[Privacy Act Issuances (1995)]
[From the U.S. Government Publishing Office, www.gpo.gov]
FEDERAL MARITIME COMMISSION
Table of Contents
FMC-- 1 Personnel Security File
FMC-- 2 Non-Attorney Practitioner File
FMC-- 7 Licensed Ocean Freight Forwarders File
FMC-- 8 Official Personnel Folder
FMC-- 9 Training Program Records
FMC--10 Desk Audit File
FMC--14 Medical Examination File
FMC--15 Service Control File
FMC--16 Classification Appeals File
FMC--18 Travel Orders/Vouchers File
FMC--19 Statement of Employment and Financial Interests
FMC--21 Payroll Records
FMC--22 Investigatory Files
FMC--23 Parking Applications
FMC--24 Informal Inquiries and Complaints Files
FMC--25 Inspector General File
FMC--26 Administrative Grievance File
FMC--28 Equal Employment Opportunity Complaints Files
FMC--29 Employee Performance File System Records
FMC--30 Procurement Integrity Certification Files
FMC-1
System name: Personnel Security File-FMC.
System location:
Bureau of Investigations, Federal Maritime Commission, 800 North
Capitol Street NW, Washington, DC 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 to determine
whether employment or continued employment of an individual can
reasonably be expected to be clearly consistent with national security
interests.
Authority for maintenance of the system:
Executive Order 10450.
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 make a determination that the employment of an
applicant or retention of employment 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. 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.
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
personnel security officer and access is limited to the personnel
security officer and his duly authorized representatives.
Retention and disposal:
Return record copies of reports furnished by Office of Personnel
Management after information has been reviewed and maintain other FMC
records on file until termination of employee from agency. Destroy
within 30 days after employee leaves.
System manager(s) and address:
Security Officer, 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 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: Non-Attorney Practitioner File-FMC.
System location:
Office of Secretary, Federal Maritime Commission, 800 North Capitol
Street NW, Washington, DC 20573-0001.
Categories of individuals covered by the system:
Persons, not attorneys, who apply for and/or are granted permission to
practice before the Commission.
Categories of records in the system:
Application forms and letters of reference in relation to non-attorney
practitioners.
Authority for maintenance of the system:
46 CFR 502.27.
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
personnel of the Secretary's Office to determine whether a non-
attorney should be admitted to practice before the Commission. 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.
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 file cabinets under the control of personnel
in the Secretary's office.
Retention and disposal:
Records are maintained in the Office of the Secretary for 10 years
after applicant ceases to practice and then are transferred to the
Federal Records Center. Records are destroyed 20 years thereafter.
System manager(s) and address:
Secretary, 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:
Request 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-7
System name: Licensed Ocean Freight Forwarders File-FMC.
System location:
Bureau of Domestic Regulation, Federal Maritime Commission, 800 North
Capitol Street NW, Washington, DC 20573-0001.
Categories of individuals covered by the system:
Records are maintained on sole proprietorships, partnerships and
corporate licensees, exlicensees, and applicants for licenses.
Categories of records in the system:
This system contains freight forwarder names and addresses, as well as
the names and addresses of the stockholders, officers, and directors
of individual freight forwarders; descriptions of the relationships
the freight forwarder may have with other business entities; credit
references; a record of the forwarder's past experience in forwarding;
and any financial information and/or criminal convictions pertinent to
the licensing of the forwarder.
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 (46 U.S.C. App. 1702, 1707, 1709, 1710, 1712, 1714, 1716 and
1718).
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
Commission staff for evaluation of applications 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, 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 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. 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, 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders and in a personal computer.
Retrievability:
Records are indexed by name and license or application 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 is active. Files for withdrawn and denied applicants, and
revoked licenses remain in the Record Location Center for two years
after final action and are then transferred to the Federal Records
Center. Then, after ten years the files are destroyed.
System manager(s) and address:
Director, Bureau of Domestic Regulation, 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. Commission
District Offices. 3. General Public (e.g., complaints). 4. 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 material 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, dislclosure of the identity of
confidential sources and unwarranted invasions of personal privacy of
third parties.
FMC-8
System name: Official Personnel Folder-FMC.
System location:
Office of Personnel, Federal Maritime Commission, 800 North Capitol
Street NW, 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 Personnel, Federal Maritime Commission, 800 North Capitol
Street NW, Washington, DC 20573-0001.
Note: 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.
System location:
Office of Personnel, Federal Maritime Commission, 800 North Capitol
Street NW, 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 audit.
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, 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.
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 shredded.
System manager(s) and address:
Director of Personnel, 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:
Personnel specialists of the Commission.
FMC-14
System name: Medical Examination File--FMC.
System location:
Office of Personnel, Federal Maritime Commission, 800 North Capitol
Street NW, Washington, DC 20573-0001.
Note: This system is covered by the Office of Personnel Management's
government-wide system notice, OPM/GOVT-10.
FMC-15
System name: Service Control File-FMC.
System location:
Office of Personnel, Federal Maritime Commission, 800 North Capitol
Street NW, Washington, DC 20573-0001
Categories of individuals covered by the system:
Employees of the Federal Maritime Commission.
Categories of records in the system:
This system consists of Service Record Cards (Standard Forms 7 and 7-
B), and a Position Identification Strip (Standard Form 7D). This file
provides summary information of organizational structure, budgeted
positions, and historical and current status data on employees only
for the time they have been with the Commission. The service record of
each employee who leaves the agency is filed separately and retained
for historical reference.
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:
The records in this system of records are used or may be used: 1. By
appropriate Commission officials for personnel actions such as within
grade increases, conversions to career tenure, probationary ratings,
terminations of limited assignments, and expiration of authorized
absences. 2. By the Office of Personnel Management in the course of an
investigation of a particular employee of the Commission, or for
management analysis and statistical purposes. 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, 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.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained on index cards.
Retrievability:
Records are indexed alphabetically by name.
Safeguards:
Records are maintained in locked file cabinets.
Retention and disposal:
Records are maintained while the individual is employed by the
Commission and are destroyed by shredding three years after separation
or transfer of employee.
System manager(s) and address:
Director of Personnel, 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 therefore, and shall
meet the requirements of section 503.66 of title 46 of the Code of
Federal Regulations.
Record source categories:
Personnel specialists of the Federal Maritime Commission.
FMC-16
System name: Classification Appeals File-FMC.
System location:
Office of Personnel, Federal Maritime Commission, 800 North Capitol
Street NW, 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.
System location:
Office of Budget and Financial Management, Federal Maritime
Commission, 800 North Capitol Street NW, Washington, DC 20573-0001.
Categories of individuals covered by the system:
Employees of the Federal Maritime Commission.
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 Regulations FPMR 101-7 and Travel Expense Amendments
Act of 1975 (5 U.S.C. 5701-5709), 44 U.S.C. 3101. 5 U.S.C. 301.
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 Federal Home Loan Bank Board 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.
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.
Safeguards:
Records are maintained in locked file cabinets and monitored by the
Director of the Office of Budget and Financial Management.
Retention and disposal:
The records are maintained for three years and are then destroyed by
shredding.
System manager(s) and address:
Director, Office of Budget and Financial Management, 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 to whom the record pertains, hotel bills, individual's
subsistence record, and Travel Requests (Airline or train).
FMC-19
System name: Statement of Employment and Financial Interests-
FMC.
System location:
Office of the General Counsel, Federal Maritime Commission, 800 North
Capitol Street NW, Washington, DC 20573-0001.
Note: This system is covered by the Office of Personnel Management's
government-wide systems notices, OPM/GOVT-4 and OPM/GOVT-8.
FMC-21
System name: Payroll Records-Federal Maritime Commission.
System location:
Office of Thrift Supervision (``OTS''), U.S. Department of the
Treasury; copies held by the FMC. (OTS holds records for the Federal
Maritime Commission under contract.)
Categories of records in the system:
Varied payroll records, including, among other documents: Time and
attendance cards, payment vouchers, comprehensive listing of
employees, health benefits records, requests for deduction, tax forms,
W-2 forms, overtime requests, leave data, retirement records. Records
are used by FMC and OTS employees to maintain adequate payroll
information for FMC employees, and otherwise by the FMC and OTS
employees who have a need for the record in the performance of their
duties.
Authority for maintenance of the system:
31 U.S.C. generally.
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 statute, 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 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.
4. To officers and employees of a Federal agency for purposes of
audit.
5. 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.
6. To officers and employees of the Office of Thrift Supervision in
connection with administrative services provided to this agency under
agreement with OTS.
7. To GAO for audit; to the Internal Revenue Service for
investigation; and to private attorneys, pursuant to a power of
attorney.
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 NW, 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 and microfilm records are stored at the FMC. The Office of
Thrift Supervision maintains computerized records.
Retrievability:
Social Security Number.
Safeguards:
Stored in guarded building; released only to authorized personnel.
Retention and disposal:
Disposition of records shall be in accordance with the OTS Records
Maintenance and Disposition System.
System manager(s) and address:
Director, Office of Budget and Financial Management, 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:
The subject individual; the Commission.
FMC-22
System name:
Investigative Records Information System--FMC.
System location:
Bureau of Investigations, Federal Maritime Commission, 800 N. Capitol
Street, NW., Washington, DC 20573-0001.
New York District--Director, New York District, Federal Maritime
Commission, 6 World Trade Center, Suite 614, New York, New York
10048-0949.
Miami District--Director, Miami District, Federal Maritime
Commission, 18441 NW 2nd Avenue, Suite 302, Miami, Florida 33169.
Puerto Rico District--Director, Puerto Rico District, Federal
Maritime Commission, U.S. District Courthouse, Federal Office
Building, Room 762, 150 Carlos Chardon Avenue, Hato Rey, Puerto Rico
00918-1735.
New Orleans District--Director, New Orleans District, Federal
Maritime Commission, 1 Canal Place Tower, 365 Canal Street, Suite
2260, New Orleans, Louisiana 70130-1134.
Houston District--Director, Houston District, Federal Maritime
Commission, 14950 Heathrow Forest Parkway, Suite 110, Houston, Texas
77032-3842.
Los Angeles District--Director, Los Angeles District, Federal
Maritime Commission, 11 Golden Shore, Suite 270, Long Beach,
California 90802.
San Francisco District--Director, San Francisco District, Federal
Maritime Commission, 525 Market Street, Suite 3510, San Francisco,
California 94105-2743.
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, 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 Investigative Records Information System includes records on
individuals involved in official investigations conducted by the
Bureau of Investigations, 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, freight forwarder application inquiries, freight forwarder
application checks, freight forwarder compliance checks, service
contract audits, common carrier audits, passenger vessel audits,
special inquiries, undeveloped leads, intelligence activities, and
other matters authorized by the Bureau of Investigations.
The Investigative Records Information 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 indices of
these records, tracking systems, and listings of information otherwise
included within the system.
The Investigative Records Information 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 pursuant
to the requirements of the General Records Schedule.
Authority for maintenance of the system:
Shipping Act of 1984, Intercoastal Shipping Act, 1933, and Shipping
Act, 1916 (46 U.S.C. app. 1701, 843, and 801).
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.
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 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 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 or 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.
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 Investigation's
name-relationship index system.
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
locked with a key and the key is secured in a locked file cabinet.
Computer information is safeguarded with an access code. Files are
maintained in buildings that have 24 hour security guards.
Retention and disposal:
(a) Bureau of Investigations-Records are retained for 7 years after
case is closed, and then transferred to the Federal Records Center.
Records are destroyed 14 years after case is closed. (b) Field
Offices-Records are destroyed 7 years after case is closed.
System manager(s) and address:
Director, Bureau of Investigations, 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, freight forwarders, those authorized by
the individual to furnish information, trade sources, investigative
agencies, investigative personnel of the Bureau of Investigations 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 ongoing investigations, disclosure of the identity
of confidential sources and unwarranted invasions of personal privacy
of third parties.
Appendix
Los Angeles District, U.S. Customs House Building, 300 S. Ferry
Street, Room 2040A, PO Box 3184, Terminal Island Station, San Pedro,
CA 90731
Miami District, 1001 North America Way, Room 115, Miami, FL 33132
New Orleans District, 600 South Maestri Place, Room 1035, PO Box
30550, New Orleans, LA 70190-0550
New York District, 6 World Trade Center, Suite 614, New York, NY
10048-0949
Houston District, 4141 East Beltway 8, Suite 102, Houston, TX 77032
Puerto Rico District, U.S. District Courthouse, Federal Office
Building, Room 762, Carlos Chardon Street, Hato Rey, PR 00918-2254.
San Francisco District, 525 Market Street, 35th Floor, Suite 3510, San
Francisco, CA 94105
FMC-23
System name: Parking Applications-FMC.
System location:
Office of Administrative Services, Federal Maritime Commission, 800
North Capitol Street NW, Washington, DC 20573-0001.
Categories of individuals covered by the system:
Employees and their carpool members desiring agency controlled
parking.
Categories of records in the system:
Names; office locations and telephone numbers; home addresses; make,
year, model, and license number of vehicles; carpool usage; handicap
and special designation; signatures.
Authority for maintenance of the system:
Federal Property Management Regulations sections 101-20-104.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Used by Agency employees responsible for allocation and control of
parking spaces, and to assist in creating carpools.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Records are maintained in file folders.
Retrievability:
By applicant name or space assignment.
Safeguards:
Records are maintained in a file cabinet in a locked room, with 24
hour building security guards.
Retention and disposal:
Records voided upon update or parking permit cancellation. Files
destroyed after second overall reallocation of permits.
System manager(s) and address:
Director, Office of Administrative Services, 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:
Individuals to whom the records pertain.
FMC-24
System name: Informal Inquiries and Complaints Files-FMC.
System location:
Office of Informal Inquiries and Complaints, Federal Maritime
Commission, 800 North Capitol Street NW, Washington, DC 20573-0001.
Categories of individuals covered by the system:
Consumers complaining against business entities regulated by the
Commission.
Categories of records in the system:
Copies of complaints and correspondence developed in their resolution,
complaint tracking logs.
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:
Information in this system of records is used or may be used: 1. To
determine whether a complaint can be resolved by staff in various
bureaus and offices. 2. To determine whether a complaint can be
resolved by a business entity regulated by the Commission. 3. To
determine whether the complaint can be resolved by reference to
another agency at the Federal, State or local level. 4. To provide
information to the Commission on developments or trends in the
character of complaints which might suggest policy directions,
proposed rules or programs.
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 serially numbered and indexed by complainant and
defendant.
Safeguards:
Records are maintained in locked file cabinets.
Retention and disposal:
Records are maintained by the Federal Maritime Commission for one
year, then transferred to the National Records Center. They are
destroyed when four years old.
System manager(s) and address:
Director, Office of Informal Inquiries and Complaints, 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:
Consumers who have filed complaints.
Systems exempted from certain provisions of the act:
All information that meets the criteria of 5 U.S.C. 552a(k)(2)
regarding investigatory material 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, dislclosure of the identity of
confidential sources and unwarranted invasions of personal privacy of
third parties.
FMC-25
System name:
Inspector General File.
System location:
Office of The Inspector General, Federal Maritime Commission, 800
North Capitol Street, NW, 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 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:
A. 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.
B. 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.
C. 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.
D. 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.
E. 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.
F. 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.
G. 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.
H. 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.
I. 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.
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 dand disposal:
1. Files containing information or allegations which are of an
investigative nature but do not relate to a specific inveastigation
are retained for five 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, 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. 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.
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 location:
Office of Personnel, Federal Maritime Commission, 800 North Capitol
Street NW, Washington, DC 20573-0001.
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 (subject to the exclusions
in 5 CFR 771.206(b)) who has filed a grievance with the agency
(alleging that coercion, reprisal, or retaliation has been practiced
against him or her).
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., 5 CFR 293.202.
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. 8. By the employee or his/her
designated representative in order to gather or provide information
necessary to process the grievance.
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:
The Administrative Grievance File is maintained for three years after
the decision is issued and is then shredded.
System manager(s) and address:
Director of Personnel, 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:
Information is supplied by the individual to whom the record pertains
and/or by his or her representative, personnel 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 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 Equal Employment Opportunity, Federal Maritime Commission,
800 North Capitol Street NW, Washington, DC 20573-0001.
Note: This system of records is covered by the Equal Employment
Opportunity Commission's Government-wide systems notice, EEOC/GOVT-1.
FMC-29
System name: Employee Performance File System Records-FMC.
System location:
Office of Personnel, Federal Maritime Commission, 800 North Capitol
Street NW, Washington, DC 20573-0001.
Note: This system of records is covered by the Office of Personnel
Management's Government-wide systems notice, OPM/GOVT-2.
FMC-30
System name: Procurement Integrity Certification Files-FMC.
System location:
Office of the Managing Director, Federal Maritime Commission, 800
North Capitol Street NW, Washington, DC 20573-0001.
Categories of individuals covered by the system:
Current and former officials and employees of the Federal Maritime
Commission and relevant outside contractors.
Categories of records in the system:
Records include certifications by affected individuals that they will
not engage in activities prohibited by applicable statutes,
regulations and contracts. Records include information on individuals,
including name and title. This system does not include official
personnel files covered by the Office of Personnel Management's
systems of records OPM/GOVT-1 through 10.
Authority for maintenance of the system:
Office of Federal Procurement Policy Act Amendments of 1988 (Pub. L.
100-679), (41 U.S.C. 423); and the Federal Acquisition Regulations
(FAR). Effective December 1, 1989, section 27 of Pub. L. 100-679 and
implementing sections of the FAR were suspended for one (1) year,
i.e., until November 30, 1990. See section 507 of the Ethics Reform
Act of 1989 (Pub. L. 101-194) and Federal Acquisition Circular 84-54
of December 8, 1989 (54 FR 50718). Records maintained under the
``Procurement Integrity Certification Files'', however, include
certifications made before December 1, 1989, as well as certifications
not involving the suspended matter.
Purpose(s):
The system is established to maintain records on officials and
employees affected by the Office of Federal Procurement Policy Act
Amendments of 1988, specifically section 27 dealing with Procurement
Integrity; the non-disclosure provisions of the FAR, and the contract
for development of the Commission's Automated Tariff Filing and
Information (ATFI) system.
Routine uses of records maintained in the system, including categories
of users and the purposes of such uses:
Records in this system of records may be used to disclose information
to:
1. A Federal, State, local, or foreign agency responsible for
investigating, prosecuting, enforcing, or carrying out a statute,
rule, regulation, or order, where the Federal Maritime Commission
becomes aware of a violation or potential violation of civil or
criminal law or regulation.
2. Another Federal agency or a court when the Government is party to a
judicial proceeding.
3. A requesting Federal agency in connection with hiring or retaining
an employee; issuing a security clearance; reporting an employee
investigation; clarifying a job; letting a contract; or issuing a
license, grant or other benefit by the requesting agency where the
information is relevant and necessary for a decision.
4. The Merit Systems Protection Board officials, including the Office
of Special Counsel; the Federal Labor Relations Authority and its
General Counsel; or the Equal Employment Opportunity Commission in
performing their duties.
5. An appeal, grievance, or formal complaints examiner, equal
employment opportunity investigator, arbitrator, exclusive
representative, or other official engaged in investigating or settling
a grievance, complaint, or appeal filed by an employee.
6. The Office of Personnel Management (OPM) under the agency's
responsibility for evaluating Federal personnel management. When
official personnel records in the custody of the FMC are covered in
systems of records published by the Office of Personnel Management as
Government-wide records, they are considered part of that system.
Other official personnel records covered by notices published by the
FMC are separate systems of records and may be transferred to OPM
under official personnel programs and activities as a routine use.
7. 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 who 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.
8. An expert, a consultant, or contractor of the FMC in performing a
Federal duty.
Policies and practices for storing, retrieving, accessing, retaining,
and disposing of records in the system:
Storage:
Paper records in file folders.
Retrievability:
Filed at the described location by name.
Safeguards:
Records stored in lockable file cabinets, lockable desk drawers, and/
or secured rooms.
Retention and disposal:
The period the record is to be retained is pending National Archives
and Records Administration approval. No copies of records are kept in
this system after the original or any copies are purged. When an
employee leave the agency through transfer or separation, the records
are immediately forwarded to the office maintaining the official
folder.
System manager(s) and address:
Deputy Managing Director, Bureau of Administration, 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:
Individuals, supervisors, or personnel records.
PRIVACY ACT RULES
FEDERAL MARITIME COMMISSION
Title 46-Shipping
Chapter IV-Federal Maritime Commission
PART 503-PUBLIC INFORMATION
Subpart G-Access to Any Record of Identifiable Personal Information
Sec.
503.60 Definitions.
503.61 Conditions of disclosure.
503.62 Accounting of disclosures.
503.63 Request for information.
503.64 Commission procedure on request for information.
503.65 Request for access to records.
503.66 Amendment of a record.
503.67 Appeals from denial of request for amendment of a record.
503.68 Exemptions.
503.69 Fees.
Subpart G-Access to Any Record of Identifiable Peronsal Information
Authority: Privacy Act of 1974 (Sec. (f), Publ L. 93-579, 88 Stat.
1897 (5 U.S.C. 552a.)
Source: G.O. 22, Amdt. 6, 40 FR 40036, Aug. 29, 1975, unless otherwise
noted.
Sec. 503.60 Definitions.
For the purpose of this subpart:
(a) ``Agency'' means each authority of the government of the United
States as defined in 5 U.S.C. 551(1) and shall include any executive
department, military department, government corporation, government
controlled corporation or other establishment in the executive branch of
the government (including the Executive Office of the President), or any
independent regulatory agency.
(b) ``Commission'' means the Federal Maritime Commission.
(c) ``Individual'' means a citizen of the United States or an alien
lawfully admitted for permanent residence to whom a record pertains.
(d) ``Maintain'' includes maintain, collect, use, or disseminate.
(e) ``Person'' means any person not an individual and shall include,
but is not limited to, corporations, associations, partnerships,
trustees, receivers, personal representatives, and public or private
organizations.
(f) ``Record'' means any item, collection, or grouping of information
about an individual that is maintained by the Federal Maritime
Commission including but not limited to his education, financial
transactions, medical history, and criminal or employment history and
that contains his name, or the identifying number, symbol or other
identifying particular assigned to the individual such as a finger or
voice print, or a photograph.
(g) ``Routine use'' means (with respect to the disclosure of a
record), the use of such records for a purpose which is compatible with
the purpose for which it was collected.
(h) ``Statistical record'' means a record in a system of records
maintained for statistical research or reporting purposes only and not
used in whole or in part in making any determination about an
identifiable individual but shall not include matter pertaining to the
Census as defined in 13 U.S.C. 8.
(i) ``System of records'' means a group of any records under the
control of the Commission from which information is retrieved by the
name of the individual or by some identifying number, symbol or other
identifying particular assigned to the individual.
Sec. 503.61 Conditions of disclosure.
(a) Subject to the conditions of paragraphs (b) and (c) of this
section, the Commission shall not disclose any record which is contained
in a system of records, by any means of communication to any person or
other agency who is not an individual to whom the record pertains.
(b) Upon written request or with prior written consent of the
individual to whom the record pertains, the Commission may disclose any
such record to any person or other agency.
(c) In the absence of a written consent from the individual to whom
the record pertains, the Commission may disclose any such record
provided such disclosure is:
(1) To those officers and employees of the Commission who have a need
for the record in the performance of their duties;
(2) Required under the Freedom of Information Act (5 U.S.C. 552);
(3) For a routine use;
(4) To the Bureau of Census for purposes of planning or carrying out a
census or survey or related activity under the provisions of Title 13 of
the United States Code;
(5) To a recipient who has provided the Commission with adequate
advance written assurance that the record will be used solely as a
statistical research or reporting record, and the record is to be
transferred in a form that is not individually identifiable;
(6) To the National Archives of the United States as a record which
has sufficient historical or other value to warrant its continued
preservation by the United States government, or for evaluation by the
Administrator of General Services or his designee to determine whether
the record has such value;
(7) To another agency or to an instrumentality of any governmental
jurisdiction within or under the control of the United States for a
civil or criminal law enforcement activity authorized by law, provided
the head of the agency or instrumentality has made a prior written
request to the Assistant Managing Director of the Commission specifying
the particular record and the law enforcement activity for which it is
sought;
(8) To either House of Congress, and to the extent of a matter within
its jurisdiction, any committee or subcommittee, or joint committee of
Congress;
(9) To the Comptroller General, or any of his authorized
representatives in the course of the performance of the duties of the
GAO; or
(10) Under an order of a court of competent jurisdiction.
Sec. 503.62 Accounting of disclosures.
(a) The Assistant Managing Director shall make an accounting of each
disclosure by him of any record contained in a system of records in
accordance with 5 U.S.C. 552a(c) (1) and (2).
(b) Except for a disclosure made under Sec. 503.61(c)(7) of this
subpart the Assistant Managing Director shall make the accounting
described in paragraph (a) of this section available to any individual
upon written request made in accordance with Sec. 503.63 (b) or (c) of
this subpart.
(c) The Assistant Managing Director shall make reasonable efforts to
notify an individual when any record which pertains to him is disclosed
to any person under compulsory legal process when such process becomes a
matter of public record.
Sec. 503.63 Request for information.
(a) Upon request in person or by mail made in accordance with the
provisions of paragraph (b) or (c) of the section, any individual shall
be informed whether or not any Commission system of records contains a
record pertaining to him.
(b) Any individual requesting such information in person shall present
himself at the Office of the Assistant Managing Director, Federal
Maritime Commission, 1100 L Street, NW, Washington, DC 20573 and shall:
(1) Provide information sufficient in the opinion of the Assistant
Managing Director to identify the record, e.g. the individual's own
name, date of birth, place of birth, etc.;
(2) Provide identification acceptable to the Assistant Managing
Director to verify the individual's identity; e.g. driver's license,
employee identification card or medicare card;
(3) Complete and sign the appropriate form provided by the Assistant
Managing Director.
(c) Any individual requesting such information by mail shall address
such request to the Assistant Managing Director, Federal Maritime
Commission, 1100 L Street, NW, Washington, DC 20573 and shall include in
such request the following:
(1) Information sufficient in the opinion of the Assistant Managing
Director to identify the record, e.g. the individual's own name, date of
birth, place of birth, etc.;
(2) A signed notarized statement to verify his identity.
Sec. 503.64 Commission procedure on request for information.
Upon request for information made in accordance with Sec. 503.63 of
this subpart, the Assistant Managing Director or his delegate shall
within 10 days (excluding Saturdays, Sundays, and legal public
holidays), furnish in writing to the requesting party notice of the
existence or nonexistence of any records described in such request.
[G.O. 22, Amdt. 7, 41 FR 9153, Mar. 3, 1976]
Sec. 503.65 Request for access to records.
(a) General. Upon request by any individual made in accordance with
the procedures set forth in paragraph (b) of this section, such
individual shall be granted access to any record pertaining to him which
is contained in a Commission system of records. However, nothing in this
section shall allow an individual access to any information compiled by
the Commission in reasonable anticipation of a civil or criminal action
or proceeding.
(b) Procedures for requests for access to records. Any individual may
request access to a record pertaining to him in person or by mail in
accordance with paragraph (b) (1) and (2) of this section.
(1) Any individual making such request in person shall present himself
at the Office of the Assistant Managing Director, Federal Maritime
Commission, 1100 L Street, NW, Washington, DC 20573 and shall:
(i) Provide identification acceptable to the Assistant Managing
Director to verify the individual's identity, e.g. driver's license,
employee identification card, or medicare card; and
(ii) Complete and sign the appropriate form provided by the Assistant
Managing Director.
(2) Any individual making a request for access to records by mail
shall address such request to the Assistant Managing Director, Federal
Maritime Commission, 1100 L Street, NW, Washington, DC 20573 and shall
include therein a signed notarized statement to verify his identity.
(3) Any individual requesting access to records under this section in
person may be accompanied by a person of his own choosing while
reviewing the record requested. If an individual elects to be so
accompanied, he shall notify the Assistant Managing Director of such
election in his request and shall provide a written statement
authorizing disclosure of the record in the presence of the accompanying
person. Failure to so notify the Assistant Managing Director in a
request for access shall be deemed to be a decision by the individual
not to be accompanied.
(c) Commission determination of requests for access. (1) Upon request
made in accordance with this section, the Assistant Managing Director or
his delegate shall:
(i) Determine whether or not such request shall be granted;
(ii) Make such determination and provide notification within 10 days
(excluding Saturdays, Sundays, and legal public holidays) after receipt
of such request, and, if such request is granted, shall;
(iii) Notify the individual that fees for reproducing copies will be
made in accordance with Sec. 503.69.
(2) If access to a record is denied because such information has been
compiled by the Commission in reasonable anticipation of a civil or
criminal action or proceeding, or for any other reason, the Assistant
Managing Director shall notify the individual of such determination and
his right to judicial appeal under 5 U.S.C. 552a(g).
(d) Manner of providing access. (1) If access is granted, the
individual making such request shall notify the Assistant Managing
Director whether the records requested are to be copied and mailed to
the individual.
(2) If records are to be made available for personal inspection, the
individual shall arrange with the Assistant Managing Director a mutually
agreeable time and place for inspection of the record.
(3) Fees for reproducing and mailing copies of records will be made in
accordance with Sec. 503.69 of this subpart.
[G.O. 22, 32 FR 8407, June 13, 1967, as amended by Amdt. 7, 41 FR 9153,
Mar. 3, 1976]
Sec. 503.66 Amendment of a record.
(a) General. Any individual may request amendment of a record
pertaining to him according to the procedure in paragraph (b) of this
section.
(b) Procedure to request amendment of a record. After inspection of a
record pertaining to him, an individual may file a request, in person or
by mail, with the Assistant Managing Director for amendment of a record.
Such request shall specify the particular portions of the record to be
amended, the desired amendments and the reasons therefor.
(c) Commission procedure on request for amendment of a record. (1) Not
later than 10 days (excluding Saturdays, Sundays, and legal public
holidays) after the date of receipt of a request made in accordance with
this section to amend a record in whole or in part, the Assistant
Managing Director or his delegate shall:
(i) Make any correction of any portion of the record which the
individual believes is not accurate, relevant, timely or complete and
thereafter inform the individual of such correction; or
(ii) Inform the individual, by certified mail return receipt
requested, of refusal to amend the record setting out the reasons
therefor, and notify the individual of his right to appeal that
determination to the Chairman of the Commission under Sec. 503.67 of
this subpart.
(2) The Assistant Managing Director shall inform any person or other
agency to whom a record has been disclosed of any correction or notation
of dispute made by the Assistant Managing Director with respect to such
records in accordance with 5 U.S.C. 552a(c)(4) referring to amendment of
a record, if an accounting of such disclosure has been made.
Sec. 503.67 Appeals from denial of request for amendment of a
record.
(a) General. An individual whose request for amendment of a record
pertaining to him is denied, may further request a review of such
determination in accordance with paragraph (b) of this section.
(b) Procedure for appeal. Not later than 30 days (excluding Saturdays,
Sundays and legal public holidays) following receipt of notification of
refusal to amend, an individual may file an appeal to amend the record.
Such appeal shall:
(1) Be addressed to the Chairman, Federal Maritime Commission, 1100 L
Street, NW, Washington, DC 20573; and
(2) Specify the reasons for which the refusal to amend is challenged.
(c) Commission procedure on appeal. (1) Upon appeal from a denial to
amend a record, the Chairman of the Commission or the officer designated
by the Chairman to act in his absence, shall make a determination
whether or not to amend the record and shall notify the individual of
that determination by certified mail return receipt requested not later
than 30 days (excluding Saturdays, Sundays and legal public holidays)
after receipt of such appeal, unless extended pursuant to paragraph (d)
of this section.
(2) The Chairman shall also notify the individual of the provisions of
5 U.S.C. 552a(g)(1)(A) regarding judicial review of the Chairman's
determination.
(3) If on appeal the refusal to amend the record is upheld, the
Commission shall permit the individual to file a statement setting forth
the reasons for his disagreement with the Commission's determination.
(d) The Chairman or his delegate in his absence may extend up to 30
days the time period prescribed in paragraph (c)(1) of this section
within which to make a determination on an appeal from refusal to amend
a record for the reason that a fair and equitable review cannot be
completed within the prescribed time period.
Sec. 503.68 Exemptions.
(a) The system of records designated FMC-25 Inspector General File 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) to the extent it contains information meeting the criteria of 5
U.S.C. 552a(j)(2) pertaining to the enforcement of criminal laws.
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.
(b) The following systems of records are exempt from the provisions of
5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4) (G), (H) and (I) and (f), which
otherwise require the Commission, among other things, to provide the
individual named in the records an accounting of disclosures and access
to and opportunity to amend the records. The scope of the exemptions and
the reasons therefor are described for each particular system of
records.
(1) FMC-1 Personnel Security File. 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. Exemption is required to
honor promises of confidentiality.
(2) FMC-7 Licensed Ocean Freight Forwarders File. All information
that meets the criteria of 5 U.S.C. 552a(k)(2) regarding investigatory
materials compiled for law enforcement purposes. 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.
(3) FMC-22 Investigatory Files. All information that meets the
criteria of 5 U.S.C. 552a(k)(2) regarding investigatory material
compiled for law enforcement purposes. 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.
(4) FMC-24 Informal Inquiries and Complaint Files. All information
that meets the criteria of 5 U.S.C. 552a(k)(2) regarding investigatory
material compiled for law enforcement purposes. Exemption is appropriate
to avoid compromise of ongoing investigations, disclosure of the
identity of confidential sources and unwarranted invasion of personal
privacy of third parties.
(5) FMC-25 Inspector General File. (i) All information that meets the
criteria of 5 U.S.C. 552a(k)(2) regarding investigatory material
compiled for law enforcement purposes. 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.
(ii) 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 the disclosure would reveal the identity of a source who
furnished information to the Commission under the promises of
confidentiality. Exemption is required to honor promises of
confidentiality.
(6) FMC-26 Administrative Grievance File. (i) All information that
meets the criteria of 5 U.S.C. 552a(k)(2) regarding investigatory
material compiled for law enforcement purposes, 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.
(ii) All information about individuals that meets the criteria of 5
U.S.C. 552a(k)(5), regarding suitability, eligibility or qualification
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. Exemption is required to honor promises of
confidentiality.
[59 FR 15636, Apr. 4, 1994]
Sec. 503.69 Fees.
(a) General. The following Commission services are available, with
respect to requests made under the provisions of this subpart, for which
fees will be charged as provided in paragraphs (b) and (c) of this
section:
(1) Copying records/documents.
(2) Certification of copies of documents.
(b) Fees for services. The fees set forth below provide for documents
to be mailed with ordinary first-class postage prepaid. If a copy is to
be transmitted by registered certified, air, or special delivery mail,
postage therefor will be added to the basic fee. Also, if special
handling or packaging is required, costs thereof will be added to the
basic fee.
(1) The copying of records and documents will be available at the rate
of 30 cents per page (one side), limited to size 8\1/4\'' x 14'' or
smaller.
(2) The certification and validation (with Federal Maritime Commission
seal) of documents filed with or issued by the Commission will be
available at $2 for each certification.
(c) Payment of fees and charges. The fees charged for special services
may be paid by check, draft or postal money order, payable to the
Federal Maritime Commission.