Privacy Act: [ FMC-16] Classification Appeals File-FMC....

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[2001 Privacy Act]
[From the U.S. Government Printing Office via GPO Access]





   #.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: 

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