[Privacy Act Issuances (2003)]
[From the U.S. Government Printing 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--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--30  Debt Collection Files.

    FMC-1

   System name: Personnel Security File-FMC.

     System location: 
       Bureau of Administration, 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 information security officer and access is limited to the 
   information security officer and his/her 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 containing description of educational and 
   professional experience and qualifications, taxpayer identification 
   numbers (which may be the social security number) and a 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: 
       Physical records are maintained in file folders. Electronic 
   records are maintained in a database on a computer hard drive.
     Retrievability: 
       Records are indexed alphabetically by name. Electronic records 
   are retrievable by name, address, company, application date, 
   admission date, or card number.
     Safeguards: 
       Physical records are maintained in file cabinets under the 
   control of personnel in the Secretary's office. Electronic records 
   are password protected.
     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 Tariffs, 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 sole proprietorships, partnerships and 
   corporate licensees, exlicensees, and applicants for licenses.
     Categories of records in the system: 
       The System contains freight forwarder names, addresses and 
   taxpayer identification numbers (which may be the social security 
   number) 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 Tariffs, 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. 
   Commission Area Representatives. 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: 
       Bureau of Administration, 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 41 CFR part 300-304.
     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 Office of Thrift Supervision 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 locking file cabinet and monitored by 
   the Director of the Office of Budget and Financial Management.
     Retention and disposal: 
       The records are maintained for six 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: Financial Disclosure Reports and Other Ethics 
      Program Records-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 Government Ethics' 
   government-wide systems notices OGE/GOVT-1 and OGE/GOVT-2.

    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: 
     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 (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 Office of Thrift Supervision 
   in connection with administrative services provided to this agency 
   under agreement with OTS.
       10. 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, 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 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 Enforcement, 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, 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 
   Enforcement.
       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 Enforcement'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 Enforcement-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 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, freight forwarders, those 
   authorized by the individual to furnish information, trade sources, 
   investigative agencies, investigative personnel 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 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; and maintained on the 
   Commission's local area network.
     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: 
       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 defendant.
     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, then destroyed. The electronic summary database is 
   permanently maintained.
     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 ten years.
       2. Other investigative case files are retained for fifteen 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 Generql Counsel, 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 individuals 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 Federal Acquisition Regulations, and the 
   contract for development of the Commission's Automated Tariff Filing 
   and Information (ATFI) system. The certificants attest 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.
   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: 
       Records are maintained until 6 months after the date on which the 
   contracting officer received evidence of physical completion of the 
   contract, after which they are shredded. See Federal Acquisition 
   Regulations section 4.804-1(2) and General Records Schedule 3, item 
   3(c).
     System manager(s) and address: 
       Deputy Managing Director, Bureau of Office of the Managing 
   Director, 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.

   FMC-9

   System name:

       Debt Collection Files.
     Security classification:
       Unclassified .
     System location:
       Records are located in the Office of Budget and Financial 
   Managment, Federal Maritime Commission, 800 North Capitol Street, NW, 
   Washington, DC 20573.
     Categories of individuals convered by the system:
       Individulas 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 amounts; 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 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: 
       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.
   Disclosure to consumer reporting agencies:
       Disclosure pursuant to 5 U.S.C. 552a(b)(12): 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)).
     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.
     Retention and disposal: 
       Records are covered by General Records Schedule 6. The file on 
   each debt on which administrative collection action has been 
   completed shall be retained by Debt Collection Officer not less than 
   one year after the applicable statute of limitation has run out. The 
   file is then transferred to the National Archives and Records 
   Administration for a period of six years and three months after the 
   end of the fiscal year in which the debt was closed out by means of 
   the debt being paid, terminated, compromised, or the statute of 
   limitations had run out.
     System manager(s) and address: 
       Director, Office of Budget and Financial Management, Federal 
   Maritime Commission, 800 North Capitol Street, NW, Washington, DC 
   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.

   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), Pub. L. 93-579, 88 Stat. 
1897 (5 U.S.C. 552a.)

  Source: 49 FR 44401, Nov. 6, 1984

   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.

[49 Fr 44401, Nov. 6, 1984; 49 FR 47395, Dec. 4, 1984]

   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 Secretary 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.

[49 FR 44401, Nov. 6, 1984; 49 FR 47395, Dec. 4, 1984]

   Sec. 503.62   Accounting of disclosures.

  (a) The Secretary 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 Secretary 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 Secretary 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 Secretary, Federal Maritime Commission, 800 
North Capitol Street, NW, Washington, DC 20573 and shall:
  (1) Provide information sufficient in the opinion of the Secretary to 
identify the record, e.g. the individual's own name, date of birth, 
place of birth, etc.;
  (2) Provide identification acceptable to the Secretary 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 Secretary, Federal Maritime Commission, 800 North 
Capitol Street, NW, Washington, DC 20573 and shall include in such 
request the following:
  (1) Information sufficient in the opinion of the Secretary 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.

[49 FR 44401, Nov. 6, 1984; 49 FR 47395, Dec. 4, 1984, as amended at 63 
FR 50535, Sept. 22, 1998]

   Sec. 503.64   Commission procedure on request for information.

  Upon request for information made in accordance with Sec. 503.63 of 
this subpart, the Secretary 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.

   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 Secretary, Federal Maritime Commission, 800 North 
Capitol Street, NW, Washington, DC 20573 and shall:
  (i) Provide identification acceptable to the Secretary 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 Secretary.
  (2) Any individual making a request for access to records by mail 
shall address such request to the Secretary, Federal Maritime 
Commission, 800 North Capitol 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 Secretary 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 Secretary 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 Secretary 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 Secretary 
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 Secretary 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 Secretary 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.

[49 FR 44401, Nov. 6, 1984; 49 FR 46395, Dec. 4, 1984, as amended at 63 
FR 50535, Sept. 25, 1998]

   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 Secretary 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 Secretary 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 Secretary 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.

[49 FR 44401, Nov. 6, 1984; 49 FR 47395, Dec. 4, 1984]

   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, 800 
North Capitol 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.

[49 FR 44401, Nov. 6, 1984, as amended at 63 FR 50536, Sept. 22, 1998]

   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 $55 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.

[49 FR 44401, Nov. 6, 1984, as amended at 59 FR 59171, Nov. 16, 1994; 63 
FR 50536, Sept. 22, 1998]