FEDERAL MARITIME COMMISSION

PRIVACY IMPACT ASSESSMENT

A. SYSTEM INFORMATION

1. What is the system name?

FMC SERVCON

2. Why is the information being collected (e.g., to determine eligibility)? 

The information is being collected pursuant to title 46 USC Shipping §40502 Service 

Contracts (b)(1) – which states “Each service contract entered into under this section by 

an individual ocean common carrier or an agreement shall be filed confidentially with the 

Federal Maritime Commission.”

3. What is the intended use of the information (e.g., to verify existing data)?

To record, review, and manage contractual arrangements by organizations performing 

services as registered VOCCs and NVOCCs in order to ensure legal operating 

requirements are met.

4. Does this system contain any personal information about individuals? (If no, a 

PIA is not required. Complete a Privacy Impact Analysis.)

Yes.

5. What legal authority authorizes the purchase or development of this 

system/application? (List the statutory provisions or Executive Orders that 

authorize the maintenance of this information to meet an official program mission 

or goal.) Also list the OMB Clearance number and expiration date, if applicable.

Title 46 USC - Shipping.

Service Contracts 46 USC 40502, NSA 46 CFR part 531

6. For new systems, describe how privacy is addressed in documentation related to 

system development, including as warranted and appropriate, statement of need, 

functional requirements analysis, alternatives analysis, feasibility analysis, 

benefits/cost analysis, and especially, the initial risk assessment. 

FMC SERVCON is not a new system.

B. DATA IN THE SYSTEM

1. What categories of individuals are covered in the system (for example, employee, 

contractor, public)? 

The system users include external registered filing representatives of VOCC and 

NVOCC Organizations as well as internal FMC staff.

2. What are the sources of information in the system?

The sole data source are filed contracts and notices from registered VOCC and NVOCC 

Organizations and their representatives.
a. Is the information collected directly from the individual or is it taken from 

another source? If Information is not collected directly from the individual, 

describe the source of the information. 

The information is collected directly from representatives or automated filing 

systems via the ServconWebService.

b. What Federal agencies provide data for use in the system?

None

c. What state and local agencies provide data for use in the system?

None

d. What other third parties will data be collected from?

None

e. What information will be collected from the employee and the public? 

Information as needed to carry out 46 CFR parts 530 & 531.

3. How does the FMC ensure that data are sufficiently accurate, relevant, timely, and 

complete to ensure fairness in making determinations about any individual?

The FMC SERVCON System has initial checks upon contract filing to ensure 

requirements for data formatting and contract meta data are acceptable by checking 

filing information and providing warnings or errors to filers. If there are filer errors, FMC 

may be contacted to perform a manual review and correction.

a. How is data accuracy ensured?

Data accuracy is ensured at contract filing by checking new filing data against 

existing contract history records.

b. How will data be checked for completeness?

The contract filing functionality will not officially accept contract records if all 

required metadata is not present during filing.

c. Are the data current? What steps or procedures are taken to ensure the 

data are not out of date?

The data is current and any change to a contract record is filed via amendment to 

keep a record history.

d. Are the data elements described in detail and documented? If yes, what is 

the name of the document?

Data elements contained in 46 CFR 530.8-Essential terms of service contracts 

and the SERVCON user manual.

e. How will data collected from sources other than FMC records be verified 

for accuracy?

FMC SERVCON records all come from VOCC and NVOCC organizations. There 

are required data checks in place for initial contract filings and amendment filings

that will accept or reject input depending on success.

4. Describe what opportunities individuals have to decline to provide information 

(that is, where providing information is voluntary) or to consent to particular uses 
of information (other than required or authorized uses), and how individuals can 

grant consent.

A requisite of being a VOCC or NVOCC Organization is consenting that all contracts 

must be filed with FMC in order to be carried out. The FMC SERVCON system has been 

set up for the Organizations to meet this requirement.

C. ATTRIBUTES OF THE DATA

1. Is the use of the data both relevant and necessary to the purpose for which the 

system is being designed? 

Yes.

2. Will the system derive new data or create previously unavailable data about an 

individual through the aggregation of information collected? (If no, skip to D.3.) 

No.

a. Will the new data be placed in the individual’s record?

b. Can the system make determinations about employees or the public that 

would not be possible without the new data?

c. How will the new data be verified for relevance and accuracy?

3. Do the records in this system share the same purpose, routine use, and security 

requirements?

Yes.

a. If the data are being consolidated, what technical, management, and 

operational controls are in place to protect from unauthorized access or use? 

Explain.

External filers for VOCCs must complete Form FMC-83 and filers for NVOCCs must 

complete Form FMC-78. Once submitted to FMC, internal Analysts will review the 

information and request application account creation.

External users are provided with account and password in order to access the 

SERVCON website that limits functionality to contract filing and individual filing history. 

Internal users have network credentials in order to access the FMC SERVCON intranet

with administrative functionality to view all uploaded files.

The SRVCONDB Server where FMC SERVCON data resides is managed by OIT and 

only select technical internal users have credentials for access.

b. If processes are being consolidated, are the proper technical, management, 

and operational controls remaining in place to protect the data and prevent 

unauthorized access? Explain.

Yes, the FMC SERVCON System registration requires Form FMC-83 and FMC-78 and 

authentication is built to use the application authentication detailed in 3.a. 
4. How will the data be retrieved? Can a personal identifier be used to retrieve data? 

Are personal identifiers used to retrieve data on a routine, occasional, or ad hoc 

basis? If yes, explain and list the identifiers that will be used to retrieve 

information on the individual. 

Users may retrieve data via the website interface. Filers may view their own filed records 

while FMC staff may retrieve all filed records. Notable identifiers for contract data are 

username and organization identification number. Organization number is routinely used 

as an identifier to retrieve data. Contracts can also be searched by keywords such as 

the names of signatories to a contract.

5. What kinds of reports can be produced on individuals? What will be the use of 

these reports? Who will have access to them? 

There are no reports produced on individuals.

D. MAINTENANCE OF ADMINISTRATIVE CONTROLS

1. If the system is hosted and/or used at more than one site, how will consistent use 

of the system and data be maintained at all sites?

The majority of FMC SERVCON applications are hosted on the SRVCONDB Server. 

The administrative FMC SERVCON application is hosted on both the SRVCONDB and 

FMCINET Server. Since this portion does not manipulate data, no inconsistencies are 

created due to different hosting environments.

2. What are the retention periods of the data in this system?

Currently, data is retained indefinitely.

3. What are the procedures for disposition of the data at the end of the retention 

period? How long will the reports produced be kept? Where are the procedures 

documented?

There is currently no permanent disposition of data and reports. Basic contract and NSA 

filing counts are available on the public Servcon website (https://servcon.fmc.gov/stat/) 

with previous statistics backed up in the same directory.

4. Is the system using technologies in ways that the FMC has not previously 

employed (for example, monitoring software, CallerID)? If yes, how does the use 

of this technology affect public/employee privacy? 

No, the FMC SERVCON System employs standard usage of application and database 

functionality for contract filing.

5. Will this system provide the capability to identify, locate, and monitor individuals? 

If yes, explain. 

This system is able to identify individuals through information provided at user account 

creation. Persons signing service contracts are also identified.

a. What kinds of information are collected as a function of the monitoring of 

individuals? 

Contract filing activity may be tracked through successful and unsuccessful contract 

filing records.

b. What controls will be used to prevent unauthorized monitoring?
The monitoring detailed in 5.a. is based on general application usage for individual 

accounts. 

6. Under which Privacy Act systems of records notice does the system operate? 

Provide name and number.

SERVCON FMC-40

7. If the system is being modified, will the Privacy Act system of records notice 

require amendment or revision? Explain. 

No. The system is not being modified at this time. If there is a significant modification to 

the system the Privacy Act system of records notice will be amended or revised.

E. ACCESS TO DATA

1. Who will have access to the data in the system (for example, contractors, users, 

managers, system administrators, developers, other)? 

External filers will have access to their own filed contracts. FMC SERVCON staff may 

view all file contract data through the administrative website interface. System 

administrators, developers, and contractors are able to access the hosting server.

2. How is access to the data by a user determined? Are criteria, procedures, 

controls, and responsibilities regarding access documented?

External filers will have access to their own filed contracts and access is documented in 

the initial registration forms. FMC SERVCON staff requires access to filed contract data 

to perform FMC regulated work tasks. Developers and Contractors are granted access if 

their work contract specifically requires access to the system.

3. Will users have access to all data on the system or will the user’s access be 

restricted? Explain.

The FMC SERVCON System is separated into two websites for contract filers and 

administration. The contract filing website search functionality is limited to the records of 

the filer while the administrative website search functionality may search all records.

4. What controls are in place to prevent the misuse (for example, unauthorized 

browsing) of data by those having access? List procedures and training 

materials. 

External users can only access their own filings.

5. Are contractors involved with the design and development of the system and/or 

will they be involved with the maintenance of the system? If yes, were Privacy Act 

contract clauses inserted in their contracts and other regulatory measures 

addressed?

Yes, contractors are currently involved in maintenance, design, and development of the 

system.

Yes. FAR 52.224-1, and FAR 52.224-2 are both in the GSA contract.

6. Do other systems share data or have access to the data in the system? If yes, 

explain. 

No.
7. Who will be responsible for protecting the privacy rights of the public and 

employees affected by the interface?

N/A

8. Will other agencies share or have access to the data in this system? If yes, list 

agencies. 

DOD, USDA.

9. How will the data be used by the other agency?

The data will be used to assess reasonable rate levels..

10. Who is responsible for ensuring proper use of the data?

The Office of the Managing Director, Federal Maritime Commission.
APPENDIX II

FEDERAL MARITIME COMMISSION

PRIVACY IMPACT ANALYSIS

SYSTEM OF RECORDS IDENTIFICATION

1. Is a system of records being created under the Privacy Act, 5 U.S.C. 552a? If no, 

skip questions 2 through 4. 

Yes.

2. Have privacy and IT risk assessments been conducted that consider the 

alternatives to collection and handling as designed and the appropriate measures 

to mitigate risks identified for each alternative?

Yes

3. What impact will this system have on an individual’s privacy? (Consider the 

consequences of collection and flow of information and identify and evaluate 

threats to individual privacy.) 

Names of signatories as well as filers of specific service contracts will be identifiable. 

The threat to individual privacy is Because SERVCON is as minimal as possible 

because SERVCON is confidential and accessible only by authorized personnel on a 

need to know basis.

4. As a result of the PIA, what choices have been made regarding the IT system of 

collection of information? Have adequate measures been designed and 

implemented to mitigate risk? What is the rationale for the final design choice or 

business process? 

None.

Yes. As required by the Federal Information Security Management Act 2002. 

The SERVCON system undergoes a certification and accreditation every three years. 

The SERVCON system also undergoes an annual Inspector General audit.
APPENDIX III

FEDERAL MARITIME COMMISSION

SYSTEM DEVELOPMENT LIFE CYCLE

PRIVACY REQUIREMENTS WORKSHEET

A. CONTACT INFORMATION

1. Person who completed the Privacy Impact Assessment document 

Name: Gregory Francis

Title: Information Systems Security Officer

Bureau/Office: Office of Information Technology

Phone number: 202 523 1930

2. System Owner

Name: Anthony Haywood

Title: Chief Information Officer

Phone number: 202 523 0001

3. Business Owner

Name: Sandra Kusumoto

Title: Director Bureau of Trade Analysis

Phone number:202 523 5796

4. Chief Information Officer 

Name: Anthony Haywood

Title: Chief Information Officer

Phone number: 202 523 0001

5. Senior Agency Official for Privacy

Name: Austin Schmitt

Title: Director, Strategic Planning and Regulatory Review

Phone number: 202 523 5800

B. PRIVACY IMPACT ASSESSMENT SUMMARY 

System Category

(Check all categories that apply)

Requirement

X System of Records Publish System of Records Notice

X Website available to the public Publish Privacy Impact Assessment

X Website or information system operated by a 

contractor on behalf of the FMC for the purpose 

of interacting with the public

Publish Privacy Impact Assessment
New or significantly altered information 

technology investment administering information 

in an identifiable form collected from or about 

members of the public

Conduct Privacy Impact Assessment

New or significantly altered information 

technology investment administering information 

in an identifiable form collected from or about 

FMC employees

Conduct Privacy Impact Assessment

Contains medical information Determine if system is subject to HIPAA

Other

None of the above Privacy Impact Assessment not required

C. PRIVACY IMPACT ASSESSMENT APPROVAL

Approval of Privacy Impact Assessment accuracy and completeness.

System Owner: ____________________________ _____________________

Signature Date

Business Owner: ____________________________ _____________________

Signature Date

Approval of IT System Risk Assessment

Chief Information

Officer: ____________________________ _____________________

Signature Date

Approval of Privacy Assessment and Resulting System Categorization

Senior Agency

Official for Privacy: ____________________________ _____________________

Signature Date