State-42

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STATE-42

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Volume 73, Number 55
March 20, 2008
Public Notice 6140
STATE-42
SYSTEM NAME:
Munitions Control Records.
SECURITY CLASSIFICATION:
Unclassified and classified.
SYSTEM LOCATION:
Department of State, Annex 1; Room
1200; 2401 E Street, NW.;
Washington, DC 20522.
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.
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.
2778 (Arms Export Control Act).
CATEGORIES OF RECORDS IN
THE SYSTEM:
Correspondence, registration statements
when a principal executive officer or
owner is the same as the applicant, and
checks for registration fees sent to the
Department of State (Department) when
an individual or business registers as a
manufacturer, exporter and/or broker of
defense articles or defense services;
copies of letters to individuals and
businesses from the Department
pertaining to their registration, including
notices of suspension and debarment;
Proposed Charging Letters and Orders
and Consent Agreements pertaining to

the Department'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
and other federal agencies regarding law
enforcement and intelligence
information about defense trade
activities pertaining to the subject of the
record.
ROUTINE USES OF RECORDS
MAINTAINED IN THE SYSTEM,
INCLUDING CATEGORIES
OF USERS AND PURPOSES OF
SUCH USES:
The information in this system is used
primarily by the Directorate of Defense
Trade Controls when making
determinations regarding:
a) Individuals and businesses that have
been authorized to export or retransfer a
defense article, defense service or related
technical data;
(b) Which commodities, quantities, and
dollar values were authorized for export
and the extent of any export violations;
(c) Administrative charges imposed on
an individual or business for violating
the export regulations;
(d) The periodic publication of names,
dates of conviction, and months and
years of birth of those on the Debarred
Parties List in the Federal Register
pursuant to the authorities granted in 22
U.S.C. 2778(g)(1) as implemented in 22
CFR 127.7(c). Statutory Debarment is
based solely upon the outcome of a
criminal proceeding, conducted by a
court of the United States that
established guilt beyond a reasonable
doubt in accordance with due process.
Federal court documents serve as the
source of information for names, dates
of conviction, months and years of birth
of debarred parties.

(e) The removal of export privileges.
The principal users of this information
outside the Department of State are the
Department of Homeland Security and
the Department of Justice for their
investigations of violations of the Arms
Export Control Act. This information
may also be released to other federal
intelligence and law enforcement
agencies pursuant to statutory
intelligence and law enforcement
responsibilities. The information in this
system may also be used to send
required reports to Congress about
certain defense trade transactions. See
also the Department of State Prefatory
Statement of Routine Uses published in
the Federal Register.
POLICIES AND PRACTICES FOR
STORING, RETRIEVING,
ACCESSING, RETAINING AND
DISPOSING OF RECORDS IN THE
SYSTEM:
STORAGE:
Electronic media, hard copy.
RETRIEVABILITY:
Individual name, company name, DDTC
Registration Code, DDTC Case Number.
SAFEGUARDS:
All employees of the Department of
State have undergone a thorough
personnel security background
investigation. Access to the Department
of State building and the annexes is
controlled by security guards, and
admission is limited to those individuals
possessing a valid identification card or
individuals under proper escort. All
records containing personal information
are maintained in secured filing cabinets
or in restricted areas, access to which is
limited to authorized personnel. Access
to electronic 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.
RETENTION AND DISPOSAL:
These records will be maintained until
they become inactive, at which time they
will be destroyed or retired in
accordance with published record
disposition schedules of the Department
of State and as approved by the National
Archives and Records Administration.
More specific information may be
obtained by writing to the Director,
Office of Information Programs and
Services, A/ISS/IPS, SA-2, Department
of State, Washington, DC 20522-8001.
SYSTEM MANAGER AND
ADDRESS:
Managing Director, Directorate of
Defense Trade Controls, Bureau of
Political-Military Affairs, SA-1, 12th
Floor, 2401 E Street NW., Washington
DC 20522.
NOTIFICATION PROCEDURE:
Individuals who have reason to believe
that the Directorate of Defense Trade
Controls might have records pertaining
to them should write to the Director,
Office of Information Programs and
Services, A/ISS/IPS, SA-2, Department
of State, Washington, DC 20522-8001.
The individual must specify that he or
she wishes the records of the Directorate
of Defense Trade Controls to be
checked. At a minimum, the individual
should include: name; date and place of
birth; current mailing address and zip
code; signature; 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 Directorate of Defense
Trade Controls has records pertaining to
him or her.

RECORD ACCESS AND
AMENDMENT PROCEDURES:
Individuals who wish to gain access to
or to amend records pertaining to
themselves should write to the Director,
Office of Information Programs and
Services (address above).
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.
SYSTEMS EXEMPTED FROM
CERTAIN PROVISIONS OF THE
ACT:
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 171.36.


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File TitleState-42
File Modified2008-03-26
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