Notice2022-02202
Privacy Act of 1974; System of Records
Primary source
Metadata and text below are from the Federal Register, a public-domain U.S. government work. Always verify the official published version before relying on it for any legal matter.
Published
February 3, 2022
Issuing agencies
State Department
Abstract
This system supports the Department of State's Office of the Directorate of Defense Trade Controls' (DDTC) mission of controlling the export and temporary import of defense articles and defense services covered by the United States Munitions List (USML).
Full Text
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<title>Federal Register, Volume 87 Issue 23 (Thursday, February 3, 2022)</title>
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[Federal Register Volume 87, Number 23 (Thursday, February 3, 2022)]
[Notices]
[Pages 6224-6227]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-02202]
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DEPARTMENT OF STATE
[Public Notice: 11637]
Privacy Act of 1974; System of Records
ACTION: Notice of a modified system of records.
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SUMMARY: This system supports the Department of State's Office of the
Directorate of Defense Trade Controls' (DDTC) mission of controlling
the export and temporary import of defense articles and defense
services covered by the United States Munitions List (USML).
DATES: In accordance with 5 U.S.C. 552a(e)(4) and (11), this system of
records notice is effective upon publication, except for the routine
uses that are subject to a 30-day period during which interested
persons may submit comments to the Department of State. Please submit
any comments by March 1st 2022.
ADDRESSES: Questions can be submitted by mail or email or by calling
Eric F. Stein, the Senior Agency Official for Privacy, at (202) 485-
2051. If by mail, please write to: U.S Department of State; Office of
Global Information Systems; A/GIS; Room 1417, 2201 C St. NW;
Washington, DC 20520. If by email, please address the email to the
Senior Agency Official for Privacy, Eric F. Stein, at
<a href="/cdn-cgi/l/email-protection#f7a7859e8196948eb78483968392d9909881"><span class="__cf_email__" data-cfemail="7525071c0314160c3506011401105b121a03">[email protected]</span></a>. Please write ``Munitions Control Records, State-42''
on the envelope or the subject line of your email.
FOR FURTHER INFORMATION CONTACT: Eric F. Stein, Senior Agency Official
for Privacy; U.S. Department of State; Office of Global Information
Services, A/GIS; Room 1417, 2201 C St. NW; Washington, DC 20520 or by
calling (202) 485-2051.
SUPPLEMENTARY INFORMATION: This notice is being modified to reflect the
Department of State's move to cloud storage, an Information Technology
(IT) modernization, and new OMB guidance. The modified system of
records notice includes revisions and additions to the following
sections: Authority for Maintenance of the System, System Location,
Categories of Individuals, Categories of Records in the System, Routine
Uses, Storage, and Safeguards. In addition, the Department of State is
taking this opportunity to make minor administrative updates to the
notice.
SYSTEM NAME AND NUMBER:
Munitions Control Records, State-42.
SECURITY CLASSIFICATION:
Unclassified and Classified.
[[Page 6225]]
SYSTEM LOCATION:
(a) Department of State domestic data centers located within the
United States, with local infrastructure placed overseas at U.S.
Embassies, U.S. Consulates General, and U.S. Consulates; and U.S.
Missions, (b) within a government cloud platform provided by the
Department of State's Enterprise Server Operations Center (ESOC), 2201
C Street NW, Washington, DC 20520.
SYSTEM MANAGER(S):
DDTC Chief Information Officer; 2401 E Street NW, Washington DC
20037; (202) 663-2023; <a href="/cdn-cgi/l/email-protection#01454555422c42484e4172756075642f666e77"><span class="__cf_email__" data-cfemail="0a4e4e5e49274943454a797e6b7e6f246d657c">[email protected]</span></a>.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
22 U.S.C. 2651a (Organization of Department of State); 5 U.S.C. 301
(Departmental Regulations); 22 U.S.C. 2776, 22 U.S.C. 2778, 22 U.S.C.
2779, 22 U.S.C. 2780, and 22 U.S.C. 2751 et seq. (Arms Export Control
Act); E.O. 13637; International Traffic in Arms Regulations (ITAR), 22
CFR parts 120-130.
PURPOSE(S) OF THE SYSTEM:
This system enables DDTC to support industry customers as DDTC
performs its mission to implement relevant provisions of the Arms
Export Control Act (AECA) and the International Traffic in Arms
Regulations (ITAR) and control the export and temporary import of
defense articles and defense services covered by the United States
Munitions List (USML).
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Exporters of defense articles and defense services with or without
Department of State authorization; applicants for export licenses;
registered exporters; brokers for sales of defense articles or defense
services who completed registration statements or submitted requests
for approval of a brokering activity; and debarred parties. The Privacy
Act defines an individual at 5 U.S.C. 552a(a)(2) as a United States
citizen or lawful permanent resident.
CATEGORIES OF RECORDS IN THE SYSTEM:
Correspondence, registration statements when a principal executive
officer or owner is the same as the applicant, and payment for
registration fees sent to the Department of State when an individual or
business registers as a manufacturer, exporter and/or broker of defense
articles or defense services; information on political contributions,
gifts, commissions and fees relating to certain sales of defense
articles and defense services; license applicants, secondary entity
contacts, third-party points of contact, and other relevant entities,
may be asked to provide information such as: Name, address,
nationality/citizenship status, passport/visa/social security number,
operator/certificate license, contract and licensing eligibility,
contact information (e.g., telephone number, email address),
information related to current or past law enforcement charges and
convictions, place of birth, financial account numbers, and date of
birth; copies of letters to individuals and businesses from the
Department of State pertaining to their registration, including notices
of suspension and debarment; proposed charging letters and orders and
consent agreements pertaining to the Department of State's
administrative cases; Federal Register Notices of statutory debarment;
correspondence, memoranda, federal court documents, telegrams, other
government agency reports, and email messages between the Department of
State and other federal agencies regarding law enforcement and
intelligence information about defense trade activities pertaining to
the subject of the record.
RECORD SOURCE CATEGORIES:
These records contain information that is primarily obtained from
the individual, from the organization the individual represents,
federal court documents, and intelligence and law enforcement agencies.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
Munitions Control Records may be disclosed to:
(a) Appropriate agencies, entities, and persons when (1) the
Department of State suspects or has confirmed that there has been a
breach of the system of records; (2) the Department of State has
determined that as a result of the suspected or confirmed breach there
is a risk of harm to individuals, the Department of State (including
its information systems, programs, and operations), the Federal
Government, or national security; and (3) the disclosure made to such
agencies, entities, and persons is reasonably necessary to assist in
connection with the Department of State efforts to respond to the
suspected or confirmed breach or to prevent, minimize, or remedy such
harm.
(b) Another Federal agency or Federal entity, when the Department
of State determines that information from this system of records is
reasonably necessary to assist the recipient agency or entity in (1)
responding to a suspected or confirmed breach or (2) preventing,
minimizing, or remedying the risk of harm to individuals, the recipient
agency or entity (including its information systems, programs, and
operations), the Federal Government, or national security, resulting
from a suspected or confirmed breach.
(c) The Department of Homeland Security, the Department of Justice
(DOJ), the Department of Commerce, and other federal entities,
including intelligence and law enforcement agencies to assist in their
investigations of violations of the AECA or in the context of
multilateral or bilateral export regimes.
(d) A court, adjudicative body, or administrative body before which
the Department is authorized to appear when (i) the Department; (ii)
any employee of the Department in his or her official capacity; (iii)
any employee of the Department in his or her individual capacity where
the U.S. Department of Justice or the Department has agreed to
represent the employee; or (iv) the Government of the United States,
when the Department determines that litigation is likely to affect the
Department, is a party to litigation or has an interest in such
litigation, and the use of such records by the Department is deemed to
be relevant and necessary to the litigation or administrative
proceeding.
(e) Foreign governments for purposes relating to law enforcement or
regulatory matters or in the context of multilateral or bilateral
export regimes, in accordance with 22 CFR 126.10(d)(1).
(f) Congress to comply with statutory and regulatory reporting
requirements in the AECA or ITAR related to certain defense trade
transactions.
(g) Other federal agencies in order to provide independent
monitoring of a system of security policy enforcement, malicious
activity detection, and security incident response.
(h) The public, as necessary, to comply with statutory or
regulatory requirements or to enable exporters to comply with such
requirements, as follows:
i. The periodic publication in the Federal Register of names, dates
of conviction, and months and years of birth of those on the Debarred
Parties List pursuant to the authorities granted in 22 U.S.C. 2778(g),
as implemented in 22 CFR 127.7.
ii. The periodic publication of charging letters, debarment orders,
and orders imposing civil penalties and probationary periods in the
Public Reading Room of the Department of State, as required by 22 CFR
128.17, and on the Directorate of Defense Trade Controls website.
[[Page 6226]]
iii. The periodic publication of registrant name and address
changes on the Directorate of Defense Trade Controls website to assist
registrants and applicants in keeping their records current.
The Department of State periodically publishes in the Federal
Register its Prefatory Statement of Routine Uses. These standard
routine uses apply to Munitions Control Records SORN, State-42.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records are stored both in hard copy and on electronic media. A
description of standard Department of State policies concerning storage
of electronic records is found at <a href="https://fam.state.gov/FAM/05FAM/05FAM0440.html">https://fam.state.gov/FAM/05FAM/05FAM0440.html</a>. All hard copies of records that contain personal
information are maintained in secured file cabinets in restricted
areas, access to which is limited to authorized personnel.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Individual name, company name, DDTC Registration Code, DDTC Case
Number.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
These records will be maintained in accordance with the Department
of State Records Schedule, Chapter 24 Arms Control and International
Security Records, Office of Defense Trade Controls (A-24-048-01a(1)),
as approved by the National Archives and Records Administration (NARA)
and outlined at <a href="https://foia.state.gov/Learn/RecordsDisposition.aspx">https://foia.state.gov/Learn/RecordsDisposition.aspx</a>.
More specific information may be obtained by writing to the following
address: U.S. Department of State; Director, Office of Information
Programs and Services; A/GIS/IPS; 2201 C Street NW, Room B-226;
Washington, DC 20520.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
All Department of State network users are given cyber security
awareness training which covers the procedures for handling Sensitive
but Unclassified (SBU) information, including personally identifiable
information (PII). Annual refresher training is mandatory. In addition,
all Department of State OpenNet network users are required to take the
Foreign Service Institute distance learning course instructing
employees on privacy and security requirements, including the rules of
behavior for handling PII and the potential consequences if it is
handled improperly. Before a user is granted access to Munitions
Control Records, they must first be granted access to the Department of
State computer network.
Department of State employees and contractors may remotely access
this system of records using non-Department of State owned information
technology. Such access is subject to approval by the Department of
State's mobile and remote access program and is limited to information
maintained in unclassified information systems. Remote access to the
Department of State's information system is configured in compliance
with OMB Circular A-130 multifactor authentication requirements and
includes a time-out function.
All Department of State employees and contractors with authorized
access to records maintained in this system of records have undergone a
thorough background security investigation. Access to the Department of
State, its annexes and posts abroad is controlled by security guards
and admission is limited to those individuals possessing a valid
identification card or individuals under proper escort. Access to
computerized files is password-protected and under the direct
supervision of the system manager. The system manager has the
capability of printing audit trails of access from the computer media,
thereby permitting regular and ad hoc monitoring of computer usage.
When it is determined that a user no longer needs access, the user
account is disabled.
The safeguards in the following paragraphs apply only to records
that are maintained in government-certified cloud systems. All cloud
systems that provide IT services and process Department of State
information must be specifically authorized by the Department of State
Authorizing Official and Senior Agency Official for Privacy.
Information that conforms with Department of State-specific
definitions for Federal Information Security Modernization Act (FISMA)
low, moderate, or high categorization are permissible for cloud usage
and must specifically be authorized by the Department of State's Cloud
Program Management Office and the Department of State Authorizing
Official. Specific security measures and safeguards will depend on the
FISMA categorization of the information in a given cloud system. In
accordance with Department of State policy, systems that process more
sensitive information will require more stringent controls and review
by Department of State cybersecurity experts prior to approval. Prior
to operation, all Cloud systems must comply with applicable security
measures that are outlined in FISMA, FedRAMP, OMB regulations, National
Institute of Standards and Technology's (NIST) Special Publications
(SP) and Federal Information Processing Standards (FIPS) and Department
of State policies and standards.
All data stored in cloud environments categorized above a low FISMA
impact risk level must be encrypted at rest and in-transit using a
federally approved encryption mechanism. The encryption keys shall be
generated, maintained, and controlled in a Department of State data
center by the Department of State key management authority. Deviations
from these encryption requirements must be approved in writing by the
Department of State Authorizing Official. High FISMA impact risk level
systems will additionally be subject to continual auditing and
monitoring, multifactor authentication mechanism utilizing Public Key
Infrastructure (PKI) and NIST 800 53 controls concerning
virtualization, servers, storage and networking, as well as stringent
measures to sanitize data from the cloud service once the contract is
terminated.
RECORD ACCESS PROCEDURES:
Individuals who wish to gain access to or to amend records that
pertain to themselves should write to U.S. Department of State;
Director, Office of Information Programs and Services; A/GIS/IPS; 2201
C Street NW, Room B-226; Washington, DC 20520. The individual must
specify in the written correspondence that he or she wishes the
Munitions Control Records to be checked. At a minimum, the individual
must include: Full name (including maiden name, if appropriate) and any
other names used; current mailing address and zip code; date and place
of birth; notarized signature or statement under penalty of perjury
that the information in the written is true and correct; a brief
description of the circumstances that caused the creation of the record
(including the city and/or country and the approximate dates) which
gives the individual cause to believe that the Munitions Control
Records include records that pertain to the individual. Detailed
instructions on Department of State procedures to access and amend
records can be found at the Department of State's FOIA website at
<a href="https://foia.state.gov/Request/Guide.aspx">https://foia.state.gov/Request/Guide.aspx</a>.
CONTESTING RECORD PROCEDURES:
Individuals who wish to contest records should write to U.S.
Department of State; Director, Office of Information Programs and
Services; A/GIS/IPS; 2201 C Street NW, Room B-226; Washington, DC
20520.
[[Page 6227]]
NOTIFICATION PROCEDURES:
Individuals who have reason to believe that this system of records
may contain information pertaining to them may write to U.S. Department
of State; Director, Office of Information Programs and Services; A/GIS/
IPS; 2201 C Street NW, Room B-226; Washington, DC 20520. The individual
must specify in the written correspondence that he/she wishes the
Munitions Control Records to be checked. At a minimum, the individual
must include: Full name (including maiden name, if appropriate) and any
other names used; current mailing address and zip code; date and place
of birth; notarized signature or statement under penalty of perjury
that the information contained in the written correspondence is true
and correct; a brief description of the circumstances that caused the
creation of the record (including the city and/or country and the
approximate dates) which gives the individual cause to believe that the
Munitions Control Records include records pertaining to the individual.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
Pursuant to 5 U.S.C. 552a(k)(1) and (k)(2), portions of certain
records contained within this system of records are exempted from 5
U.S.C. 552a (c)(3),(d),(e)(1),(3)(4)(G),(H) and (I), and (f). See 22
CFR 171.26.
HISTORY:
Previously published at Public Notice 6140 State-42, System Name:
Munitions Control Records. Volume 73, Number 55; March 20, 2008.
Eric F. Stein,
Deputy Assistant Secretary, Bureau of Administration, Global
Information Services, U.S. Department of State.
[FR Doc. 2022-02202 Filed 2-2-22; 8:45 am]
BILLING CODE 4710-25-P
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</html>Indexed from Federal Register on February 3, 2022.
This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.