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FEDERAL MARITIME COMMISSION

Systems of Records

FMC-1............................................................................................................................................2

FMC-2............................................................................................................................................4

FMC-7............................................................................................................................................8

FMC-8..........................................................................................................................................11

FMC-9..........................................................................................................................................11

FMC-10........................................................................................................................................11

FMC-14........................................................................................................................................14

FMC-16........................................................................................................................................14

FMC-18........................................................................................................................................14

FMC-19........................................................................................................................................16

FMC-22........................................................................................................................................17

FMC-24........................................................................................................................................21

FMC-25........................................................................................................................................23

FMC-26........................................................................................................................................27

FMC-28........................................................................................................................................30

FMC-29........................................................................................................................................30

FMC-31........................................................................................................................................31

FMC- 32.......................................................................................................................................33

FMC- 33.......................................................................................................................................36

FMC- 34.......................................................................................................................................40

FMC- 35.......................................................................................................................................40

FMC-36........................................................................................................................................41

FMC-37........................................................................................................................................41

FMC–38.......................................................................................................................................41

FMC-39........................................................................................................................................43

FMC-41........................................................................................................................................46

FMC-44........................................................................................................................................49
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FMC-1

System name:

Personnel Security File-FMC.

Security classification:

Unclassified.

System Location:

Office of Human Resources, Federal Maritime Commission, 

800 N. Capitol Street, N.W., Washington, D.C. 20573-0001. 

Categories of individuals covered by the system:

1. Employees of the Federal Maritime Commission.

2. Applicants for employment with the Federal Maritime Commission.

Categories of records in the system:

Results of name checks, inquiries, and investigations to determine suitability for employment 

with the U.S. Government, and for access to classified information, position sensitivity 

designation, and record of security clearance issued, if any.

Authority for maintenance of the system:

Executive Orders 10450, 12958, and 12968.

Routine uses of records maintained in the system, including categories 

of users and the purposes of such uses:

The records in this system of records are used or may be used: 

1. By Commission officials to determine suitability for employment of an applicant or 

retention of a current employee and to make a determination that the employment of 

an applicant or retention of a current employee within the Commission is clearly 

consistent with the interests of national security. 

2. To refer, where there is an indication of a violation or potential violation of law, whether 

civil or criminal or regulatory in nature, information to the appropriate agency, whether 

Federal, State, or local, charged with the responsibility of investigating or prosecuting 

such violation or charged with enforcing or implementing the statute, rule, regulation or 

order issued pursuant thereto. 

3. To request from a Federal, State, or local agency maintaining civil, criminal, or other 

relevant enforcement information, data relevant to a Commission decision concerning 

the hiring or retention of an employee or the issuance of a security clearance. 
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4. To provide or disclose information to a Federal agency in response to its request in 

connection with the hiring or retention of an employee, the issuance of a security 

clearance, the letting of a contract, or the issuance of a license, grant or other benefit by 

the requesting agency, to the extent that the information is relevant and necessary to 

the requesting agency’s decision on that matter. 

5. By a court of law or appropriate administrative board or hearing having review or 

oversight authority.

6. To appropriate agencies, entities, and persons when (a) the Federal Maritime 

Commission suspects or has confirmed that the security or confidentiality of information 

in the system of records has been compromised; (b) the agency has determined that as 

a result of the suspected or confirmed compromise there is a risk of harm to economic 

or property interests, identity theft or fraud, or harm to the security or integrity of this 

system or other systems or programs (whether maintained by the agency or another 

agency or entity) that rely upon the compromised information; and (c) the disclosure 

made to such agencies, entities, and persons is reasonably necessary to assist in 

connection with the agency’s efforts to respond to the suspected or confirmed 

compromise and prevent, minimize, or remedy such harm.

Policies and practices for storing, retrieving, accessing, retaining, and 

disposing of records in the system:

Storage: 

Records are maintained in file folders.

Retrievability: 

Records are indexed alphabetically by name.

Safeguards: 

Records are maintained in a combination safe in the custody of the Information Security 

Officer, and access is limited to the Information Security Officer and the Personnel Security 

Officer and his/her duly authorized representatives.

Retention and disposal: 

Maintain Office of Personnel Management reports of investigation and other FMC records on 

file until termination of employee from agency. Destroy within 30 days after employee leaves

the agency

System manager(s) and address:

Information Security Officer, Office of Human Resources, Federal Maritime Commission, 800 

North Capitol Street, N.W., Washington, DC 20573-0001.
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Notification procedure:

All inquiries regarding this system of records should be addressed to: Secretary, Federal 

Maritime Commission, 800 North Capitol Street, N.W., Washington, DC 20573-0001.

Record access procedures:

Requests for access to a record should be directed to the Secretary listed at the above address.

Requests may be in person or by mail and shall meet the requirements set out in section 503.65 

of title 46 of the Code of Federal Regulations.

Contesting record procedures:

An individual desiring to amend a record shall direct such request to the Secretary at the above 

listed address. Such requests shall specify the desired amendments and the reasons therefor, 

and shall meet the requirements of section 503.66 of title 46 of the Code of Federal 

Regulations. 

Record source categories:

Office of Personnel Management report, and reports from other Federal agencies.

Systems exempted from certain provisions of the Act:

All information about individuals that meets the criteria of 5 U.S.C. 552a(k)(5), regarding 

suitability, eligibility or qualifications for Federal civilian employment or for access to classified 

information, to the extent that disclosure would reveal the identity of a source who furnished 

information to the Commission under a promise of confidentiality is exempt from the 

provisions of 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f). Exemption is required 

to honor promises of confidentiality. 

FMC-2 

System name and number:

FMC-2 Non-Attorney Practitioner Files.

Security classification:

Unclassified.

System location:

Office of the Secretary, Federal Maritime Commission, 800 North Capitol Street NW, 

Washington, DC 20573-0001.

System manager(s):

Secretary, Federal Maritime Commission, 800 N Capitol Street NW, Washington, DC 20573-

0001, Secretary@fmc.gov. 
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Authority for maintenance of the system:

46 CFR 502.27.

Purpose(s) of the system:

The purpose of the system is to maintain a relevant verification source of information on nonattorney practitioners who are registered to practice before the Commission. The Federal 

Maritime Commission administers the Non-Attorneys Practicing Before the Commission 

program, as authorized under 46 CFR 502.27, which allows any U.S. citizen who is not an 

attorney at law to conduct business with the FMC on behalf of a regulated industry client. Only 

non-attorneys must submit a completed form FMC-12 package to be considered for and 

granted admission to practice before the Commission.

Categories of individuals covered by the system:

Individuals, who are not attorneys, who apply for and are granted permission to practice before 

the Commission.

Categories of records in the system:

Application forms containing descriptions of educational and professional experience and 

qualifications, and letters of reference related to non-attorney practitioners which may include 

the following:

Residence address

Citizenship status

Date/place of birth

Education

Criminal Prosecutions

Record source categories:

Applicants.

Routine uses of records maintained in the system, including categories 

of users and purposes of such uses:

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act, 

the records in this system of records are used or may be used:

1. To refer, where there is an indication of a violation or potential violation of law, whether 

civil or criminal or regulatory in nature, information to the appropriate agency, whether 

Federal, State, or local, charged with the responsibility of investigating or prosecuting 

such violation or charged with enforcing or implementing the statute, rule, regulation or 

order issued pursuant thereto.
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2. To request from a Federal, State, or local agency maintaining civil, criminal, or other 

relevant enforcement information, data relevant to a Commission decision concerning 

the hiring or retention of an employee, the issuance of a security clearance, the letting 

of a contract, or the issuance of a license, grant, or other benefit.

3. To provide or disclose information to a Federal agency in response to its request in 

connection with the hiring or retention of an employee, the issuance of a security 

clearance, the letting of a contract, or the issuance of a license, grant or other benefit by 

the requesting agency, to the extent that the information is relevant and necessary to 

the requesting agency's decision on that matter.

4. To disclose information to the public when disclosures are made on the record in a 

judicial or administrative proceeding. To disclose relevant and necessary information to 

any component of the Department of Justice for the purpose of representing the FMC, 

its officers, employees, or members in pending or potential litigation to which the 

record is pertinent.

5. In an appropriate proceeding before a court, grand jury, or administrative or 

adjudicative body or official, when the FMC or other Agency representing the FMC 

determines the records are relevant and necessary to the proceeding to which the 

government is a party; or in an appropriate proceeding before an administrative or 

adjudicative body when the adjudicator determines the records to be relevant to the 

proceeding.

6. To contractors, grantees, experts, consultants, students, and others performing or 

working on a contract, service, grant, cooperative agreement, or other assignment for 

the federal government when necessary to accomplish an agency function related to 

this System of Records.

7. To appropriate agencies, entities, and persons when (1) the FMC suspects or has 

confirmed that there has been a breach of the system of records; (2) the FMC has 

determined that as a result of the suspected or confirmed breach there is a risk of harm 

to individuals, the FMC (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 

FMC's efforts to respond to the suspected or confirmed breach or to prevent, minimize, 

or remedy such harm. 

8. To another Federal agency or Federal entity, when the FMC 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.
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Policies and practices for storage of records:

Physical records are maintained in file folders in a limited access location.

Electronic records are maintained within the confines of the FMC General Support System (FMC 

GSS).

Policies and practices for retrieval of records:

Physical records are indexed alphabetically by name.

Electronic records are retrievable by name, address, company, application date, admission 

date, or card number.

Policies and practices for retention and disposal of records:

These files will be destroyed 30 years after the applicant no longer practices before the Federal 

Maritime Commission. https://www.archives.gov/files/records-mgmt/rcs/schedules/

independent-agencies/rg-0358/daa-0358-2017-0007_sf115.pdf

See Sequence 3, Non-Attorney Practitioner files, N1-358-09-7/2 Cut off at end of calendar year 

in which it is established that applicant no longer practices before the Commission. Destroy 15 

years after cut-off. 

Administrative, technical, and physical safeguards:

Access to physical records in this system are limited to those individuals who have a need to 

know the information for performance of their official duties and who have appropriate 

clearances or permission.

Electronic files are safeguarded to meet multiple National Institute of Standards and 

Technology (NIST) Security Standards with password and identification protections. File access 

is limited to individuals who have a need to know the information for performance of their 

official duties and who have appropriate clearances or permission.

Record access procedures:

Requests for access to a record should be directed to the Secretary listed at the above address. 

Requests may be in person or by mail and shall meet the requirements set out in 46 CFR 

503.65. 

Contesting record procedures:

An individual desiring to amend a record shall direct such a request to the Secretary at the 

above listed address. Such requests shall specify the desired amendments and the reasons 

therefore and shall meet the requirements set out in of 46 CFR 503.66. 
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Notification procedures: 

Any individual shall be informed whether or not any Commission system of records contains a 

record pertaining to him or her when requested in accordance with the requirements of 46 CFR 

503.63(a). 

Exemptions promulgated for the system:

None. 

History:

78 FR 55703— https://www.federalregister.gov/documents/2013/09/11/2013-22072/privacyact-of-1974-systems-of-records. 

FMC-7 

System name:

Licensed Ocean Transportation Intermediaries Files (Form FMC-18)

Security classification:

Unclassified.

System location:

Bureau of Certification and Licensing, Federal Maritime Commission, 800 North Capitol Street 

NW., Washington, DC 20573-0001.

Categories of individuals covered by the system:

Records are maintained on individuals, including sole proprietorships, members of 

partnerships, and officers and owners of corporate licensees, managers and owners of limited 

liability companies, ex-licensees, and applicants for licenses.

Categories of records in the system:

The System contains ocean transportation intermediaries (OTIs) names, addresses and taxpayer 

identification numbers (which may be the Social Security Numbers), as well as the names, 

addresses, and Social Security Numbers (or alternatively, driver’s license numbers, passport 

numbers or alien registration numbers) of the stockholders, officers, and directors of individual 

OTIs; descriptions of the relationships the OTI may have with other business entities; corporate 

organizational documents and business licenses; a record of the OTI’s past experience in 

providing or procuring ocean transportation services; surety bond information with respect to 

licensed OTIs; and any financial information and/or criminal convictions pertinent to the 

licensing of the OTIs. Under the Shipping Act of 1984, OTIs may operate as an ocean freight 

forwarder, a non-vessel-operating common carrier, or both.
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Authority for maintenance of the system:

5 U.S.C. 553; secs. 3, 8, 10, 11, 13, 15, 17 and 19, Shipping Act of 1984 (recodified October 2006 

as 46 U.S.C. 305, 40102, 40104, 40501-40503, 40901-40904, 41101-41109, 41302-41303, and 

41305).

Routine uses of records maintained in the system, including categories 

of users and the purposes of such uses:

These records and information contained in these records may be disclosed as follows:

1. By Commission staff for evaluation of applicants for licensing.

2. By Commission staff for monitoring the activities of licensees to ensure they are in 

compliance with Commission regulations.

3. To refer, where there is an indication of a violation or potential violation of law whether 

civil, criminal or regulatory in nature, information to the appropriate agency, whether 

Federal, State, or local, charged with the responsibility of investigating or prosecuting 

such violation or charged with enforcing or implementing the statute and the rules, 

regulations, or orders issued pursuant thereto.

4. To request from a Federal, State, or local agency maintaining civil, criminal or other 

relevant enforcement information, data relevant to a Commission decision concerning 

the issuance of a license.

5. To provide or disclose information to a Federal agency in response to its request in 

connection with the hiring or retention of an employee previously employed by a 

licensee, the issuance of a security clearance, the letting of a contract, or the issuance of 

a license, grant, or other benefit by the requesting agency, to the extent that the 

information is relevant and necessary to the requesting agency’s decision on that 

matter.

6. To provide or update information maintained in the U.S. Customs and Border 

Protection’s (CBP) Automated Commercial Environment/International Trade Data 

System (ACE/ITDS) to verify licensed or registered status of OTIs under Trade Act of 

2002 and related CBP requirements, or any other successor agency or organization.

7. To appropriate agencies, entities, and persons when (a) the Federal Maritime 

Commission suspects or has confirmed that the security or confidentiality of information 

in the system of records has been compromised; (b) the agency has determined that as 

a result of the suspected or confirmed compromise there is a risk of harm to economic 

or property interests, identity theft or fraud, or harm to the security or integrity of this 

system or other systems or programs (whether maintained by the agency or another 

agency or entity) that rely upon the compromised information; and (c) the disclosure 

made to such agencies, entities, and persons is reasonably necessary to assist in 

connection with the agency’s efforts to respond to the suspected or confirmed 

compromise and prevent, minimize, or remedy such harm.
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Policies and practices for storing, retrieving, accessing, retaining, and 

disposing of records in the system:

Storage: 

Printed records are maintained in file folders in a limited access area, while electronic records 

are retained on the agency’s secure network and accessed via a password-protected 

workstation.

Retrievability: 

Records are indexed by name and license or organization number.

Safeguards: 

Records are maintained in an area of restricted accessibility.

Retention and disposal: 

Applicant and licensee files are kept as long as the application and/or license are active. Files 

for withdrawn and denied applications, as well as revoked and surrendered licenses are 

retained for ten years after final action. Thereafter, such files are destroyed in accordance with 

the Federal Maritime Commission Records Disposition Schedule (Revised June 2010).

System manager(s) and address:

Director, Bureau of Certification and Licensing, Federal Maritime Commission, 800 North 

Capitol Street NW., Washington, DC 20573-0001.

Notification procedure:

All inquiries regarding this system of records should be addressed to: Secretary, Federal 

Maritime Commission, 800 North Capitol Street, NW., Washington, DC 20573-0001.

Record access procedures:

Requests for access to a record should be directed to the Secretary listed at the above address.

Request may be in person or by mail and shall meet the requirements set out in section 503.65 

of title 46 of the Code of Federal Regulations.

Contesting record procedures:

An individual desiring to amend a record shall direct such request to the Secretary at the above 

listed address. Such requests shall specify the desired amendments and the reasons therefor, 

and shall meet the requirements of section 503.66 of title 46 of the Code of Federal 

Regulations.

Record source categories:

1. Information submitted by applicants and licensees.

2. Information submitted by Commission Area Representatives.

3. Information submitted by the general public (e.g., through comments or complaints).

4. Information submitted by surety companies.
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5. Information obtained through Internet Web site searches and selected commercial and 

government database searches conducted by Bureau of Certification and Licensing staff 

in processing OTI license applications (e.g., Accurint and Dun & Bradstreet).

Systems exempted from certain provisions of the Act:

All information that meets the criteria of 5 U.S.C. 552a(k)(2) regarding investigatory materials 

compiled for law enforcement purposes is exempt from the provisions of 5 U.S.C. 552a(c)(3), 

(d), (e)(1), (e)(4)(G), (H), and (I), and (f). Exemption is appropriate to avoid compromise of 

ongoing investigations, disclosure of the identity of confidential sources and unwarranted 

invasions of personal privacy of third parties.

FMC-8

System name:

Official Personnel Folder and Electronic Official Personnel Folder (eOPF)-FMC.

System location:

Office of Human Resources, Federal Maritime Commission, 800 North Capitol Street, N.W., 

Washington, DC 20573-0001.

This system is covered by the Office of Personnel Management’s government-wide system 

notice, OPM/GOVT-1.

FMC-9

System name:

Training Program Records-FMC.

System location:

Office of Human Resources, Federal Maritime Commission, 800 N. Capitol Street, N.W., 

Washington, D.C. 20573-0001. 

This system is covered by the Office of Personnel Management’s government-wide system 

notice, OPM/GOVT-1.

FMC-10

System name:

Desk Audit File-FMC.
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Security Classification:

Unclassified.

System location:

Office of Human Resources, Federal Maritime Commission, 800 North Capitol Street, N.W., 

Washington, DC 20573-0001.

Categories of individuals covered by the system:

Current and former employees of the Federal Maritime Commission.

Categories of records in the system:

Each record consists of the position classification specialist’s notes of conversations, evaluation 

reports, background papers, and/or research material used to support the final position 

classification.

Authority for maintenance of the system:

44 U.S.C. 3101 et seq., 5 U.S.C. 1302 and the regulations issued pursuant thereto.

Routine uses of records maintained in the system, including categories 

of users and the purposes of such uses:

Information in this system of records is used or may be used:

1. By Commission officials to support decisions on the proper classification of a position. 

2. To refer, where there is an indication of a violation or potential violation of law, whether 

civil or criminal or regulatory in nature, information to the appropriate agency, whether 

Federal, State, or local, charged with the responsibility of investigating or prosecuting 

such violation or charged with enforcing or implementing the statute, rule, regulation or 

order issued pursuant thereto. 

3. To request from a Federal, State, or local agency maintaining civil, criminal, or other 

relevant enforcement information, data relevant to a Commission decision concerning 

the hiring or retention of an employee, the issuance of a security clearance, the letting 

of a contract, or the issuance of a license, grant, or other benefit. 

4. To provide or disclose information to a Federal agency in response to its request in 

connection with the hiring or retention of an employee, the issuance of a security 

clearance, the letting of a contract, or the issuance of a license, grant or other benefit by 

the requesting agency, to the extent that the information is relevant and necessary to 

the requesting agency’s decision on that matter. 

5. By the Office of Personnel Management in the course of an investigation, or evaluating 

for statistical or management analysis purposes.

6. To appropriate agencies, entities, and persons when (a) the Federal Maritime 

Commission suspects or has confirmed that the security or confidentiality of information 
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in the system of records has been compromised; (b) the agency has determined that as 

a result of the suspected or confirmed compromise there is a risk of harm to economic 

or property interests, identity theft or fraud, or harm to the security or integrity of this 

system or other systems or programs (whether maintained by the agency or another 

agency or entity) that rely upon the compromised information; and (c) the disclosure 

made to such agencies, entities, and persons is reasonably necessary to assist in 

connection with the agency’s efforts to respond to the suspected or confirmed 

compromise and prevent, minimize, or remedy such harm.

Policies and practices for storing, retrieving, accessing, retaining, and 

disposing of records in the system:

Storage: 

Records are maintained in file folders.

Retrievability: 

Records are indexed alphabetically by name.

Safeguards: 

Records are maintained in locked file cabinets.

Retention and disposal: 

Records are maintained as long as the position audited remains essential, current, and 

accurate, after which they are destroyed.

System manager(s) and address:

Director of Human Resources, Federal Maritime Commission, 800 North Capitol Street, N.W., 

Washington, DC 20573-0001.

Notification procedure:

All inquiries regarding this system of records should be addressed to: Secretary, Federal 

Maritime Commission, 800 North Capitol Street, N.W., Washington, DC 20573-0001.

Record access procedures:

Requests for access to a record should be directed to the Secretary listed at the above address.

Requests may be in person or by mail and shall meet the requirements set out in section 503.65 

of title 46 of the Code of Federal Regulations.

Contesting record procedures:

An individual desiring to amend a record shall direct such a request to the Secretary at the 

above listed address. Such requests shall specify the desired amendments and the reasons 

therefor, and shall meet the requirements of section 503.66 of title 46 of the Code of Federal 

Regulations.
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Record source categories:

Human Resources Specialists of the Commission.

FMC-14

System name:

Medical Examination File-FMC.

System location:

Office of Human Resources, Federal Maritime Commission, 800 North Capitol Street, N.W., 

Washington, DC 20573-0001.

This system is covered by the Office of Personnel Management’s government-wide system 

notice, OPM/GOVT-10.

FMC-16

System name:

Classification Appeals File-FMC.

System location:

Office of Human Resources, Federal Maritime Commission, 800 North Capitol Street, N.W., 

Washington, DC 20573-0001.

Note: This system is covered by the Office of Personnel Management’s government-wide 

system notice, OPM/GOVT-9.

FMC-18

System name:

Travel Orders/Vouchers File-FMC.

Security Classification:

Unclassified.

System location:

Office of Budget and Finance, Federal Maritime Commission, 800 North Capitol Street, N.W., 

Washington, DC 20573-0001.

Categories of individuals covered by the system:

Employees of the Federal Maritime Commission.
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Categories of records in the system:

The record consists of the initial travel order for the individual and the subsequent travel 

voucher prepared from information supplied by the individual which includes hotel bills, 

subsistence breakdown, cab fares and air fares.

Authority for maintenance of the system:

Federal Travel Regulation, 41 CFR parts 301-304. 

Routine uses of records maintained in the system, including categories 

of users and the purposes of such uses:

Records in this system of records are used or may be used:

1. By the Commission for the authorization of travel performed by personnel of the 

Commission. 

2. By the Commission to prepare travel vouchers for submission to the Bureau of Public 

Debt through E-Gov and to maintain internal control of travel expenses within this 

agency. 

3. To refer, where there is an indication of a violation or potential violation of law, whether 

civil or criminal in nature, information to the appropriate agency, whether Federal, State 

or local, charged with the responsibility of investigating or prosecuting such violation or 

charged with enforcing or implementing the statute or rule, regulation or order issued 

pursuant thereto. 

4. To appropriate agencies, entities, and persons when (a) the Federal Maritime 

Commission suspects or has confirmed that the security or confidentiality of information 

in the system of records has been compromised; (b) the agency has determined that as 

a result of the suspected or confirmed compromise there is a risk of harm to economic 

or property interests, identity theft or fraud, or harm to the security or integrity of this 

system or other systems or programs (whether maintained by the agency or another 

agency or entity) that rely upon the compromised information; and (c) the disclosure 

made to such agencies, entities, and persons is reasonably necessary to assist in 

connection with the agency’s efforts to respond to the suspected or confirmed 

compromise and prevent, minimize, or remedy such harm.

Policies and practices for storing, retrieving, accessing, retaining, and 

disposing of records in the system:

Storage: 

Records are maintained in file folders.

Retrievability: 

Records are indexed by name or bureau.
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Safeguards: 

Records are maintained in a locking file cabinet and monitored by the Director of the Office of 

Budget and Finance.

Retention and disposal: 

The records are maintained for six years and are then destroyed by shredding (in accordance 

with General Records Schedule 9).

System manager(s) and address:

Director, Office of Budget and Finance, Federal Maritime Commission, 800 North Capitol Street, 

N.W., Washington, DC 20573-0001.

Notification procedure:

All inquiries regarding this system of records should be addressed to: Secretary, Federal 

Maritime Commission, 800 North Capitol Street, N.W., Washington, DC 20573-0001.

Record access procedures:

Requests for access to a record should be directed to the Secretary listed at the above address.

Requests may be in person or by mail and shall meet the requirements set out in section 503.65 

of title 46 of the Code of Federal Regulations.

Contesting record procedures:

An individual desiring to amend a record shall direct such a request to the Secretary at the 

above listed address. Such requests shall specify the desired amendments and the reasons 

therefor, and shall meet the requirements of section 503.66 of title 46 of the Code of Federal 

Regulations.

Record source categories:

Individual to whom the record pertains, hotel bills, individual’s subsistence record, and Travel 

Requests (airline or train).

FMC-19

System name:

Financial Disclosure Reports and Other Ethics Program Records.

System location:

Office of the General Counsel, Federal Maritime Commission, 800 North Capitol Street, N.W., 

Washington, DC 20573-0001.

Note: This system is covered by the Office of Government Ethics’ government-wide systems 

notices, OGE/GOVT-1 and OGE/GOVT-2.
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FMC-22

System name: 

Records Tracking System. 

System Classification: 

Unclassified. 

System location: 

Bureau of Enforcement and Director of Field Investigations, Office of Managing Director, 

Federal Maritime Commission, 800 N. Capitol Street, NW., Washington, DC 20573–0001. 

Categories of individuals covered by the system: 

Individuals whose names may be found in the system include employees, officers, directors, 

and owners of ocean common carriers, non-vessel operating common carriers (NVOCCs), ocean 

freight forwarders, passenger vessel operators, ports and terminal operators, shippers, 

consignees, conferences and agreements between ocean common carriers, and other entities 

associated with any of the foregoing. Included are individuals alleged to have violated one of 

the statutes or regulations administered by the Federal Maritime Commission, individuals who 

provided information during an investigation, and others necessary to the full development of 

an investigation. Not included are attorneys, government officials, Federal Maritime 

Commission employees, or individuals only incidentally involved in an investigation. 

Categories of records in the system: 

The Records Tracking System includes records on individuals involved in official investigations 

conducted by the Director of Field Investigations and the Bureau of Enforcement, fact finding 

and formal proceedings instituted by the Federal Maritime Commission, court proceedings, and 

civil and criminal investigations conducted in association with other government agencies. 

Investigations include investigations of alleged violations of the statutes or regulations 

administered by the Commission, ocean transportation intermediary (NVOCC and ocean freight 

forwarder) application inquiries, OTI application checks, OTI compliance checks, service 

contract audits, common carrier audits, passenger vessel audits, special inquiries, BOE 

correspondence with possible unlicensed or unbonded OTIs, undeveloped leads, intelligence 

activities, and other matters authorized by the Bureau of Enforcement. 

The Records Tracking System includes all files and records of the Bureau, wherever located. The 

system also includes reports or other information from other government agencies, shipping 

and commercial records, investigative work product, notes of interviews, documents obtained 

from any source, schedules of data, investigative plans and directives, disclosures, settlement 

agreements, and any other records prepared in conjunction with a case including information 

which tends to explain, interpret, or substantiate any of the above. The system also includes 
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indices of these records, tracking systems, and listings of information otherwise included within 

the system. 

The Records Tracking System also includes reports or extracts of reports derived from 

databases maintained by other government agencies. The FMC has concluded a Memorandum 

of Understanding (MOU) with U.S. Customs and Border Protection for access to import data 

collected within the Automated Customs Environment system (ACE), and has executed a 

separate MOU with the U.S. Census Bureau with respect to export data collected within the 

Automated Export System (AES). By agreement, this information is received by BOE for 

investigative purposes only. Reports or extracts of reports are derived from the ACE and AES 

databases only to the extent necessary to support the agency’s investigations. 

The Records Tracking System contains information in electronic and paper media. Information 

within the system may be stored in files or data bases by specific subject or in general 

groupings. The information remains within the system through analysis, research, 

corroboration, field investigation, reporting, and referral within the Commission or to another 

government agency. Information remains within the system whether a case is open or closed or 

the matter becomes inactive. Information also remains within the system when records are 

retired to storage or are otherwise purged. 

Authority for maintenance of the system: 

Shipping Act of 1984 (46 U.S.C. 40101 – 41309), Foreign Shipping Practices Act of 1988 (46 

U.S.C. 42301 – 42307, Section 19 of the Merchant Marine Act, 1920 (46 U.S.C. 42101 -42109), 

and Public Law 89-777 (46 U.S.C. 44101 – 44106. . 

Routine uses of records maintained in the system, including categories 

of users and the purposes of such uses: 

1. In the event that a system of records maintained by the FMC to carry out its functions 

indicates a violation or potential violation of law or contract, whether civil, criminal or 

regulatory in nature, and whether arising by general statute or particular program 

statute, or by rule, regulation, or order issued pursuant thereto, the relevant records in 

the system of records may be referred, as a routine use, to the appropriate agency, 

whether Federal, State, local or foreign, charged with the responsibility of investigating 

or prosecuting such violation or charged with enforcing or implementing the statute, or 

rule, regulation or order issued pursuant thereto. 

2. A record from this system of records may be disclosed, as a routine use, to a Federal, 

State or local agency maintaining civil, criminal or other relevant enforcement 

information or other pertinent information, such as current licenses, if necessary to 

obtain information relevant to an FMC decision concerning the assignment, hiring or 

retention of an individual, the issuance of a security clearance, or the issuance of a 

license, grant or other benefit. 
19 of 53

3. A record from this system of records may be disclosed, as a routine use, to a Federal, 

State, local or international agency, in response to its request, in connection with the 

assignment, hiring or retention of an individual, the issuance of a security clearance, the 

reporting of an investigation of an individual, the letting of a contract, or the issuance of 

license, grant, or other benefit by the requesting agency to the extent that the 

information is relevant and necessary to the requesting agency's decision on the matter. 

4. A record from this system of records may be disclosed, as a routine use, in the course of 

presenting evidence to a court magistrate or administrative tribunal, including 

disclosures to opposing counsel in the course of settlement negotiations. 

5. A record in this system of records may be disclosed as a routine use to either House of 

Congress, or to the extent of matter within its jurisdiction, any committee or 

subcommittee thereof, any joint committee of Congress or subcommittee of such joint 

committee. 

6. A record in this system of records may be disclosed, as a routine use, to the Department 

of Justice in connection with determining whether disclosure thereof is required by the 

Freedom of Information Act (5 U.S.C. 552). 

7. A record in this system may be transferred, as a routine use, to the Office of Personnel 

Management for personnel research purposes; as a data source for management 

information; for the production of summary descriptive statistics and analytical studies 

in support of the function for which the records are collected and maintained; or for 

related manpower studies. 

8. To appropriate agencies, entities, and persons when (a) The Federal Maritime 

Commission suspects or has confirmed that the security or confidentiality of information 

in the system of records has been compromised; (b) the agency has determined that as 

a result of the suspected or confirmed compromise there is a risk of harm to economic 

or property interests, identity theft or fraud, or harm to the security or integrity of this 

system or other systems or programs (whether maintained by the agency or another 

agency or entity) that rely upon the compromised information; and (c) the disclosure 

made to such agencies, entities, and persons is reasonably necessary to assist in 

connection with the agency's efforts to respond to the suspected or confirmed 

compromise and prevent, minimize, or remedy such harm. 

Policies and practices for storing, retrieving, accessing, retaining, and 

disposing of records in the system: 

Storage: 

Records are maintained in paper form in filing cabinets and in a Lektriever, Series 80. Statistical 

data taken from record forms are maintained in a personal computer. 

Retrievability: 

Information filed by case of subject file. Records pertaining to individuals are accessed by 

reference to the Bureau of Enforcement's name-relationship index system. 
20 of 53

Safeguards: 

Records are located in locked metal file cabinets or in metal file cabinets in secured rooms or 

secured premises with access limited to those whose official duties require access. The 

Lektriever files are located in a secured room with access limited to those whose official duties 

require access.. Computer information is safeguarded with an access code. Access to ACE and 

AES data may be further limited only to certain FMC agency personnel having need to know and 

other qualifications as specified in a MOU with CBP or the Census Bureau. Files are maintained 

in buildings that have 24 hour security guards. 

Retention and disposal: 

Records are retained for 7 years after the end of the calendar year in which the case file actions 

are concluded; the records are destroyed 12 years after cutoff. 

System manager(s) and address: 

Director, Bureau of Enforcement, Federal Maritime Commission, 800 North Capitol Street, NW., 

Washington, DC 20573–0001. 

Notification procedure: 

All inquiries regarding this system of records should be addressed to: Secretary, Federal 

Maritime Commission, 800 North Capitol Street, NW., Washington, DC 20573–0001. 

Record access procedures: 

Requests for access to a record should be directed to the Secretary listed at the above address. 

Requests may be in person or by mail and shall meet the requirements set out in section 503.65 

of title 46 of the Code of Federal Regulations. 

Contesting record procedures: 

An individual desiring to amend a record shall direct such a request to the Secretary at the 

above listed address. Such requests shall specify the desired amendments and the reasons 

therefor, and shall meet the requirements of section 503.66 of title 46 of the Code of Federal 

Regulations. 

Record source categories: 

Individual shippers, carriers, NVOCCs, ocean freight forwarders, those authorized by the 

individual to furnish information, trade sources, trade databases including ACE and AES, 

investigative agencies, investigative personnel and attorneys of the Bureau of Enforcement and 

other sources of information. 

Systems exempted from certain provisions of the Act: 

All information that meets the criteria of 5 U.S.C. 552a(k)(2) regarding investigatory materials 

compiled for law enforcement purposes is exempt from the provisions of 5 U.S.C. 552a(c)(3), 

(d), (e)(1), (e)(4)(G), (H), and (I), and (f). Exemption is appropriate to avoid compromise of 
21 of 53

ongoing investigations, disclosure of the identity of confidential sources and unwarranted 

invasions of personal privacy of third parties. Information derived from other governmental 

sources, e.g. Customs and Border Protection and Census Bureau, may be subject to additional 

exemptions pursuant to their governing statutes.

FMC-24

System name:

Informal Inquiries and Complaints Files-FMC.

Security Classification:

Unclassified.

System location:

Office of Consumer Affairs & Dispute Resolution Services, Federal Maritime Commission, 800 

North Capitol Street, N.W., Washington, DC 20573-0001.

Categories of individuals covered by the system:

Individuals and regulated entities seeking Commission provided alternative dispute resolution 

services to resolve regulatory and commercial shipping disputes.

Categories of records in the system:

Copies of complaints and correspondence developed in their resolution complaint tracking logs; 

and complaint tracking electronic summary database.

Authority for maintenance of the system:

Executive Order 12160, September 26, 1979.

Routine uses of records maintained in the system, including categories 

of users and the purposes of such uses:

In addition to those disclosures generally permitted under 5 U.S.C. § 552a(b), the following may 

be disclosed as a “routine use” pursuant to 5 U.S.C. § 552a(b)(3):

1. Information may be disclosed to staff in various bureaus and offices to determine 

whether a complaint can be resolved.

2. Information may be disclosed to a business entity regulated by the Commission to 

determine whether a complaint can be resolved.

3. Information may be disclosed to another agency at the Federal, State, or local level 

to determine whether a complaint can be resolved.

4. Information may be disclosed to the Commission to provide information on 

developments or trends in the character of complaints which might suggest policy 

directions, proposed rules or programs.
22 of 53

5. Information may be disclosed to appropriate agencies entities, and persons when 

(a) the Federal Maritime Commission suspects or has confirmed that the security or 

confidentiality of information in the system of records has been compromised; (b) 

the agency has determined that as a result of the suspected or confirmed 

compromise there is a risk of harm to economic or property interests, identity theft 

or fraud, or harm to the security or integrity of this system or other systems or 

programs (whether maintained by the agency or another agency or entity) that rely 

upon the compromised information; and (c) the disclosure made to such agencies, 

entities, and persons is reasonably necessary to assist in connection with the 

agency’s efforts to respond to the suspected or confirmed compromise and 

prevent, minimize, or remedy such harm.

Policies and practices for storing, retrieving, accessing, retaining, and 

disposing of records in the system:

Storage: 

Physical records are maintained in file folders; the electronic database is maintained on the 

Commission’s local area network.

Retrievability: 

Physical and electronic records are serially numbered and indexed by complainant and 

respondents.

Safeguards: 

Physical records are maintained in locked file cabinets; access to electronic records is password 

protected.

Retention and disposal: 

Records are maintained by the Federal Maritime Commission for four years and then 

destroyed. The electronic summary database is permanently maintained.

System manager(s) and address:

Director, Office of Consumer Affairs & Dispute Resolution Services, Federal Maritime 

Commission, 800 North Capitol Street, N.W., Washington, DC 20573-0001.

Notification procedure:

All inquiries regarding this system of records should be addressed to: Secretary, Federal 

Maritime Commission, 800 North Capitol Street, N.W., Washington, DC 20573-0001.

Record access procedures:

Requests for access to a record should be directed to the Secretary listed at the above address.

Requests may be in person or by mail and shall meet the requirements set out in section 503.65 

of title 46 of the Code of Federal Regulations.
23 of 53

Contesting record procedures:

An individual desiring to amend a record shall direct such request to the Secretary at the above 

listed address. Such requests shall specify the desired amendments and the reasons therefore, 

and shall meet the requirements of section 503.66 of title 46 of the Code of Federal 

Regulations.

Record source categories:

Entities who have requested alternative dispute resolution services.

Systems exempted from certain provisions of the Act:

All information that meets the criteria of 5 U.S.C. 552a(k)(2) regarding investigatory materials 

compiled for law enforcement purposes is exempt from the provisions of 5 U.S.C. 552a(c)(3), 

(d), (e)(1), (e)(4)(G), (H), and (I), and (f). Exemption is appropriate to avoid compromise of 

ongoing investigations, disclosure of the identity of confidential sources and unwarranted 

invasions of personal privacy of third parties. 

FMC-25

System name:

Inspector General File.

System Classification:

Unclassified.

System location:

Office of The Inspector General, Federal Maritime Commission, 800 North Capitol Street, N.W. 

Washington, DC 20573-0001.

Categories of individuals covered by the system:

Individuals and entities who are or have been the subjects of investigations conducted by the 

OIG, including present and former FMC employees; consultants, contractors, and 

subcontractors and their employees; and other individuals and entities doing business with the 

FMC.

Categories of records in the system:

A. Investigative Case Files

1. Case Index

Selected information from each case file indexed by case file number, and case 

title which may include names of subjects of investigations.

2. Hard Copy Files

Case files developed during investigations of known or alleged fraud and abuse 
24 of 53

and irregularities and violations of laws and regulations. Cases relate to agency 

personnel and programs and operations administered by the agency, including 

contractors and others having a relationship with the agency. Files consist of 

investigative reports and related documents, such as correspondence, internal 

staff memoranda, copies of all subpoenas issued during the investigation, 

affidavits, statements from witnesses, transcripts of testimony taken in the 

investigation and accompanying exhibits, notes, attachments, and working 

papers. Files containing information or allegations which are of an investigative 

nature but do not relate to a specific investigation.

B. Hotline Complaints

1. Hotline Index

Selected information from each hotline complaint file indexed by hotline case 

number and title which may include names of subject of hotline complaint.

2. Hard Copy Files

Information obtained from hotline complainants reporting indications of waste, 

fraud, and mismanagement. Specific information to include name and address of 

complainant, date complaint received, program area, nature and subject of 

complaint, and any additional contacts and specific information provided by the 

complainant. Information on OIG disposition.

Authority for maintenance of the system:

The Inspector General Act of 1978 (5 U.S.C. App. 3), as amended by Pub. L. 100-504; 44 U.S.C. 

3101 et seq.; Commission Order No. 113.

Purpose(s):

The records maintained in the system are used by the OIG in furtherance of the responsibilities 

of the Inspector General, pursuant to the Inspector General Act of 1978, as amended, to 

conduct and supervise audits and investigations relating to programs and operations of the 

FMC; to promote economy, efficiency, and effectiveness in the administration of such programs 

and operations; and to prevent and detect fraud and abuse in such programs and operations.

Routine uses of records maintained in the system, including categories 

of users and the purposes of such uses:

The records in the system may be used and disseminated to further the purposes described 

above.

The following routine uses apply to the records maintained in this 

system:

1. A record may be disclosed to an individual, or to a Federal, State, local, or international 

agency when necessary to further the ends of a legitimate investigation or audit.
25 of 53

2. A record which indicates either by itself or in combination with other information within 

the agency’s possession, 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 rule, regulation, or order issued pursuant thereto, or which indicates a 

violation or potential violation of a contract, may be disclosed to the appropriate 

agency, whether Federal, State, local or international, charged with the responsibility of 

investigating or prosecuting such violation, or of enforcing or implementing the statute, 

or rule, regulation, or order issued pursuant thereto, or of enforcing the contract.

3. A record may be disclosed to a Federal, State, local or international agency, in response 

to its request, in connection with the assignment, hiring, or retention of an individual, 

the issuance of a security clearance, the reporting of an investigation of an individual, 

the letting of a contract, or the issuance of a license, grant, or other benefit by the 

requesting agency, to the extent that the information is relevant and necessary to the 

requesting agency’s decision on the matter.

4. A record may be disclosed to a Member of Congress who submits an inquiry on behalf of 

an individual, when the Member of Congress informs the FMC that the individual to 

whom the record pertains has authorized the Member of Congress to have access to the 

record. In such cases, the Member of Congress has no more right to the record than 

does the individual.

5. A record may be disclosed to the Office of Government Ethics for any purpose 

consistent with that Office’s mission, including the compilation of statistical data.

6. A record may be disclosed to the U.S. Department of Justice in order to obtain that 

Department’s advice regarding an agency’s disclosure obligation under the Freedom of 

Information Act.

7. A record may be disclosed to the Office of Management and Budget in order to obtain 

that Office’s advice regarding an agency’s obligations under the Privacy Act.

8. A record may be disclosed to a grand jury agent pursuant either to a federal or state 

grand jury subpoena or to a prosecution request that such record be released for the 

purpose of its introduction to a grand jury.

9. A record may be disclosed to a “consumer reporting agency” as that term is defined in 

the Fair Credit Reporting Act and the Federal Claims Collection Act of 1966 in 

accordance with section 3711(f) of 31 U.S.C. and for the purposes of obtaining 

information in the course of an investigation or audit.

10. To appropriate agencies, entities, and persons when (a) the Federal Maritime 

Commission suspects or has confirmed that the security or confidentiality of information 

in the system of records has been compromised; (b) the agency has determined that as 

a result of the suspected or confirmed compromise there is a risk of harm to economic 

or property interests, identity theft or fraud, or harm to the security or integrity of this 

system or other systems or programs (whether maintained by the agency or another 

agency or entity) that rely upon the compromised information; and (c) the disclosure 
26 of 53

made to such agencies, entities, and persons is reasonably necessary to assist in 

connection with the agency’s efforts to respond to the suspected or confirmed 

compromise and prevent, minimize, or remedy such harm.

Policies and practices for storing, retrieving, accessing, retaining, and 

disposing of records in the system:

Storage: 

The investigative case index and the hotline case index are stored on a hard disk on a personal 

computer. The hard copy files are stored in file folders. All records are stored under secured 

conditions.

Retrievability: 

Records in the investigative and hotline case index are retrieved by case title which may include 

the name of the subject of an investigation and by case number. Records in the hard copy files 

are retrieved by case numbers.

Safeguards: 

Direct access is limited to authorized staff of the OIG. Additional access within FMC is limited to 

authorized officials on a need-to-know basis. All records, when not in a possession of an 

authorized individual are stored in locked cabinets or a locked, standalone, personal computer 

in a locked room.

Retention and disposal: 

1. Files containing information or allegations which are of an investigative nature but 

do not relate to a specific investigation are retained for seven years.

2. Other investigative case files are retained for ten years.

System manager(s) and address:

Inspector General, Office of The Inspector General, Federal Maritime Commission, Room 1072, 

800 North Capitol Street, N.W., Washington, DC 20573-0001.

Notification procedure:

All inquiries regarding this system of records should be addressed to: Secretary, Federal 

Maritime Commission, 800 North Capitol Street, N.W., Washington, DC 20573-0001. However, 

see Exemption section below.

Record access procedures:

Requests for access to a record should be directed to the Secretary listed at the above address.

Requests may be in person or by mail and shall meet the requirements set out in section 503.65 

of title 46 of the Code of Federal Regulations. However, see Exemption section below.
27 of 53

Contesting record procedures:

An individual desiring to amend a record shall direct such a request to the Secretary at the 

above listed address. Such requests shall specify the desired amendments and the reasons 

therefor, and shall meet the requirements of section 503.66 of title 46 of the Code of Federal 

Regulations. However, see Exemption section below.

Record source categories:

Agency employees, reports and contracts from other agencies, and internal and external 

documents.

Systems exempted from certain provisions of the act:

All information that meets the criteria of 5 U.S.C. 552a(k)(2) regarding investigatory materials

compiled for law enforcement purposes is exempt from the provisions of 5 U.S.C. 552a(c)(3), 

(d), (e)(1), (e)(4)(G), (H), and (I), and (f). Exemption is appropriate to avoid compromise of 

ongoing investigations, disclosure of the identity of confidential sources and unwarranted 

invasions of personal privacy of third parties.

All information about individuals that meets the criteria of 5 U.S.C. 552a(k)(5), regarding 

suitability, eligibility or qualifications for Federal civilian employment or for access to classified 

information, to the extent that disclosure would reveal the identity of a source who furnished 

information to the Commission under a promise of confidentiality is exempt from the 

provisions of 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f). Exemption is required 

to honor promises of confidentiality.

All information meeting the criteria of 5 U.S.C. 552a(j)(2) pertaining to the enforcement of 

criminal laws is exempt from the provisions of 5 U.S.C. 552a, except subsections (b), (c)(1) and 

(2), (e)(4)(A) through (F), (e)(6), (7), (9), (10), and (11), and (i). Exemption is appropriate to avoid 

compromise of ongoing investigations, disclosure of the identity of confidential sources and 

unwarranted invasions of personal privacy of third parties.

FMC-26

System name:

Administrative Grievance File-FMC.

System Classification:

Unclassified.

System location:

Office of Human Resources, Federal Maritime Commission, 800 North Capitol Street, N.W., 

Washington, DC 20573-0001.
28 of 53

Categories of individuals covered by the system:

Any employee of the Federal Maritime Commission, including any former employee for whom a 

remedy can be provided.

Categories of records in the system:

Administrative Grievance Files contain all documents related to a particular grievance, including 

but not limited to any statements of witnesses, records or copies thereof, the report of the 

hearing when one is held, statements made by the parties to the grievance, and the decision.

Authority for maintenance of the system:

5 U.S.C. 1302, 3301, 3302, 7301, E.O. 9830, 3 CFR 1943-1948 Comp., pp. 606-624; E.O. 11222, 3 

CFR 2964-2969 Comp., p. 306.

Routine uses of records maintained in the system, including categories of users and the 

purposes of such uses:

Information in this system of records is used or may be used: 

1. By Commission officials designated as grievance examiners for the purpose of 

adjudication, by the Director of EEO in the event of an investigation when the EEO 

complaint relates to the grievance, or for information concerning the outcome of the 

grievance. 

2. By the Office of Personnel Management in the course of an investigation of a particular 

employee of the Commission, for statistical analysis purposes, or for program 

compliance checks. 

3. By the Merit Systems Protection Board if necessitated by an appeal. 

4. By the appropriate District Court of the United States to render a decision when the 

Commission has refused to release a current or former employee’s record under the 

Freedom of Information Act. 

5. To refer, where there is an indication of a violation or potential violation of law, whether 

civil, criminal or regulatory in nature, information to the appropriate agency, whether 

Federal, State, or local, charged with the responsibility of investigating or prosecuting 

such violation or charged with enforcing or implementing the statute, rules, regulation 

or order issued pursuant thereto. 

6. To request from a Federal, State, or local agency maintaining civil, criminal, or other 

relevant enforcement information, data relevant to a Commission decision concerning 

the hiring or retention of an employee. 

7. To provide or disclose information to a Federal agency in response to its request in 

connection with the hiring or retention of an employee, to the extent that the 

information is relevant and necessary to the requesting agency’s decision on that 

matter. 
29 of 53

8. By the employee or his/her designated representative in order to gather or provide 

information necessary to process the grievance.

9. To appropriate agencies, entities, and persons when (a) the Federal Maritime 

Commission suspects or has confirmed that the security or confidentiality of information 

in the system of records has been compromised; (b) the agency has determined that as 

a result of the suspected or confirmed compromise there is a risk of harm to economic 

or property interests, identity theft or fraud, or harm to the security or integrity of this 

system or other systems or programs (whether maintained by the agency or another 

agency or entity) that rely upon the compromised information; and (c) the disclosure 

made to such agencies, entities, and persons is reasonably necessary to assist in 

connection with the agency’s efforts to respond to the suspected or confirmed 

compromise and prevent, minimize, or remedy such harm.

Policies and practices for storing, retrieving, accessing, retaining, and 

disposing of records in the system:

Storage: 

Records are maintained in file folders.

Retrievability: 

Records are indexed alphabetically by name.

Safeguards: 

Records are stored in locked file cabinets.

Retention and disposal: 

In accordance with General Records Schedule 1, the Administrative Grievance File is destroyed 

4 years after case is closed.

System manager(s) and address:

Director of Human Resources, Federal Maritime Commission, 800 North Capitol Street, N.W., 

Washington, DC 20573-0001.

Notification procedure:

All inquiries regarding this system of records should be addressed to: Secretary, Federal 

Maritime Commission, 800 North Capitol Street, N.W., Washington, DC 20573-0001.

Record access procedures:

Requests for access to a record should be directed to the Secretary listed at the above address.

Requests may be in person or by mail and shall meet the requirements set out in section 503.65 

of title 46 of the Code of Federal Regulations.
30 of 53

Contesting record procedures:

An individual desiring to amend a record shall direct such request to the Secretary at the above 

listed address. Such requests shall specify the desired amendments and the reasons therefor, 

and shall meet the requirements of section 503.66 of title 46 of the Code of Federal 

Regulations.

Record source categories:

Information is supplied by the individual to whom the record pertains and/or by his or her 

representative, human resource specialists, grievance examiners, and any parties providing 

information bearing directly on the grievance.

Systems exempted from certain provisions of the Act:

All information that meets the criteria of 5 U.S.C. 552a(k)(2) regarding investigatory materials 

compiled for law enforcement purposes is exempt from the provisions of 5 U.S.C. 552a(c)(3), 

(d), (e)(1), (e)(4)(G), (H), and (I), and (f). Exemption is appropriate to avoid compromise of 

ongoing investigations, disclosure of the identity of confidential sources and unwarranted 

invasions of personal privacy of third parties.

All information about individuals that meets the criteria of 5 U.S.C. 552a(k)(5), regarding 

suitability, eligibility or qualifications for Federal civilian employment or for access to classified 

information, to the extent that disclosure would reveal the identity of a source who furnished 

information to the Commission under a promise of confidentiality is exempt from the 

provisions of 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f). Exemption is required 

to honor promises of confidentiality.

FMC-28

System name:

Equal Employment Opportunity Complaint Files-FMC.

System location:

Office of General Counsel, Federal Maritime Commission, 800 N. Capitol Street, N.W., 

Washington, DC 20573-0001.

Note: This system of records is covered by the Equal Employment Opportunity Commission’s 

Government-wide system notice, EEOC/GOVT-1.

FMC-29

System name:

Employee Performance File System Records-FMC.
31 of 53

System location:

Office of Human Resources, Federal Maritime Commission, 800 North Capitol Street, N.W., 

Washington, DC 20573-0001.

This system of records is covered by the Office of Personnel Management’s Government-wide 

system notice, OPM/GOVT-2.

FMC-31

System name:

Debt Collection Files.

Security Classification:

Unclassified.

System location:

Records are located in the Office of Budget and Finance, Federal Maritime Commission, 800 

North Capitol Street, NW, Washington, D.C. 20573.

Categories of individuals covered by the system:

Individuals who are indebted to FMC.

Categories of records in the system:

The Debt Collection Officer’s file will contain copies of debt collection letters, bills for collection, 

and correspondence to and from the debtor relating to the debt. The file will include such 

information as the name and address of the debtor, taxpayer’s identification number (which 

may be the Social Security Number); amount of debt or delinquent amount; basis of debt; date 

debt arose; office/bureau referring debt to the Debt Collection Officer; record of each 

collection made; credit report; financial statement reflecting the net worth of the debtor; date 

by which debt must be referred to the Department of the Treasury for further collection action; 

and citation or basis on which debt was terminated or compromised.

Authority for maintenance of the system:

31 U.S.C. 3701 et seq., Debt Collection Act of 1982 (Pub. L. 97-365, 96 Stat. 1749) as amended 

by the Debt Collection Improvement Act of 1996 (Pub. L. 104-134, 101 Stat. 1321-358).

Purpose(s):

Information is used for the purpose of collecting monies owed FMC arising out of any 

administrative or program activities or services administered by FMC. The Debt Collection 

Officer’s file represents the basis for the debt and amount of debt and actions taken by FMC to 

collect the monies owed under the debt. The credit report or financial statement provides an 
32 of 53

understanding of the individual’s financial condition with respect to requests for deferment of 

payment.

Routine uses of records maintained in the system, including categories 

of users and the purposes of such uses:

1. When debts are uncollectible, copies of the FMC Debt Collection Officer’s file 

regarding the debt and actions taken to attempt to collect the monies are forwarded 

to the Department of Treasury for further collection action. FMC may also provide 

Treasury with copies of the debt collection letter, bill for collection, and FMC 

correspondence to the debtor.

2. Disclosure pursuant to 5 U.S.C. 552a(b)(12).

3. Disclosures may be made from this system to “consumer reporting agencies” as 

defined in the Fair Credit Reporting Act (15 U.S.C. 1681a(f) or the Federal Claims 

Collection Act of 1966 (31 U.S.C. 3701(a)(3)).

4. To appropriate agencies, entities, and persons when (a) the Federal Maritime 

Commission suspects or has confirmed that the security or confidentiality of 

information in the system of records has been compromised; (b) the agency has 

determined that as a result of the suspected or confirmed compromise there is a risk 

of harm to economic or property interests, identity theft or fraud, or harm to the 

security or integrity of this system or other systems or programs (whether 

maintained by the agency or another agency or entity) that rely upon the 

compromised information; and (c) the disclosure made to such agencies, entities, 

and persons is reasonably necessary to assist in connection with the agency’s efforts 

to respond to the suspected or confirmed compromise and prevent, minimize, or 

remedy such harm.

Policies and practices for storing, retrieving, accessing, retaining, and 

disposing of records in the system:

Storage: 

Records are maintained in notebooks, file folders, on lists and forms, and in computer 

processible storage media.

Retrievability: 

The system files are filed by bill for collection number, name, or taxpayer’s identification 

number (which may be the Social Security Number).

Safeguards: 

Personnel screening, hardware, and software computer security measures; paper records are 

maintained in locked containers and/or room. All records are maintained in areas that are 

secured by building guards during non-business hours. Records are retained in areas accessible 

only to authorized personnel.
33 of 53

Retention and disposal: 

In accordance with General Records Schedule 6, the records are maintained for 6 years and 3 

months and then shredded.

System manager(s) and address:

Director, Office of Budget and Finance, Federal Maritime Commission, 800 North Capitol Street, 

NW, Washington, D.C. 20573.

Notification procedure:

Individuals wishing to inquire whether this system of records contains information about 

themselves should contact the system manager identified above. Written requests should be 

clearly marked “Privacy Act Request” on the envelope and letter. Requests should include full 

name of the individual, some type of appropriate personal identification, and current address.

For personal visits, the individuals should be able to provide some acceptable identification –

that is, driver’s license, employing organization identification card, or other picture 

identification card.

Record access procedures:

Same as Notification procedures above.

Contesting record procedures:

Same as Notification procedures above. The letter should state clearly and concisely what 

information is being contested, the reason for contesting it, and the proposed amendment to 

the information sought.

FMC Privacy Act Regulations are promulgated in 46 CFR part 503.

Record source categories:

Directly from the debtor, the initial application, credit report from the commercial credit 

bureau, administrative or program offices within FMC. 

FMC- 32

System Name:

Regulated Persons Index (“RPI”)

Security Classification:

Unclassified.

System Location:

Bureau of Certification and Licensing, Federal Maritime Commission, 800 North Capitol Street, 

N.W., Washington, DC 20573-0001.
34 of 53

Categories of individuals covered by the system:

Records are maintained on persons, which may include passenger vessel operators, vessel 

operating common carriers, marine terminal operators, sole proprietorships, association or 

agreement of persons, financial institutions, third party filers, practitioners before the 

Commission, ocean freight forwarders, non-vessel-operating common carriers, members of 

partnerships, and officers and owners of corporate licensees, managers/members and owners 

of limited liability companies, ex-licensees, and applicants for licenses. 

Categories of records in the system:

The system contains names, addresses, phone/fax numbers of regulated entities and, where 

applicable, tax payer identification numbers (which may be Social Security Numbers), or names, 

addresses, and Social Security Numbers (or alternatively, driver’s license numbers, passport, 

visa, or alien registration numbers) of the stockholders, officers, managers/members, and 

directors of individual ocean transportation intermediaries (OTIs); financial responsibility 

information including name of financial institutions, instrument identification numbers and 

amount of instruments; and, internal processing and licenses information pertinent to OTIs.

Under the Shipping Act of 1984, OTIs may operate as an ocean freight forwarder, a non-vesseloperating common carrier, or both.

Authority for maintenance of the system:

5 U.S.C. 553; secs. 3, 8, 10, 11, 13, 15, 17 and 19, Shipping Act of 1984 (recodified October 2006 

as 46 U.S.C. 305, 40102, 40104, 40501-40503, 40901-40904, 41101-41109, 41302-41303, and 

41305), 46 App. U.S.C. 1704 (recodified as 46 U.S.C. 40302-40303), 46 App. U.S.C. 1707 

(recodified as 46 U.S.C. 40501-40503), 46 App. U.S.C. 817(d) and (e) (recodified 46 U.S.C. 

44101-44106), 46 CFR 502.27, 46 CFR 520.3(d).

Routine uses of records maintained in the system, including categories 

of users and the purposes of such uses:

These records and information contained in these records may be disclosed as follows:

1. By the Commission staff for monitoring the activities of regulated entities to ensure 

they are in compliance with Commission regulations.

2. By Commission staff for evaluation of applicants for licensing and certificates.

3. To provide or update information maintained in the U.S. Customs and Border 

Protection’s (CBP) Automated Commercial Environment/International Trade Data 

System (ACE/ITDS) to verify licensed or registered status of OTIs under the Trade Act 

of 2002 and related CBP requirements (or any other successor agency or 

organization) and to verify that passenger vessels with 50 or more passenger berths 

embarking passengers from U.S. ports have valid certificates.
35 of 53

4. Selected data reports containing names, addresses, phone/fax numbers are 

available to the public on the Commission’s website while more detailed reports are 

available for a fee.

5. To appropriate agencies, entities, and persons when (a) the Federal Maritime 

Commission suspects or has confirmed that the security or confidentiality of 

information in the system of records has been compromised; (b) the agency has 

determined that as a result of the suspected or confirmed compromise there is a risk 

of harm to economic or property interests, identity theft or fraud, or harm to the 

security or integrity of this system or other systems or programs (whether 

maintained by the agency or another agency or entity) that rely upon the 

compromised information; and (c) the disclosure made to such agencies, entities, 

and persons is reasonably necessary to assist in connection with the agency’s efforts 

to respond to the suspected or confirmed compromise and prevent, minimize, or 

remedy such harm.

Policies and practices for storing, retrieving, accessing, retaining, and 

disposing of records in the system:

Storage: 

Records are maintained in on the agency’s secure network.

Retrievability: 

Records are indexed by name, organization number, or license number.

Safeguards: 

Records are accessed through password-protected workstations.

Retention and disposal: 

In accordance with the Federal Maritime Commission Records Disposition Schedule (Revised 

June 2010) data cutoff is at the end of the calendar year in which an entity ceases to exist or 

offer services regulated by the Commission, and are destroyed 25 years after the cutoff.

System manager(s) and address:

Director, Bureau of Certification and Licensing, Federal Maritime Commission, 800 North 

Capitol Street, N.W., Washington, DC 20573-0001.

Notification procedure:

All inquiries regarding this system of records should be addressed to: Secretary, Federal 

Maritime Commission, 800 North Capitol Street, N.W., Washington, DC 20573-0001.

Record access procedures:

Requests for access to a record should be directed to the Secretary listed at the above address.

Request may be in person or by mail and shall meet the requirements set out in section 503.65 

of title 46 of the Code of Federal Regulations.
36 of 53

Contesting record procedures:

An individual desiring to amend a record shall direct such request to the Secretary at the above 

listed address. Such requests shall specify the desired amendments and the reasons therefore, 

and shall meet the requirements of section 503.66 of title 46 of the Code of Federal 

Regulations.

Record source categories:

1. Information submitted by applicants, licensees, certificants, practitioners, third party 

filers, vessel operating common carriers, marine terminal operators, financial 

entities including surety companies.

2. OTI license status information.

3. Information submitted by Commission Area Representatives.

4. Information obtained through Internet web site searches and selected commercial 

and government database searches conducted by BCL staff in processing OTI and 

PVO applications (e.g., Accurint and Dun & Bradstreet).

5. Information submitted by the general public (e.g. through comments or complaints).

6. Information submitted by surety companies. 

Systems exempted from certain provisions of the Act:

All information that meets the criteria of 5 U.S.C. 552a(k)(2) regarding investigatory materials 

compiled for law enforcement purposes is exempted from the provisions of 5 U.S.C. 552a(c)(3), 

(d), (e)(1), (e)(4)(G), (H), and (I), and (f). Exemption is appropriate to avoid compromise of 

ongoing investigations, disclosure of the identity of confidential sources and unwarranted 

invasions of personal privacy of third parties.

FMC- 33

System name:

Payroll/Personnel System.

System classification:

Unclassified

System location:

Hard copies of personnel records and payroll transactions and reports are located at the 

Federal Maritime Commission, 800 North Capitol Street, N.W., Washington, DC 20573-0001.

Electronic data are located at the U.S. Department of Agriculture, National Finance Center, New 

Orleans, LA 70129. The electronic records are subject to the Office of Personnel Management’s 

government-wide system notice, OPM/GOVT-1.
37 of 53

Categories of individuals covered by the system:

Current and former employees of the Federal Maritime Commission.

Categories of records in the system:

All official personnel actions and/or payroll transaction information on Commission employees.

Authority for maintenance of the system:

5 U.S.C. 301, 2302(b)(20)(B), 2302(b)(10), 7311, 7313; Executive Order 10450; 5 CFR 731.103.

Routine uses of records maintained in the system, including categories 

of users and the purposes of such uses:

In the event that a system of records maintained by this agency to carry out its functions 

indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, 

and whether arising by general statute or particular program state, or by regulation, rule or 

order issued pursuant thereto, the relevant records in the system of records may be referred, 

as a “routine use,” to the appropriate agency, whether Federal, State, local or foreign, charged 

with the responsibility of investigating or prosecuting such violation or charged with enforcing 

or implementing the statute, or rule, regulation or order issued pursuant thereto.

A record from this system of records may be disclosed as a “routine use”:

1. To a Federal, State or local agency maintaining civil, criminal or other relevant 

enforcement information or other pertinent information, such as current licenses, if 

necessary, to obtain information relevant to an agency decision concerning the 

hiring or retention of any employee, the issuance of a security clearance, the letting 

of a contract or the issuance of a license grant or other benefit.

2. To a Federal agency, in response to its request, in connection with the hiring or 

retention of an employee, the issuance of a security clearance, the reporting of an 

investigation of an employee, the letting of a contract, or the issuance of license, 

grant or other benefit by the requesting agency, to the extent that the information is 

relevant and necessary to the requesting agency’s decision in the matter.

3. To the Office of Child Support Enforcement, Administration for Children and 

Families, Department of Health and Human Services Federal Parent Locator Service 

(FPLS) and Federal Tax Offset System for use in locating individuals and identifying 

their income sources to establish paternity, establish and modify orders of support 

and for enforcement action.

4. To the Office of Child Support Enforcement for release to the Social Security 

Administration for verifying Social Security Numbers in connection with the 

operation of the FPLS by the Office of Child Support Enforcement.

5. To the Office of Child Support Enforcement for release to the Department of 

Treasury for purposes of administering the Earned Income Tax Credit Program 
38 of 53

(Section 32, Internal Revenue Code of 1986) and verifying a claim with respect to 

employment in a tax return.

6. To an authorized appeal grievance examiner, formal complaints examiner, equal 

employment opportunity investigator, arbitrator or other duly authorized official 

engaged in investigation or settlement of a grievance, complaint, or appeal filed by 

an employee. A record from this system of records may be disclosed to the Office of 

Personnel Management in accordance with the agency’s responsibility for 

evaluation and oversight of Federal personnel management.

7. To officers and employees of a Federal agency for purposes of audit.

8. To a Member of Congress or to a congressional staff member in response to an 

inquiry of the congressional office made at the request of the individual about 

whom the record is maintained.

9. To officers and employees of the National Finance Center in connection with 

administrative services provided to this agency under agreement with NFC.

10. To GAO for audit; to the Internal Revenue Service for investigation; and to private 

attorneys, pursuant to a power of attorney.

11. To the Merit Systems Protection Board, the Office of Special Counsel, the Equal 

Employment Opportunity Commission, or the Federal Labor Relations Authority, in 

connection with functions vested in those agencies.

12. To the Office of Management and Budget in connection with private relief 

legislation.

13. In litigation before a court or in an administrative proceeding being conducted by a 

Federal agency.

14. To the National Archives and Records Administration for records management 

inspections.

15. To Federal agencies as a data source for management information through the 

production of summary descriptive statistics and analytical studies in support of the 

functions for which the records are maintained for related studies.

16. To appropriate agencies, entities, and persons when (a) the Federal Maritime 

Commission suspects or has confirmed that the security or confidentiality of 

information in the system of records has been compromised; (b) the agency has 

determined that as a result of the suspected or confirmed compromise there is a risk 

of harm to economic or property interests, identity theft or fraud, or harm to the 

security or integrity of this system or other systems or programs (whether 

maintained by the agency or another agency or entity) that rely upon the 

compromised information; and (c) the disclosure made to such agencies, entities, 

and persons is reasonably necessary to assist in connection with the agency’s efforts 

to respond to the suspected or confirmed compromise and prevent, minimize, or 

remedy such harm.
39 of 53

A copy of an employee’s Department of the Treasury Form W-2, Wage and Tax Statement, also 

is disclosed to the state, city, or other local jurisdiction which is authorized to tax the 

employee’s compensation. The record will be provided in accordance with a withholding 

agreement between the state, city or other local jurisdiction and the Department of the 

Treasury pursuant to 5 U.S.C. 5516, 5517, and 5520, or, in the absence thereof, in response to a 

written request from an appropriate official of the taxing jurisdiction to the Secretary, Federal 

Maritime Commission, 800 North Capitol Street, N.W., Washington, DC 20573-0001. The 

request must include a copy of the applicable statute or ordinance authorizing the taxation of 

compensation and should indicate whether the authority of the jurisdiction to tax the employee 

is based on place of residence, place of employment, or both. Pursuant to a withholding 

agreement between a city and the Department of the Treasury (5 U.S.C. 5520), copies of 

executed city tax withholding certificates shall be furnished to the city in response to written 

request from an appropriate city official to the Secretary at the above address.

In the absence of a withholding agreement, the Social Security Number will be furnished only to 

a taxing jurisdiction which has furnished this agency with evidence of its independent authority 

to compel disclosure of the Social Security Number, in accordance with section 7 of the Privacy 

Act, Pub. L. 93-579. 

Policies and practices for storing, retrieving, accessing, retaining, and 

disposing of records in the system:

Storage: 

Paper records are stored in Official Personnel Folders and payroll files at the FMC. Electronic 

records reside at the National Finance Center.

Retrievability: 

Hard copy records are retrievable by name. Electronic data can be retrieved by Social Security 

Number.

Safeguards: 

Electronic records are stored at the National Finance Center, which is located in a secured 

Federal complex with controlled access. Access to data is limited to those individuals to whom 

NFC has granted access/security. Output documents from the system are maintained as hard 

copy documents by the FMC’s Office of Human Resources in secured cabinets located within a 

secured room. 

Retention and disposal: 

Disposition of records shall be in accordance with General Records Schedule 2.

System manager(s) and address:

Director of Human Resources, Federal Maritime Commission, 800 North Capitol Street, N.W., 

Washington, DC 20573-0001.
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Notification procedure:

All inquiries regarding this system of records should be addressed to: Secretary, Federal 

Maritime Commission, 800 North Capitol Street, N.W., Washington, DC 20573-0001.

Record access procedures:

Requests for access to a record should be directed to the Secretary listed at the above address.

Requests may be in person or by mail and shall meet the requirements set out in section 503.65 

of title 46 of the Code of Federal Regulations.

Contesting record procedures:

An individual desiring to amend a record shall direct such a request to the Secretary at the 

above listed address. Such requests shall specify the desired amendments and the reasons 

therefor, and shall meet the requirements of section 503.66 of title 46 of the Code of Federal 

Regulations.

Record source categories:

The subject individual; the Commission.

FMC- 34

System name:

Travel Charge Card Program-FMC.

System location:

Office of Budget and Finance, Federal Maritime Commission, 800 North Capitol Street, N.W., 

Washington, DC 20573-0001.

This system is covered by the General Services Administration’s government-wide system 

notice, GSA/GOVT-3.

FMC- 35

System name:

Transit Benefits File-FMC.

System location:

Office of Management Services, Federal Maritime Commission, 800 North Capitol Street, N.W., 

Washington, DC 20573-0001.

This system is covered by the Department of Transportation’s government-wide system notice, 

DOT/ALL-8.
41 of 53

FMC-36

System name:

SmartPay Purchase Charge Card Program-FMC.

System location:

Office of Management Services, Federal Maritime Commission, 800 North Capitol Street, N.W., 

Washington, DC 20573-0001.

This system is covered by the General Services Administration’s government-wide system 

notice, GSA/GOVT-6.

FMC-37

System name:

Personal Identity Verification Management System (USAccess Credentials).

System location:

Records covered by this system are maintained by a contractor at the contractor’s site.

This system is covered by the Office of Personnel Management’s government-wide system 

notice, GSA/GOVT-7.

FMC–38

System name:

Parking Operation Plan-FMC.

Security Classification:

Unclassified.

System location:

Office of Management Services, Federal Maritime Commission, 800 North Capitol Street, N.W., 

Washington, DC 20573-0001.

Categories of individuals covered by the system:

This system maintains information on FMC headquarters’ employees who are holders of 

parking permits.

Categories of records in the system:

Records in this system may include information about individuals, including name, home 

address, home telephone number, work telephone number, personal vehicle make and model, 
42 of 53

personal vehicle license number, and state of vehicle registration. These records are captured 

on applications for parking permits.

Authority for maintenance of the system:

40 U.S.C. Section 486(c); 41 C.F.R. Section 101-20.0 and 41 C.F.R. Section 102-74.305 and the 

OA with the GSA.

Routine uses of records maintained in the system, including categories 

of users and the purposes of such uses:

The records in this system of records are used or may be used: 

1. By Commission officials to determine the assignment of parking permits to eligible 

employees.

2. To conduct a quarterly parking revalidation to verify continued employee eligibility for 

parking permits.

3. To appropriate agencies, entities, and persons when (a) the Federal Maritime 

Commission suspects or has confirmed that the security or confidentiality of information 

in the system of records has been compromised; (b) the agency has determined that as 

a result of the suspected or confirmed compromise there is a risk of harm to economic 

or property interests, identity theft or fraud, or harm to the security or integrity of this 

system or other systems or programs (whether maintained by the agency or another 

agency or entity) that rely upon the compromised information; and (c) the disclosure 

made to such agencies, entities, and persons is reasonably necessary to assist in 

connection with the agency’s efforts to respond to the suspected or confirmed 

compromise and prevent, minimize, or remedy such harm.

Disclosures outside the Federal Maritime Commission may be made to a Federal agency that 

has jurisdiction over parking spaces.

Policies and practices for storing, retrieving, accessing, retaining, and 

disposing of records in the system:

Storage: 

Records are maintained in file folders.

Retrievability: 

Records are indexed alphabetically by name.

Safeguards: 

Records are maintained in locked file cabinets.

Retention and disposal: 

Records are maintained and disposed of in accordance with General Records Schedule 11, Item 

4.
43 of 53

System manager(s) and address:

Director of Management Services, Federal Maritime Commission, 800 North Capitol Street, 

N.W., Washington, DC 20573-0001.

Notification procedure:

All inquiries regarding this system of records should be addressed to: Director, Office of 

Management Services, Federal Maritime Commission, 800 North Capitol Street, N.W., 

Washington, DC 20573-0001.

Record access procedures:

Requests for access to a record should be directed to the Secretary listed at the above address.

Requests may be in person or by mail and shall meet the requirements set out in section 503.65 

of title 46 of the Code of Federal Regulations.

Contesting record procedures:

An individual desiring to amend a record shall direct such a request to the Secretary at the 

above listed address. Such requests shall specify the desired amendments and the reasons 

therefor, and shall meet the requirements of section 503.66 of title 46 of the Code of Federal 

Regulations.

Record source categories:

Applicants. 

FMC-39

System name:

FMC General Support System

Security Classification:

Unclassified.

System location:

Office of Information Technology, Federal Maritime Commission, 800 N. Capitol Street, N.W., 

Washington, D.C. 20573-0001

Categories of individuals covered by the system:

1. Authorized Employees of the Federal Maritime Commission. 

2. Authorized Users from other Federal Agencies (DOTS, Military) authenticated via local 

accounts.

3. All persons/ Entities regulated by the FMC.
44 of 53

4. Companies and individuals that have become subject of an investigative or enforcement 

action.

5. Consumers who have filed complaints in the international trade and cruise travel 

industry.

Categories of records in the system:

The FMC GSS contains Employee, Filer, Licensee, and Complainant information such as First 

Name, Last Name, E-Mail Address, User ID, Organization Number. Social Security Number 

(Form-18), Carrier Name, Contract Number, Amendment Number, Date Filed, Effective Date, 

Confirmation Number

Authority for maintenance of the system:

Pursuant to the E-Government Act of 2002 (title III) and OMB Circular A-130 and the Computer 

Security Act of 1987, the Privacy Act of 1974 and the Federal Information Security Management 

Act (FISMA) of 2002.

Routine uses of records maintained in the system, including categories 

of users and the purposes of such uses:

The FMC Network is a general support system (GSS) that provides core and critical information 

technology support to a number of hosted applications and databases.

The FMC Network is designed to facilitate the services and resources needed to support FMC 

operations and FMC’s end user community. The purpose of the FMC Network is to provide FMC 

employees and/or contractors access to the FMC domain, E-mail account management, 

interconnection(s) between all FMC end users and the Internet, as well as provide access to 

agency applications.

Policies and practices for storing, retrieving, accessing, retaining, and 

disposing of records in the system:

Storage: 

Records are maintained electronically. The FMC GSS system is managed and maintained by FMC 

OIT staff at its Washington, DC headquarters. The FMC GSS is made up of 21 servers, five 

switches, one gateway, and two firewall devices. The servers, switches, gateways, and firewall 

devices are physically housed in the Data Center on the 9th floor at FMC Headquarters. The 

Data Center is monitored 24 hours a day 7 days a week

Retrievability: 

Data is retrievable by: First Name, Last Name, User ID, Telephone Number, Social Security 

Number (Form-18), Company Name, Carrier Name, Contract Number, Amendment Number, 

Date Filed, Effective Date, Confirmation Number, etc.
45 of 53

Safeguards: 

Each user of the FMC NETWORK system must have a unique profile in the Active Directory (AD). 

When a login is attempted, the entered UserID and encrypted password are verified against the 

AD. If the user login credentials are not validated, the login attempt fails. 

Access to each layer of the network is controlled and monitored by personnel through formal 

defined authorization, approval, and monitoring processes. Authentication at the network layer 

incorporates a number of additional security layers, including firewalls, routers, and VPNs. 

Access to the network, operating system, and database is restricted and granted only to specific 

pre-approved individuals by the system owner.

User profiles define individual FMC NETWORK users linked to one or more roles. Permission 

lists are added to each role, which controls a user's access level. 

Each user of the information system has a unique profile and login attempts are verified and 

validated against a user access list. The system authenticates users with the values specified in 

the User ID and Password field. All unverifiable login attempts are denied access to the system.

Retention and disposal: 

Agency data is backed up and retained for five years at which point the backup tapes are 

overwritten.

System manager(s) and address:

Anthony Haywood, CIO Federal Maritime Commission, 800 North Capitol Street, N.W., 

Washington, DC 20573-0001.

Notification procedure:

All inquiries regarding this system of records should be addressed to: Anthony Haywood, CIO 

800 North Capitol Street, N.W., Washington, DC 20573-0001.

Record access procedures:

All personnel and contractors sign non-disclosure agreements prior to accessing the 

information system following the performance of background investigations that 

commensurate with the sensitivity of the information and the risk to the FMC NETWORK. FMC 

is responsible for determining the position sensitivity levels (or risk levels) for all personnel 

whose jobs require access to mission critical information. This responsibility includes ensuring 

that all personnel and contractors have undergone the appropriate background suitability 

checks and security awareness training. User access is granted based on the principle of least 

privilege. In accordance with this principle, users are granted only the amount of system access 

they require to perform their duties. Upon termination or reassignment individuals are rescreened immediately.
46 of 53

Contesting record procedures:

N/A

Record source categories:

Office of Personnel Management report, and reports from other Federal agencies.

FMC-41

System name:

FMCDB

Security Classification:

Unclassified.

System location:

Office of Information Technology, Federal Maritime Commission, 800 N. Capitol Street, N.W., 

Washington, D.C. 20573-0001

Categories of individuals covered by the system:

1. Authorized Employees of the Federal Maritime Commission.

2. Authorized Persons from other Federal Agencies (DOTS, Military) authenticated via local 

accounts.

3. External Persons registered via form or web submission authorized by FMC analysts for 

web application access.

Categories of records in the system:

1. User database for the Form 1, Form 18, and Servcon web applications.

2. Identification, configuration, and activity records for management of FMC office needs 

such as BlackBerry usage.

3. User mail and web submitted information and documents for the purpose of 

registration, review, and reporting of FMC regulated entities such as Freight Forwarders, 

Vessel Operating Common Carriers, etc.

4. User mail and web submitted statements and documents regarding FMC regulated 

entities and Analyst response/actions performed in regards to the information.

5. Private internal database tracking Analyst statements and rulings regarding persons and 

organizations derived from user mail and web submitted information. 

6. Public external database on the active status of certain FMC registered and managed 

entities.
47 of 53

Authority for maintenance of the system: 

Pursuant to the E-Government Act of 2002 (title III) and OMB Circular A-130 and the Computer 

Security Act of 1987, the Privacy Act of 1974 and the Federal Information Security Management 

Act (FISMA) of 2002.

Routine uses of records maintained in the system, including categories 

of users and the purposes of such uses:

The FMCDB major application is the Federal Maritime Commission’s SQL Database that is the 

main data store that facilitates the functionality of various FMC minor applications. 

The routine uses of records include:

1. By Maintenance of application user registration, identification, access permissions, and 

authentication.

2. BlackBerry user identification and activity.

3. Provision of file repository functionality for documents utilized by the FMC Office of the 

Secretary.

4. Registration, review, and status recording for FMC managed entities such as Freight 

Forwarders, Vessel Operating Common Carriers, etc.

5. Display of publically available information such as approved Organization registrations 

and agreements.

6. Reviewing user submitted concerns and complaints regarding FMC managed entities to 

officially address.

7. Record keeping of FMC internal audits and investigations.

Policies and practices for storing, retrieving, accessing, retaining, and 

disposing of records in the system:

Storage: 

Records are maintained electronically. The FMCDB system is managed and maintained by FMC 

OIT staff at its Washington, DC headquarters. The servers, switches, gateways, and firewall 

devices are physically housed in the Data Center on the 9th floor at FMC Headquarters. The 

Data Center is monitored 24 hours a day 7 days a week.

Retrievability: 

Data Retrievability is application dependent. Records for applications involving external user 

access or organizational records are retrievable in end user applications by the following 

categories: First Name, Last Name, User ID, Telephone Number, Social Security Number (Form18), Company Name, Carrier Name, Contract Number, Amendment Number, Date Filed, 

Effective Date, Confirmation Number, etc.

Data may also be retrievable by: Case Number, Case Name, File Name, Active Status, Country, 

State, Various User Activities, etc.
48 of 53

Safeguards: 

Direct network access entails that each user of the FMC NETWORK system must have a unique 

profile in the Active Directory (AD). When a login is attempted, the entered User ID and 

encrypted password are verified against the AD. If the user login credentials are not validated, 

the login attempt fails. 

Access to each layer of the network is controlled and monitored by personnel through formal 

defined authorization, approval, and monitoring processes. Authentication at the network layer 

incorporates a number of additional security layers, including firewalls, routers, and VPNs. 

Access to the network, operating system, and database is restricted and granted only to specific 

pre-approved individuals by the system owner.

User profiles define individual FMC NETWORK users linked to one or more roles. Permission 

lists are added to each role, which controls a user's access level. 

Each user of the information system has a unique profile and login attempts are verified and 

validated against a user access list. The system authenticates users with the values specified in 

the User ID and Password field. All unverifiable login attempts are denied access to the system.

Web application access is dependent on the user access point.

External users may authenticate against the Passport user database records and are only able 

to search for files that the account has uploaded.

Internal administrative users go through a mix mode authentication that checks their FMC 

network credentials as well as the Passport user database. Administrative users may search for 

any contract record in the system.

Retention and disposal: 

Agency data is backed up and retained for five years at which point the backup tapes are 

overwritten.

System manager(s) and address:

Anthony Haywood, CIO Federal Maritime Commission, 800 North Capitol Street, N.W., 

Washington, DC 20573-0001.

Notification procedure:

All inquiries regarding this system of records should be addressed to: Anthony Haywood, CIO 

800 North Capitol Street, N.W., Washington, DC 20573-0001.

Record access procedures:

All personnel and contractors sign non-disclosure agreements prior to accessing the 

information system following the performance of background investigations that

commensurate with the sensitivity of the information and the risk to the FMCDB. FMC is 
49 of 53

responsible for determining the position sensitivity levels (or risk levels) for all personnel whose 

jobs require access to mission critical information. This responsibility includes ensuring that all 

personnel and contractors have undergone the appropriate background suitability checks and 

security awareness training. User access is granted based on the principle of least privilege. In 

accordance with this principle, users are granted only the amount of system access they require 

to perform their duties. Upon termination or reassignment individuals are re-screened 

immediately.

External users may attain access to various external facing applications by submitting a mail or 

web registration form. Access will be granted upon review by Authorized Commission Officials.

Contesting record procedures:

External User applications enable users to submit edits to a person or organization registration 

for review.

Further inquiries may be directed towards individual departments responsible for record 

analysis.

Record source categories:

1. User submitted person and organization registration information and documentation.

2. Analyst reviews and rulings on appropriated tasks.

3. Automated record keeping from user devices.

FMC-44

System name and number: 

FMC-44 Federal Advisory Committee Files.

Security classification:

Unclassified.

System location:

Office of the Secretary, Federal Maritime Commission, 800 North Capitol Street NW, 

Washington, DC 20573-0001.

System manager(s):

Secretary, Federal Maritime Commission, 800 N Capitol Street NW, Washington, DC 20573-

0001, Secretary@fmc.gov. 

Authority for maintenance of the system:

Federal Advisory Committee Act, 5 U.S.C. appendix 2.

46 U.S.C. chapter 425 (establishing the National Shipper Advisory Committee).
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Purpose(s) of the system:

The purpose of this system is to evaluate and select members of advisory committees within 

the jurisdiction of the FMC, and for the management of advisory committees, including the 

preparation of reports, documenting membership, and the nomination and appointment of 

members, member terms, vacancies, acceptance, and separation.

Categories of individuals covered by the system:

Appointed members of the Commission's advisory committees, applicants or nominees to the 

Commission's advisory committees, and individual participants in the Commission's advisory 

committees' working groups or subcommittees who are not necessarily appointed members of 

the advisory committees.

Categories of records in the system:

Applications containing descriptions of educational and professional experience and 

qualifications, and letters of reference which may also include the following:

name;

title;

home address;

business address;

employer and employment history;

organizational affiliation;

phone number;

email address;

educational institutions attended, and degrees held;

references/letters of recommendation, and other information relevant to an individual's 

qualifications to serve on an advisory committee;

date of birth;

social security number;

gender;

race;

drivers license number and state of issuance;
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prior residences for purposes of obtaining a credit check and criminal background check and 

the results of those checks;

information about the member's position on the committee, including documentation of their 

appointment, date of appointment, term, date of separation, and reason for separation.

Record source categories:

Records are obtained from applicants who seek to serve on advisory committees, references for 

applicants, Members of Congress, and applicants' former employers. Information may also be 

obtained from publicly available sources with the applicant's consent.

Routine uses of records maintained in the system, including categories 

of users and purposes of such uses:

In addition to those disclosures generally permitted under 5 U.S.C. 552a(b), the Commission 

may:

1. Use the records to determine suitability for Committee membership of an applicant or 

retention of a current member or to make a determination whether to appoint an 

individual to an advisory committee or retain the individual as an advisory committee 

member.

2. Provide these records to the Executive Office of the President, the Office of 

Management and Budget, or the General Services Administration, when necessary, in 

the administration of the FMC's advisory committees, including complying with 

reporting obligations;

3. Share advisory committee records with the public when the FMC deems it necessary to 

inform the public of advisory committee membership or activities. This routine use does 

not permit disclosure of an individual's home address, date of birth, social security 

number, gender, race, school or university transcripts, drivers license number and state 

of issuance, or prior residences.

4. Provide such records during an appropriate proceeding before a court, grand jury, or 

administrative or adjudicative body or official, when the FMC or other Agency 

representing the FMC determines the records are relevant and necessary to the 

proceeding to which the government is a party; or in an appropriate proceeding before 

an administrative or adjudicative body when the adjudicator determines the records to 

be relevant to the proceeding,

5. Provide such records to contractors, grantees, experts, consultants, students, and others 

performing or working on a contract, service, grant, cooperative agreement, or other 

assignment for the Federal Government when necessary to accomplish an agency 

function related to this System of Records.

6. Provide such records to appropriate agencies, entities, and persons when (1) the FMC 

suspects or confirms that there has been a breach of the system of records; (2) the FMC 
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determines that as a result of the suspected or confirmed breach there is a risk of harm 

to individuals, the FMC (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 

FMC's efforts to respond to the suspected or confirmed breach or to prevent, minimize, 

or remedy such harm.

7. Provide such records to another Federal agency or Federal entity, when the FMC 

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.

Policies and practices for storage of records:

Physical records are maintained in file folders in a limited access location.

Electronic records are maintained within the confines of the FMC General Support System (FMC 

GSS).

Policies and practices for retrieval of records:

Physical records are indexed alphabetically by name or committee name.

Electronic records are retrievable by individual name or committee name.

Policies and practices for retention and disposal of records:

Resumes and references of members and applicants are retained and disposed of when they 

are superseded, obsolete, or no longer needed, in accordance with General Records Schedule 

6.2, Item 050. Records related to the selection and membership of committee members are 

permanent and transferred to the National Archives and Records Administration when they are 

15 years old or the committee is terminated, whichever is sooner, in accordance with General 

Records Schedule 6.2, Item 010. https://www.archives.gov/files/records-mgmt/grs/trs30-schonly.pdf

Administrative, technical, and physical safeguards:

Access to physical records in this system are limited to those individuals who have a need to 

know the information for performance of their official duties and who have appropriate 

clearances or permission.

Electronic files are safeguarded to meet multiple National Institute of Standards and 

Technology (NIST) Security Standards with password and identification protections. File access 
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is limited to individuals who have a need to know the information for performance of their 

official duties and who have appropriate clearances or permission. 

Record access procedures:

Requests for access to a record should be directed to the Secretary listed at the above address. 

Requests may be in person or by mail and shall meet the requirements set out in out in 46 CFR 

503.65. 

Contesting record procedures:

An individual desiring to amend a record shall direct such a request to the Secretary at the 

above listed address. Such requests shall specify the desired amendments and the reasons 

therefore and shall meet the requirements set out in of 46 CFR 503.66. 

Notification procedures:

Any individual shall be informed whether or not any Commission system of records contains a 

record pertaining to him or her when requested in accordance with the requirements of 46 CFR 

503.63(a). 

Exemptions promulgated for the system:

None. 

History:

N/A.