Privacy Act of 1974; System of Records, 37119-37124 [2023-12022]

Download as PDF 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] ddrumheller on DSK120RN23PROD with NOTICES1 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). VerDate Sep<11>2014 19:24 Jun 05, 2023 Jkt 259001 ‘‘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 PO 00000 Frm 00115 Fmt 4703 Sfmt 4703 37119 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: E:\FR\FM\06JNN1.SGM Department of State. 06JNN1 37120 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 ddrumheller on DSK120RN23PROD with NOTICES1 records. VerDate Sep<11>2014 19:24 Jun 05, 2023 Jkt 259001 PO 00000 Frm 00116 Fmt 4703 Sfmt 4703 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 E:\FR\FM\06JNN1.SGM 06JNN1 Federal Register / Vol. 88, No. 108 / Tuesday, June 6, 2023 / Notices 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. ddrumheller on DSK120RN23PROD with NOTICES1 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. VerDate Sep<11>2014 19:24 Jun 05, 2023 Jkt 259001 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 PO 00000 Frm 00117 Fmt 4703 Sfmt 4703 37121 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 E:\FR\FM\06JNN1.SGM 06JNN1 ddrumheller on DSK120RN23PROD with NOTICES1 37122 Federal Register / Vol. 88, No. 108 / Tuesday, June 6, 2023 / Notices 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 VerDate Sep<11>2014 19:24 Jun 05, 2023 Jkt 259001 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, PO 00000 Frm 00118 Fmt 4703 Sfmt 4703 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 E:\FR\FM\06JNN1.SGM 06JNN1 Federal Register / Vol. 88, No. 108 / Tuesday, June 6, 2023 / Notices 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 VerDate Sep<11>2014 19:24 Jun 05, 2023 Jkt 259001 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 PO 00000 Frm 00119 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. E:\FR\FM\06JNN1.SGM 06JNN1 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 VerDate Sep<11>2014 19:24 Jun 05, 2023 Jkt 259001 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: PO 00000 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]


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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.

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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


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