STATE-39 Visa Records

Volume 83, Number 116
Friday, June 15, 2018
Public Notice 10449; Page 28062
Privacy Act; System of Records: Visa
Records, State- 39.
Department of State
Privacy Act of 1974; System of Records
AGENCY: Department of State
ACTION: Notice of a Modified System of
Records
SUMMARY: This System of Records
compiles information used in the
adjudication of U.S. visas.
DATES: In accordance with 5 U.S.C.
552a(e)(4) and (11), this system of
records notice is effective upon
publication, with the exception of the
routine uses (m), (n), and (o) that are
subject to a 30-day period during which
interested persons may submit comments
to the Department. Please submit any
comments by July 15, 2018.
ADDRESSES: Questions can be
submitted by mail or email. If mail,
please write to: U.S Department of State;
Office of Global Information Services,
Privacy Staff; A/GIS/PRV; SA–2, Suite
8100; Washington, DC 20522-0208. If
email, please address the email to the
Senior Agency Official for Privacy, Mary
R. Avery, at [email protected] or call
(202) 663-2215. Please write "Visa
Records, State-39" on the envelope or the
subject line of your email.
FOR FURTHER INFORMATION
CONTACT: Mary R. Avery, Senior
Agency Official for Privacy; U.S.
Department of State; Office of Global
Information Services, A/GIS/PRV; SA–2,
Suite 8100; Washington, DC 20522-0208;
at [email protected] or (202) 663-2215.
SUPPLEMENTARY
INFORMATION: The purpose of this
modification is to make substantive and
administrative changes to the previously
published notice. This notice modifies
the following sections of State-39, Visa

Records: System Location, Categories of
Individuals, Categories of Records,
Routine Uses, Policies and Practices for
Retention and Disposal of Records, and
Safeguards. In addition, this notice
makes administrative updates to the
following sections: Record Access
Procedures, Contesting Record
Procedures, Notification Procedures, and
History. These changes reflect new OMB
guidance, new visa adjudication
procedures, updated contact information,
and a notice publication history.
SYSTEM NAME AND NUMBER:
Visa Records, State-39.
SECURITY CLASSIFICATION:
Unclassified and Classified.
SYSTEM LOCATION: Department of
State (“Department”), located at 2201 C
Street NW, Washington, DC 20520; Visa
Office, Department of State, Annex 17,
600 19th Street NW, Washington, DC
20006; National Visa Center, 32
Rochester Avenue, Portsmouth, NH
03801; Kentucky Consular Center, 3505
N. US Hwy 25 W, Williamsburg, KY
40769; U.S. embassies, consulates
general, and consulates (henceforth
referred to as the Department of State).
SYSTEM MANAGER(S): Deputy
Assistant Secretary for Visa Services,
Room 6811, Department of State, 2201 C
Street, NW, Washington, DC 205204818; Director, National Visa Center, 32
Rochester Avenue, Portsmouth, NH
63801; Director, Kentucky Consular
Center, 3505 N. US Hwy 25 W,
Williamsburg, KY 40769;
[email protected]. At specific
locations abroad, the on-site manager is
the consular officer responsible for visa
processing.
AUTHORITY FOR MAINTENANCE
OF THE SYSTEM: 5 U.S.C. 301
(Secretary of State’s authorities with respect
to Management of the Department of State);
22 U.S.C. 2651a (Organization of the
Department of State); 22 U.S.C.
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3921(Management of the Foreign Service);
8 U.S.C. 1101-1537 (Immigration and
Nationality Act of 1952, as amended).
PURPOSE(S) OF THE SYSTEM: The
Visa Records system maintains
information used to assist the Bureau of
Consular Affairs and consular officers in
the Department and abroad in
adjudicating visas and Certificates of
Identity. It is also used in dealing with
problems of a legal, enforcement,
technical, or procedural nature that may
arise in connection with a U.S. visa or
Certificate of Identity.
CATEGORIES OF INDIVIDUALS
COVERED BY THE SYSTEM: Visa
Records may include the following
individuals when required by a visa
application or a Certificate of Identity
application: U.S. petitioners, U.S. persons
applying for returning residence travel
documentation, and visa and Certificate of
Identity applicants who subsequently
become documented as U.S. persons.
CATEGORIES OF RECORDS IN THE
SYSTEM: Visa Records maintains visa
applications and related forms; Certificate of
Identity applications or portions thereof;
documents of identity; biometric
information; photographs; birth, marriage,
death and divorce certificates; interview
worksheets; biographic information sheets;
affidavits of relationship; medical
examinations and immunization reports;
police records; educational and employment
records; petitions for immigrant status and
nonimmigrant status; bank statements;
communications between the Visa Office,
the National Visa Center, the Kentucky
Consular Center, U.S. embassies, U.S.
consulates general and U.S. consulates,
other U.S. government agencies,
international organizations, members of
Congress, legal and other representatives of
visa applicants, relatives of visa applicants,
and other interested parties where such
communications are, or may be, relevant to
visa adjudication; and internal Department

of State correspondence and notes relating
to visa adjudication. Visa Records may also
contain information collected regarding
applicants’ or petitioners’ U.S. family
members; U.S. employers; other U.S.
persons referenced by the applicant or
petitioner.
ROUTINE USES OF RECORDS
MAINTAINED IN THE SYSTEM,
INCLUDING
CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:
The principal users of this information
outside the Department of State may
include, when consistent with Section 222(f)
of the Immigration and Nationality Act:
A. The Department of Homeland
Security for uses within its
statutory mission, including to
process, approve or deny visa
petitions and waivers, as well as
for law enforcement,
counterterrorism, transportation
and border security,
administration of immigrant
benefits, critical infrastructure
protection, fraud prevention, or
employment verification
purposes;
B. Public or private employers
seeking to confirm the
authenticity of the visa when it is
presented as evidence of identity
and/or authorization to work in the
United States;
C. The Department of Justice,
including the Federal Bureau of
Investigation (and its National
Crime Information Center), the
Terrorist Screening Center, the
Bureau of Alcohol, Tobacco,
Firearms and Explosives, the U.S.
National Central Bureau (Interpol)
and the Drug Enforcement
Administration, for purposes of
law enforcement, criminal
prosecution, representation of the
U.S. government in civil
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D.

E.

F.

G.

H.

I.

J.

K.

litigation, fraud prevention,
counterterrorism, or border
security;
The Department of the Treasury
for uses within its statutory
mission, including the
enforcement of U.S. tax laws,
economic sanctions, and
counterterrorism;
The National Counterterrorism
Center, the Office of the Director
of National Intelligence and other
U.S. intelligence community (IC)
agencies, for uses within their
statutory missions, including
intelligence, counterintelligence,
counterterrorism and other
national security interests;
The Department of Defense, for
uses within its statutory mission
including for purposes of border
security, homeland defense, force
protection, law enforcement and
counterterrorism;
The Department of Labor for uses
within its statutory mission
including the administration and
enforcement of U.S. labor laws;
Congress, for the formulation,
amendment, administration, or
enforcement of the immigration,
nationality, and other laws of the
United States;
State, local, and tribal government
officials for law enforcement,
counter-terrorism, or border
security purposes;
Interested persons (such as the
visa applicant, the applicant’s
legal representative or other
designated representative)
inquiring as to the status of a
particular visa case (limited
unclassified information may be
released when appropriate);
Courts provided the Secretary of
State has determined that release
is appropriate, and the court has

certified it needs such information
in the interest of the ends of
justice in a case pending before
the court;
L. Foreign governments for purposes
relating to the administration or
enforcement of the immigration,
nationality, and other laws of the
United States, or in the
Secretary’s discretion and on the
basis of reciprocity, for the
purpose of preventing,
investigating, or punishing acts
that would constitute a crime in
the United States or, pursuant to
an agreement with a foreign
government, to enable such
government to consider whether
the record indicates a person
would be inadmissible to the
United States when it determines
whether to deny a visa, grant
entry, authorize an immigration
benefit, or order removal of such
person.
M. The Centers for Disease Control
and Prevention, for uses within its
statutory mission, including its
role relative to the physical and
mental examination of aliens
under immigration laws.
N. Appropriate agencies, entities, and
persons when (1) the Department
of State suspects or has confirmed
that there has been a breach of the
system of records; (2) the
Department of State has
determined that as a result of the
suspected or confirmed breach
there is a risk of harm to
individuals, the Department of
State (including its information
systems, programs, and
operations), the Federal
Government, or national security;
and (3) the disclosure made to such
agencies, entities, and persons is
reasonably necessary to assist in
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connection with the Department of
State efforts to respond to the
suspected or confirmed breach or
to prevent, minimize, or remedy
such harm.
O. Another Federal agency or Federal
entity, when the Department of
State determines that information
from this system of records is
reasonably necessary to assist the
recipient agency or entity in (1)
responding to a suspected or
confirmed breach or (2)
preventing, minimizing, or
remedying the risk of harm to
individuals, the recipient agency or
entity (including its information
systems, programs, and
operations), the Federal
Government, or national security,
resulting from a suspected or
confirmed breach.
The Department of State periodically
publishes in the Federal Register its
standard routine uses that apply to all of its
Privacy Act systems of records. These
notices appear in the form of a Prefatory
Statement (published in Volume 73,
Number 136, Public Notice 6290, on July
15, 2008). All these standard routine uses
apply to Visa Records, State-39.
POLICIES AND PRACTICES
FOR STORAGE OF RECORDS:
Records are stored both in hard copy
and on electronic media. A
description of standard Department of
State policies concerning storage of
electronic records is found in the
Department’s Foreign Affairs Manual
(https://fam.state.gov/FAM/05FAM/0
5FAM0440.html). All hard copies of
records containing personal
information are maintained in secured
file cabinets in restricted areas, access
to which is limited to authorized
personnel.
POLICIES AND PRACTICES
FOR RETRIEVAL OF RECORDS:

Records may be retrieved through
individual data fields including but
not limited to: Applicant personal
data; biometrics and namecheck data;
case data; and visa data.
POLICIES AND PRACTICES
FOR RETENTION AND
DISPOSAL OF RECORDS:
The retention period for visa records depends
on the nature of the information and
disposition of the visa adjudication. Some
files related to issued immigrant visas are
destroyed six months after issuance. In some
instances, files with historical significance
are permanent records. Most files related to
Certificates of Identity are retained for
twenty years after closure. These records are
retired and destroyed in accordance with
published Department of State Records
Disposition Schedules as approved by the
National Archives and Records
Administration (NARA), and a complete list
of the Department’s schedules can be found
on our Freedom of Information Act (FOIA)
program’s website
(https://foia.state.gov/Learn/RecordsDisposit
ion.aspx). More specific information may be
obtained by writing to the following address:
Director, Office of Information Programs
and Services, A/GIS/IPS; SA–2, Department
of State; 515 22nd Street NW; Washington,
DC 20522-8100.
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 Foreign Service
and Civil Service employees and those
Locally Employed Staff who handle PII are
required to take the Foreign Service
Institute’s distance learning course
instructing employees on privacy and
security requirements, including the rules of
behavior for handling PII and the potential
consequences if it is handled improperly.
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Access to the Department of State, its
annexes and posts abroad is controlled by
security guards and admission is limited to
those individuals possessing a valid
identification card or individuals under
proper escort. While the majority of records
covered in Visa Records are electronic, all
paper records containing personal
information are maintained in secured file
cabinets in restricted areas, access to which
is limited to authorized personnel only.
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.
Before being granted access to Visa
Records, a user must first be granted access
to the Department of State computer system.
Remote access to the Department of State
network from non-Department owned
systems is authorized only through a
Department approved access program.
Remote access to the network is configured
with the authentication requirements
contained in the Office of Management and
Budget Circular Memorandum A-130. All
Department of State employees and
contractors with authorized access have
undergone a background security
investigation.
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; SA-2, Suite 8100;
Washington, DC 20522-0208. The
individual must specify that he or she
wishes the Visa Records to be checked. At
a minimum, the individual must include: full
name (including maiden name, if
appropriate) and any other names used;
current mailing address and zip code; date

and place of birth; notarized signature or
statement under penalty of perjury; a brief
description of the circumstances that caused
the creation of the record (including the city
and/or country and the approximate dates)
which gives the individual cause to believe
that the Visa Records include records
pertaining to him or her. Detailed
instructions on Department of State
procedures for accessing and amending
records can be found at the Department’s
FOIA website
(https://foia.state.gov/Request/Guide.aspx).
However, in general, visa records are
confidential and may not be released under
section 222(f) of the Immigration and
Nationality Act, except that, the Department
of State may consider requests for records
that originated with, or were sent to, a
requesting visa applicant or someone acting
on such applicant's behalf to be releasable
thereto.
CONTESTING RECORD
PROCEDURES: Individuals who wish
to contest record procedures should write
to U.S. Department of State; Director,
Office of Information Programs and
Services; A/GIS/IPS; SA-2, Suite 8100;
Washington, DC 20522-0208.
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; SA-2, Suite 8100;
Washington, DC 20522-0208. The
individual must specify that he or she
wishes the Visa Records to be checked.
At a minimum, the individual must
include: full name (including maiden
name, if appropriate) and any other names
used; current mailing address and zip
code; date and place of birth; 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
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country and the approximate dates) which
gives the individual cause to believe that
the Visa Records include records
pertaining to him or her.
EXEMPTIONS PROMULGATED FOR
THE SYSTEM: Pursuant to 5 U.S.C.
552a (k)(1), (k)(2), and (k)(3), records
contained within this system of records are
exempted from 5 U.S.C. 552a (c)(3), (d),
(e)(1), (e)(4)(G), (H), and (I), and (f). See
Department of State Rules published in the
Federal Register, under 22 CFR 171.26.
HISTORY: This SORN was previously
published at 77 FR 65245 (October 25,
2012).
Mary R. Avery
Senior Agency Official for Privacy
Senior Advisor, Office of Global
Information Services
Bureau of Administration
Department of State

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