, and U.S. consulates; U.S. missions; and the
National Personnel Records Center, 111 Winnebago Street, St. Louis, MO
63118; and the Florida Regional Center (FRC), 4000 North Andrews Ave,
Oakland Park, FL 33309, and using a government approved commercial
cloud service, implemented and overseen by State Department employees,
or within a government cloud provided, implemented, and overseen by the
Department's Enterprise Server Operations Center (ESOC), 2201 C Street
NW, Washington, DC 20520.
SYSTEM MANAGER(S):
The Director General of the Foreign Service and Director of Global
Talent Management, and Bureau of Information Resource Management--IRM,
Department of State; 2201 C Street NW, Washington, DC 20520, phone:
202-647-4000.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
22 U.S.C. 2581 (General Authority of Secretary of State); 22 U.S.C.
2651a (Organization of the Department of State); 22 U.S.C. 3901 et seq.
(Foreign Service Act of 1980) [This SORN is not intended to conflict
with, override, or create an exception to the restrictions and
prohibitions in Sections 603 and 604 of the Foreign Service Act]; 22
U.S.C. 3921 (Management of the Foreign Service); 22 U.S.C. 4041
(Administration of the Foreign Service Retirement and Disability
System); 5 U.S.C. 301-302 (Management of Executive Departments); 22
U.S.C 4081 (Travel and Related Expenses); 31 U.S.C. 901-902 (Agency
Chief Financial Officer); E.O. 9397, as amended (Numbering System for
Federal Accounts Relating to Individual Persons); E.O. 9830 (Amending
the Civil Service Rules and Providing for Federal Personnel
Administration); E.O. 12107 (Relating to the Civil Service Commission
and Labor-Management in the Federal Service) and successor authorities;
and 31 U.S.C. 7701(c)(2) (incorporating by reference 26 U.S.C. 6109)
(Taxpayer Identification Number).
PURPOSE(S) OF THE SYSTEM:
The information collected and maintained in Human Resources Records
is in keeping with the Department's mission to document all processes
associated with individual employment histories and career progression;
to ensure that all employees and potential employees have equal
opportunities; and to make personnel management determinations about
employees throughout their Federal careers.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
All applicants for employment with the Department of State
(including unsuccessful applicants); all current and former Civil
Service (CS) and Foreign Service (FS) employees of the Department of
State including members of the Senior Executive Service (SES), Senior
Foreign Service (SFS), Presidential Appointees, employees under full-
time, part-time, intermittent, temporary, and limited appointments; all
current and former Locally Employed (LE) Staff, [as defined in 3 FAM
7120] or [defined as individuals hired under the local compensation
plan at a U.S. mission abroad under Chief of Mission authority, or at
an office of the American Institute in Taiwan, and employed on a
Foreign Service National direct hire appointment, Department of State
Personal Services Agreement (PSA) or Personal Services Contract (PSC),
or an employing agency's specific direct hire, PSA, or PSC authority];
anyone serving in an advisory capacity (compensated and uncompensated);
other agency employees on detail to the Department of State; former
Foreign Service Reserve Officers; applicants for potential employment;
student applicants for internships, Presidential Management Fellows,
Foreign Affairs Fellowship Program Fellows, student interns and other
student summer hires, Pathways student employees; and prospective alien
spouses and cohabitants of Department of State employees.
CATEGORIES OF RECORDS IN THE SYSTEM:
Categories of records may include identifying information, such as,
but not limited to, name, date of birth, home
[[Page 37121]]
address, mailing and email addresses, numeric identifier (such as
employee identification number, SGID, or Social Security number/host
country identification number) and telephone numbers. Types of files
include documents relating to class action lawsuits, annuitants under
the Foreign Service Retirement and Disability System and the Foreign
Service Pension System as well as Civil Service and LE Staff
annuitants, prospective alien spouses and cohabitants of Department
employees, employees who apply for their spouses or children to be
expeditiously naturalized, employees detailed or seconded to
international organizations, Foreign Service personnel separated for
cause; official personnel files; documents relating to merit
promotions, recruitment and employment, employee relations, career
development and counseling, performance, conduct, suitability, and
discipline, Foreign Service promotion and Permanent Change of Station
(PCS) travel. These records may contain any documents not otherwise
stated relating to employment, to include, but not limited to, hiring,
employment and separation from the Department.
RECORD SOURCE CATEGORIES:
These records contain information obtained directly from the
individual who is the subject of these records, previous employers,
supervisors, Foreign Service inspectors, any/all offices within the
Bureau of Global Talent Management (counselors, placement officers, and
personnel technicians), other bureaus (administrative/executive
officers, personnel and payroll offices, security, medical, and legal),
reports of the Board of Examiners of the Foreign Service, Foreign
Service Employee Evaluation Reports and Selection Board findings, the
Foreign Service Institute, colleges, universities, Armed Forces
academic institutions, contractors responsible for administration of
the Foreign Service written examination, and other authorized agencies
administering pre-employment tests, Office of Personnel Management and
other Federal agencies, officials of foreign governments, contractors
and vendors responsible for administration of benefits/taxes for LE
Staff under a post's local compensation plan, prospective alien spouses
of Foreign Service employees; grievance staff and appeals boards,
affidavits and testimony of witnesses, and from commercial recruitment
and employment systems managed on behalf of the Department of State by
private vendors.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
Records may be disclosed:
A. To consulting services that provide information about available
aids, devices and methods of accommodating employees with disabilities;
B. To the Office of Personnel Management for its government-wide
personnel management functions such as pay, benefits, and retirement
deductions or other relevant personnel processes;
C. To other Federal agencies, state governments, foreign
governments and international organizations where employees are being
considered for detail, assignment or secondment;
D. To academic institutions to which Department employees may be
assigned for long-term training;
E. To any member of an agency's Performance Review Board or other
panel when the member is not an official of the employing agency.
Information would then be used for approving or recommending selection
of candidates for executive development or Senior Executive Service
(SES) candidate programs, issuing a performance rating of record,
issuing performance awards, nominating for meritorious and
distinguished executive ranks, removal, reduction in grade, and other
personnel actions based on performance;
F. To attorneys, union representatives or other persons designated
by employees in writing to represent them in complaints, grievance,
appeal, or litigation cases;
G. To attorneys providing legal services to posts with respect to
LE Staff personnel matters;
H. To requestors in determining a former spouse's entitlement to
benefits and other inquiries related to retirement benefits;
I. To the President of the United States, the Executive Office of
the President and legislative and appropriations committees of the U.S.
Congress charged with consideration of legislation and appropriations
for the Foreign Service, or representatives duly authorized by such
committees;
J. To labor organization officials when such information is
relevant to personnel policies affecting employment conditions and
necessary for exclusive representation by the labor organization;
K. To officials of foreign governments and other U.S. government
agencies for clearance before a Federal employee is assigned to that
country as well as for the procurement of necessary services for
American personnel assigned overseas, such as permits of free entry and
identity cards;
L. To officials of foreign governments, for the administration of
benefits, taxes, and other personnel matters for LE Staff and to
respond to requests from the host government for the names and
addresses of LE Staff, if the chief of mission has determined that this
information should be released;
M. To the Department of Labor, Department of Veterans Affairs,
Social Security Administration, Department of Defense, or any other
Federal agencies that have special civilian employee retirement and
disability programs; or to a national, state, county, municipal, or
other publicly recognized income administration agency (e.g. State
unemployment compensation agencies), when necessary to adjudicate a
claim under the retirement, insurance, unemployment or health benefits
programs of the Department or an agency cited above, or to an agency to
conduct an analytical study or audit of benefits being paid under such
programs. For LE Staff this includes host country national, state, or
local agencies, as applicable;
N. To the Office of Federal Employees Group Life Insurance,
information necessary to verify election, declination, or waiver of
regular and/or optional life insurance coverage, or eligibility for
payment of a claim for life insurance;
O. To health insurance carriers contracting with the Federal
government to provide a health benefits plan under the Federal
Employees Health Benefits Program or, for LE Staff, under a post's
local compensation plan, information necessary to identify enrollment
in a plan, to verify eligibility for payment of a claim for health
benefits, or to carry out the coordination or audit of benefit
provisions of such contracts;
P. To any person who is responsible for the care of an individual
to whom a record pertains who is mentally incompetent or under other
legal disability. Information in the individual's record may be
disclosed to said person to the extent necessary to assure payment of
benefits to which the individual is entitled;
Q. To public and private organizations, including news media, which
grant or publicize employee recognition to consider and select
employees for incentive awards and other honors and to publicize awards
and honors granted;
R. To the Department of Justice in connection with proceedings
before a court, adjudicative body, or other administrative body when
any of the following is a party to litigation or has
[[Page 37122]]
an interest in such litigation and the Department of State determines
that the use of such records is arguably relevant and necessary to the
litigation of (1) the Department of State or any component thereof, (2)
any employee of the Department of State in his or her official
capacity, (3) any employee of the Department of State in his or her
individual capacity where the Department of Justice or the Department
of State has agreed to represent the employee, or (4) the United
States, when the Department of State determines that litigation is
likely to affect the Department of State or any of its components;
S. To the parties when implementing court decisions and/or terms of
settlement agreements reached by the parties;
T. To the courts when preparing reports to the courts in compliance
with monitoring requirements;
U. In response to an order from a court or an administrative body
directing the production of personnel records (including, but not
limited to the Equal Employment Opportunity Commission, the Foreign
Service Grievance Board and the Merit Systems Protection Board);
V. To other Government agencies and private organizations,
institutions or individuals to verify employment, to process security
clearances/security certifications and to request record or credit
checks;
W. To provide an official of another Federal agency information
needed in the performance of official duties in support of the
functions for which the records were collected and maintained;
X. To disclose information to Equal Employment Opportunity (EEO)
counselors and EEO investigators in connection with EEO complaints and
to the Equal Employment Opportunity Commission when requested in
connection with investigations of alleged or possible discrimination
practices in the Federal sector, examination of Federal affirmative
employment programs, compliance by Federal agencies with the Uniform
Guidelines on Employee Selection Procedures, or other functions vested
in the Commission;
Y. To the Department of Labor's Office of Workers' Compensation
programs or officials of a foreign government relating to benefits
under the Federal Employees Compensation Act or a host country workers'
compensation program; and
Z. To the news media and the public when a matter involving the
Department of State has become public knowledge; the Under Secretary
for Management determines that in response to the matter in the public
domain, disclosure is necessary to provide an accurate factual record
on the matter; and the Under Secretary for Management determines that
there is a legitimate public interest in the information disclosed.
AA. To 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.
BB. To 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.
CC. To a contractor of the Department having need for the
information in the performance of the contract, but not operating a
system of records within the meaning of 5 U.S.C. 552a(m).
DD. To a vendor or third-party agent providing or administering
benefits for LE Staff under a post's local compensation plan.
EE. To an agency, whether federal, state, local or foreign, where a
record indicates a violation or potential violation of law, whether
civil, criminal or regulatory in nature, and whether arising by general
statute or particular program statute, or by regulation, rule or order
issued pursuant thereto, so that the recipient agency can fulfill its
responsibility to investigate or prosecute such violation or enforce or
implement the statute, rule, regulation, or order.
FF. To the Federal Bureau of Investigation, the Department of
Homeland Security, the National Counter-Terrorism Center (NCTC), the
Terrorist Screening Center (TSC), or other appropriate federal
agencies, for the integration and use of such information to protect
against terrorism, if that record is about one or more individuals
known, or suspected, to be or to have been involved in activities
constituting, in preparation for, in aid of, or related to terrorism.
Such information may be further disseminated by recipient agencies to
Federal, State, local, territorial, tribal, and foreign government
authorities, and to support private sector processes as contemplated in
Homeland Security Presidential Directive/HSPD-6 and other relevant laws
and directives, for terrorist screening, threat-protection, and other
homeland security purposes.
GG. To a Congressional office from the record of an individual in
response to an inquiry from the Congressional office made at the
request of that individual.
HH. To a court, adjudicative body, or administrative body before
which the Department is authorized to appear when (a) the Department;
(b) any employee of the Department in his or her official capacity; (c)
any employee of the Department in his or her individual capacity where
the U.S. Department of Justice (``DOJ'') or the Department has agreed
to represent the employee; or (d) the Government of the United States,
when the Department determines that litigation is likely to affect the
Department, is a party to litigation or has an interest in such
litigation, and the use of such records by the Department is deemed to
be relevant and necessary to the litigation or administrative
proceeding.
II. To the Department of Justice (``DOJ''), including any counsel
retained by DOJ for foreign litigation, for its use in providing legal
advice to the Department or in representing the Department in a
proceeding before a court, adjudicative body, or other administrative
body before which the Department is authorized to appear, where the
Department deems DOJ's use of such information relevant and necessary
to the litigation, and such proceeding names as a party or interests:
[cir] The Department or any component of it;
[cir] Any employee of the Department in his or her official
capacity;
[cir] Any employee of the Department in his or her individual
capacity where DOJ has agreed to represent the employee; or
[cir] The Government of the United States, where the Department
determines that litigation is likely to affect the Department or any of
its components.
JJ. To the National Archives and Records Administration and the
General Services Administration for records management inspections,
surveys and
[[Page 37123]]
studies; following transfer to a Federal records center for storage;
and to determine whether such records have sufficient historical or
other value to warrant accessioning into the National Archives of the
United States.
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 Human
Resources Records, State-31.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored both in hard copy and on electronic media. A
description of standard Department of State policies concerning storage
of electronic records is found at https://fam.state.gov/FAM/05FAM/05FAM0440.html. All hard copies of records containing personal
information are maintained in secured file cabinets in restricted
areas, access to which is limited to authorized personnel only.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records in Human Resources Records, State-31 are retrieved by an
individual name and numeric identifier.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Human resources records are retained from within 180 days of an
appointment to permanently. 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 outlined at https://foia.state.gov/Learn/RecordsDisposition.aspx. More specific information may be obtained by
writing to the following address: U.S. Department of State; Director,
Office of Information Programs and Services; A/GIS/IPS; 2201 C Street
NW; Room B-266; Washington, DC 20520.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
All 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 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 Human Resources Records, a user must first be granted
access to the Department of State computer network.
Department of State employees and contractors may remotely access
this system of records using non-Department-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 OMB
Circular A-130 multifactor authentication requirements and includes a
time-out function. All Department of State employees and contractors
with authorized access to records maintained in this system of records
have undergone a thorough background security investigation. Access to
the Department of State, its annexes, and posts abroad is controlled by
security guards and admission is limited to those individuals
possessing a valid identification card or individuals under proper
escort. Access to computerized files is password-protected and under
the direct supervision of the system manager. The system manager has
the capability of printing audit trails of access from the computer
media, thereby permitting regular and ad hoc monitoring of computer
usage. When it is determined that a user no longer needs access, the
user account is disabled.
The safeguards in the following paragraphs apply only to records
that are maintained in government-certified cloud systems. All cloud
systems that provide IT services and process Department of State
information must be specifically authorized by the Department of State
Authorizing Official and Senior Agency Official for Privacy.
Information that conforms with Department-specific definitions for
Federal Information Security Modernization Act (FISMA) low, moderate,
or high categorization are permissible for cloud usage and must
specifically be authorized by the Department's Cloud Program Management
Office and the Department of State Authorizing Official. Specific
security measures and safeguards will depend on the FISMA
categorization of the information in a given cloud system. In
accordance with Department 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's (NIST) Special Publications (SP) and Federal
Information Processing Standards (FIPS) and Department of State
policies and standards.
All data stored in cloud environments categorized above a low FISMA
impact risk level must be encrypted at rest and in-transit using a
federally-approved encryption mechanism. The encryption keys shall be
generated, maintained, and controlled in a Department 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 mechanism utilizing Public Key
Infrastructure (PKI) and NIST 800 53 controls concerning
virtualization, servers, storage and networking, as well as stringent
measures to sanitize data from the cloud service once the contract is
terminated.
RECORD ACCESS PROCEDURES:
Individuals who wish to gain access to or to amend records
pertaining to themselves should write to U.S. Department of State;
Director, Office of Information Programs and Services; A/GIS/IPS; 2201
C Street NW; Room B-266; Washington, DC 20520. The individual must
specify that he or she wishes the Human Resources Records to be
checked. At a minimum, the individual must include: full name
(including maiden name, if appropriate) and any other names used;
current mailing address and zip code; date and place of birth;
notarized signature or statement under penalty of perjury; 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 Human Resources 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 located at https://foia.state.gov/Request/Guide.aspx.
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 Street NW; Room B-266; Washington, DC
20520.
[[Page 37124]]
NOTIFICATION PROCEDURES:
Individuals who have reason to believe that this system of records
might have records pertaining to them may write to the 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. The individual
must specify that he or she wishes the Human Resources Records to be
checked. At a minimum, the individuals must include: full name
(including maiden name, if appropriate) and any other names used;
current mailing address and zip code; date and place of birth;
notarized signature or statement under penalty of perjury; 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 Human Resources Records
include records pertaining to the individual.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(k)(1), subject to the provisions of
section 552(b)(1), records are exempted from 5 U.S.C. 552a(c)(3), (d),
(e)(1), (e)(4)(G), (H) and (I), and (f) to protect material required to
be kept Secret. Pursuant to 5 U.S.C. 552a(k)(4), records contained
within this system that are maintained solely for statistical purposes
are also exempted from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H)
and (I), and (f). Pursuant to 5 U.S.C. 552a(k)(5) and (k)(7), certain
records contained within this system contain confidential source
information and are exempted from 5 U.S.C. 552a (c)(3), (d), (e)(1),
(e)(4)(G), (H) and (I), and (f). Pursuant to 5 U.S.C. 552a(k)(6),
records that contain testing or examination material, the release of
which may compromise testing or examination procedures, are also
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 22 CFR 171.
HISTORY:
Human Resources Records, State-31, was previously published at 78
FR 43258.
Eric F. Stein,
Deputy Assistant Secretary, Global Information Services (A/GIS),
Department of State.
[FR Doc. 2023-12022 Filed 6-5-23; 8:45 am]
BILLING CODE 4710-15-P