Privacy Act of 1974; Proposed New Systems of Records, 55699-55703 [2013-22071]

Agencies

• Federal Maritime Commission

[Federal Register Volume 78, Number 176 (Wednesday, September 11, 2013)]
[Notices]
[Pages 55699-55703]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-22071]


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FEDERAL MARITIME COMMISSION


Privacy Act of 1974; Proposed New Systems of Records

AGENCY: Federal Maritime Commission.

ACTION: Notice of proposed new systems of records.

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SUMMARY: This notice is necessary to meet the requirements of the 
Privacy Act of 1974 to publish in the Federal Register notice of the 
existence and character of record systems maintained by the Federal 
Maritime Commission.

DATES: Effective Date: These systems will be adopted without further 
notice on October 21, 2013 unless modified to respond to comments 
received from the public and published in a subsequent notice.
    Comment Date: Comments must be received in writing on or before 
October 21, 2013.

ADDRESSES: You may submit comments: By Postal Mail/Commercial Delivery 
or via email to: Karen V. Gregory, Secretary, Federal Maritime 
Commission, 800 N. Capitol Street NW., Washington, DC 20573-0001, 
Secretary@fmc.gov, Email comments to: Secretary@FMC.gov (email Comments 
as an attachment in MS Word or PDF). Include in the Subject Line: 
``Comments on Systems of Records Notice''.

FOR FURTHER INFORMATION CONTACT: Karen V. Gregory, Secretary, Federal 
Maritime Commission, 800 N. Capitol Street NW., Washington, DC 20573-
0001, (202) 523-5725, Secretary@fmc.gov.

SUPPLEMENTARY INFORMATION:
    The Commission proposes to adopt the following additional Systems 
of Records (SOR). Interested parties may participate by filing with the 
Secretary, Federal Maritime Commission their views and comments 
pertaining to this Notice. All suggestions for changes in the text 
should be accompanied by draft language necessary to accomplish the 
desired changes and should be accompanied by supportive statements and 
arguments. Comments must be submitted in the prescribed time or the 
proposed SOR will become effective as scheduled.
    Notice is hereby given, that pursuant to the Privacy Act of 1974, 5 
U.S.C. 552a, the Commission proposes to establish the following new 
Systems of Records. The five (5) new systems are proposed to read as 
follows:
FMC-37

System name:
    Personal Identity Verification Management System (USAccess 
Credentials).

System location:
    Records covered by this system are maintained by a contractor at 
the contractor's site.
    This system is covered by the Office of Personnel Management's 
government-wide system notice, GSA/GOVT-7.

FMC-38
System name:
    Parking Operation Plan-FMC.

Security Classification:
    Unclassified.

System location:
    Office of Management Services, Federal Maritime Commission, 800 
North Capitol Street NW., Washington, DC 20573-0001.

Categories of individuals covered by the system:
    This system maintains information on FMC headquarters' employees 
who are holders of FMC-issued parking permits.

Categories of records in the system:
    Records in this system may include information about individuals, 
including name, home address, home telephone number, work telephone 
number, personal vehicle make and model, personal vehicle license 
number, and state of vehicle registration. These records are captured 
on applications for parking permits.

Authority for maintenance of the system:
    40 U.S.C. Section 486(c); 41 CFR Section 101-20.0 and 41 CFR 
Section 102-74.305 and the Occupancy Agreement with the General 
Services Administration (GSA).

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    The records in this system of records are used or may be used:

[[Page 55700]]

    1. By Commission officials to determine the assignment of parking 
permits to eligible employees.
    2. To conduct a quarterly parking revalidation to verify continued 
employee eligibility for parking permits.
    3. To appropriate agencies, entities, and persons when (a) the 
Federal Maritime Commission suspects or has confirmed that the security 
or confidentiality of information in the system of records has been 
compromised; (b) the agency has determined that as a result of the 
suspected or confirmed compromise there is a risk of harm to economic 
or property interests, identity theft or fraud, or harm to the security 
or integrity of this system or other systems or programs (whether 
maintained by the agency or another agency or entity) that rely upon 
the compromised information; and (c) the disclosure made to such 
agencies, entities, and persons is reasonably necessary to assist in 
connection with the agency's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained in file folders.

Retrievability:
    Records are indexed alphabetically by name.

Safeguards:
    Records are maintained in locked file cabinets.

Retention and disposal:
    Records are maintained and disposed of in accordance with General 
Records Schedule 11, Items 2a and 4a (records destroyed 2 years after 
termination of parking assignment).

System manager(s) and address:
    Director of Management 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: Director, Office of Management Services, 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:
    Applicants or FMC employees who are holders of FMC-issued parking 
permits.
FMC-39

System name:
    FMC General Support System (FMC GSS).

Security Classification:
    Unclassified.

System location:
    Office of Information Technology, Federal Maritime Commission, 800 
N. Capitol Street NW., Washington, DC 20573-0001.

Categories of individuals covered by the system:
    1. Authorized Employees of the Federal Maritime Commission.
    2. Authorized Users from other Federal Agencies (DOTS, Military) 
authenticated via local accounts.
    3. All persons/Entities regulated by the FMC.
    4. Companies and individuals that have become subject of an 
investigative or enforcement action.
    5. Entities who have requested alternative dispute resolution 
services.

Categories of records in the system:
    The FMC GSS contains Employee, Filer, Licensee, and Complainant 
information such as first name, last name, email address, user ID, 
organization number, social security number (Form-18), carrier name, 
contract number, amendment number, date filed, effective date, and 
confirmation number.

Authority for maintenance of the system:
    E-Government Act of 2002 (Title III) and OMB Circular A-130.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    The FMC Network is a general support system (GSS) that provides 
core and critical information technology support to a number of hosted 
applications and databases. The FMC GSS is designed to facilitate the 
services and resources needed to support FMC operations and FMC's end 
user community. The purpose of the FMC GSS is to provide FMC employees 
and/or contractors access to the FMC domain, Email account management, 
individual and shared electronic storage, interconnection(s) between 
all FMC end users and the Internet, as well as provide access to agency 
applications.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Records are maintained electronically. The FMC GSS system is 
managed and maintained by FMC OIT staff at its Washington, DC 
headquarters. The FMC GSS is made up of servers, switches, gateways, 
and two firewall devices. The servers, switches, gateways, and firewall 
devices are physically housed in the Data Center at FMC Headquarters. 
The Data Center is monitored 24 hours a day 7 days a week.

Retrievability:
    Data is retrievable by: First name, last name, user ID, telephone 
number, social security number (Form-18), company name, carrier name, 
contract number, amendment number, date filed, effective date, 
confirmation number, etc.

Safeguards:
    Currently each user of the FMC GSS must have a unique profile in 
the Active Directory (AD). When a login is attempted, the entered user 
ID and encrypted password are verified against the AD. If the user 
login credentials are not validated, the login attempt fails.
    Access to each layer of the network is controlled and monitored by 
personnel through formal defined authorization, approval, and 
monitoring processes. Authentication at the network layer incorporates 
a number of additional security layers, including firewalls, routers, 
and VPNs. Access to the network, operating system, and database is 
restricted and granted only to specific pre-approved individuals by the 
system owner.
    User profiles define individual FMC GSS users linked to one or more 
roles. Permission lists are added to each role, which controls a user's 
access level.
    Each user of the information system has a unique profile and login 
attempts are verified and validated against a user access list. The 
system authenticates users with the values specified in the User ID and 
Password field. All

[[Page 55701]]

unverifiable login attempts are denied access to the system.
    FMC is in the process of implementing Homeland Security 
Presidential Directive 12 (HSPD-12). This implementation is expected to 
be completed by the 2nd Quarter FY 2014.
    HSPD-12 requires the use of two-factor authentication for access to 
government computer systems. To achieve two-factor authentication 
individuals require a Personal Identity Verification (PIV) card and a 
Personal Identification Number (PIN). Upon HSPD-12 implementation, FMC 
GSS will be accessed by individuals utilizing a PIV and PIN.

Retention and disposal:
    Agency data is backed up and retained for five years at which point 
the backup tapes are overwritten.

System manager(s) and address:
    Anthony Haywood, CIO Federal Maritime Commission, 800 North Capitol 
Street NW., Washington, DC 20573-0001.

Notification procedure:
    All inquiries regarding this system of records should be addressed 
to: Anthony Haywood, CIO 800 North Capitol Street NW., Washington, DC 
20573-0001.

Record access procedures:
    All personnel and contractors sign non-disclosure agreements prior 
to accessing the information system following the performance of 
background investigations that commensurate with the sensitivity of the 
information and the risk to the FMC GSS. FMC is responsible for 
determining the position sensitivity levels (or risk levels) for all 
personnel whose jobs require access to mission critical information. 
This responsibility includes ensuring that all personnel and 
contractors have undergone the appropriate background suitability 
checks and security awareness training. User access is granted based on 
the principle of least privilege. In accordance with this principle, 
users are granted only the amount of system access they require to 
perform their duties. Upon termination or reassignment individuals are 
re-screened immediately.

Contesting record procedures:
    N/A.

Record source categories:
    Office of Personnel Management report, and reports from other 
Federal agencies.
FMC-40

System name:
    SERVCON.

Security Classification:
    Unclassified.

System location:
    Office of Information Technology, Federal Maritime Commission, 800 
N. Capitol Street NW., Washington, DC 20573-0001.

Categories of individuals covered by the system:
    1. Authorized employees of the Federal Maritime Commission.
    2. Authorized users from other Federal Agencies (DOTS, military) 
authenticated via local accounts.
    3. Authorized VOCC and NVOCC Users.

Categories of records in the system:
    1. Successful Contract Filings, Contract Corrections, and Notices 
records and file data.
    2. Unsuccessful Contract Filings and Contract Corrections records.
    3. Contract Filing Statistics.
    4. Users' file viewing history.

Authority for maintenance of the system:
    E-Government Act of 2002 (Title III) and OMB Circular A-130.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    The SERVCON records are used or may be used:
    1. By Authorized Organization Representatives for official filing 
of VOCC and NVOCC related contracts to FMC.
    2. By Authorized Organization Representatives to make approved 
changes and amendments to filed contracts.
    3. By Authorized Organization Representatives to upload Notices 
with various information relevant to filed contracts that may be viewed 
by Commission Officials.
    4. By Commission Officials and Authorized Local Users from other 
Federal Agencies to verify and review the validity of the contract and 
operations of registered VOCCs and NVOCCs.
    5. 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.
    6. By a court of law or appropriate administrative board or hearing 
having review or oversight authority.
    7. To appropriate agencies, entities, and persons when (a) the 
Federal Maritime Commission suspects or has confirmed that the security 
or confidentiality of information in the system of records has been 
compromised; (b) the agency has determined that as a result of the 
suspected or confirmed compromise there is a risk of harm to economic 
or property interests, identity theft or fraud, or harm to the security 
or integrity of this system or other systems or programs (whether 
maintained by the agency or another agency or entity) that rely upon 
the compromised information; and (c) the disclosure made to such 
agencies, entities, and persons is reasonably necessary to assist in 
connection with the agency's efforts to respond to the suspected or 
confirmed compromise and prevent, minimize, or remedy such harm.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Electronic records are maintained within the confines of FMC-39, 
FMC General Support System (FMC GSS) and FMC-41, FMC SQL Database 
(FMCDB).

Retrievability:
    Data is retrievable by: User ID, organization number, carrier name, 
contract number, amendment number, date filed, effective date, 
confirmation number, filer user name, file name file size, file type.

Safeguards:
    Electronic records are secured in accordance with FMC-39, FMC 
General Support System (FMC GSS) for internal users.
    External users' must authenticate against the Passport user 
database records and are only able to search for files, which the 
account has uploaded.

Retention and disposal:
    Specific uploaded files are individually removed from the live data 
tables and placed in a file data removed data table upon disposal 
request from the filing organizations.
    All data records are currently being kept indefinitely.

System manager(s) and address:
    Anthony Haywood, CIO Federal Maritime Commission, 800 North Capitol 
Street NW., Washington, DC 20573-0001.

[[Page 55702]]

Notification procedure:
    All inquiries regarding this system of records should be addressed 
to: Gary Kardian 800 North Capitol Street NW., Washington, DC 20573-
0001.

Record access procedures:
    Individuals may receive an external user account by filing form 
FMC-83 for VOCCs or form FMC-78 for NVOCCs to: Federal Maritime 
Commission, Bureau of Trade Analysis, 800 North Capitol Street NW., 
Washington, DC 20573-0001
    FMC employees and employees from other Federal Agencies will be 
given individual review and may gain access if it is within the scope 
of their responsibilities.
    All other inquiries regarding this system of records should be 
addressed to: Gary Kardian, 800 North Capitol Street NW., Washington, 
DC 20573-0001.

Contesting record procedures:
    The SERVCON system allows external filers to file a Corrected 
Transmission to edit contract files within two days of the effective 
date.
    Record contests beyond that point in tie should be addressed to: 
Gary Kardian, 800 North Capitol Street NW., Washington, DC 20573-0001.

Record source categories:
    Contract files submitted by authorized Organization representative 
filers.
FMC-41

System name:
    FMC SQL Database (FMCDB).

Security Classification:
    Unclassified.

System location:
    Office of Information Technology, Federal Maritime Commission, 800 
N. Capitol Street NW., Washington, DC 20573-0001.

Categories of individuals covered by the system:
    1. Authorized employees of the Federal Maritime Commission.
    2. Authorized persons from other Federal agencies (DOTS, military) 
authenticated via local accounts.
    3. External Persons registered via form or web submission 
authorized by FMC analysts for web application access.

Categories of records in the system:
    1. User database for the Form 1, Form 18, and SERVCON web 
applications.
    2. Identification, configuration, and activity records for 
management of FMC office needs such as BlackBerry usage.
    3. User mail and web submitted information and documents for the 
purpose of registration, review, and reporting of FMC regulated 
entities such as freight forwarders, vessel-operating common carriers, 
etc.
    4. User mail and web submitted statements and documents regarding 
FMC regulated entities and analyst response/actions performed in 
regards to the information.
    5. Private internal database tracking analyst statements and 
rulings regarding persons and organizations derived from user mail and 
web submitted information.
    6. Public external database on the active status of certain FMC 
registered and managed entities.

Authority for maintenance of the system:
    E-Government Act of 2002 (Title III) and OMB Circular A-130.

Routine uses of records maintained in the system, including categories 
of users and the purposes of such uses:
    The FMCDB major application is the Federal Maritime Commission's 
SQL Database that is the main data store that facilitates the 
functionality of various FMC minor applications. The routine uses of 
records include:
    1. By maintenance of application user registration, identification, 
access permissions, and authentication.
    2. BlackBerry user identification and activity.
    Provision of file repository functionality for digitized documents 
used by the FMC Office of the Secretary.
    3. Registration, review, and status recording for FMC managed 
entities such as freight forwarders, vessel-operating common carriers, 
etc.
    4. Display of publically available information such as approved 
organization registrations and agreements.
    5. Reviewing user submitted concerns and complaints regarding FMC 
managed entities to officially address.
    6. Record keeping of FMC internal audits and investigations.

Policies and practices for storing, retrieving, accessing, retaining, 
and disposing of records in the system:
Storage:
    Electronic records are maintained within the confines of FMC-39, 
FMC General Support System (FMC GSS).

Retrievability:
    Data Retrievability is application dependent. Records for 
applications involving external user access or organizational records 
are retrievable in end user applications by the following categories: 
First name, last name, user ID, telephone number, social security 
number (Form-18), company name, carrier name, contract number, 
amendment number, date filed, effective date, confirmation number, etc.
    Data may also be retrievable by: Case Number, Case Name, File Name, 
Active Status, Country, State, Various User Activities, etc.

Safeguards:
    Electronic records are secured in accordance with FMC-39, FMC 
General Support System (FMC GSS) for internal users.
    External users' accounts must authenticate against the Passport 
user database records and are only able to search files, which the 
account has uploaded.

Retention and disposal:
    Agency data is backed up and retained for five years at which point 
the backup tapes are overwritten.

System manager(s) and address:
    Anthony Haywood, CIO-Federal Maritime Commission, 800 North Capitol 
Street NW., Washington, DC 20573-0001.

Notification procedure:
    All inquiries regarding this system of records should be addressed 
to: Anthony Haywood, CIO, 800 North Capitol Street NW., Washington, DC 
20573-0001.

Record access procedures:
    All personnel and contractors sign non-disclosure agreements prior 
to accessing the information system following the performance of 
background investigations that commensurate with the sensitivity of the 
information and the risk to the FMCDB. FMC is responsible for 
determining the position sensitivity levels (or risk levels) for all 
personnel whose jobs require access to mission critical information. 
This responsibility includes ensuring that all personnel and 
contractors have undergone the appropriate background suitability 
checks and security awareness training. User access is granted based on 
the principle of least privilege. In accordance with this principle, 
users are granted only the amount of system access they require to 
perform their duties. Upon termination or reassignment individuals are 
re-screened immediately.
    External users may attain access to various external facing 
applications by submitting a mail or web registration form. Access will 
be granted upon review by authorized Commission officials.

[[Page 55703]]

Contesting record procedures:
    External user applications enable users to submit edits to a person 
or organization registration for review.
    Further inquiries may be directed towards individual departments 
responsible for record analysis.

Record source categories:
    1. User submitted person and organization registration information 
and documentation.
    2. Analyst reviews and rulings on appropriated tasks.
    3. Automated record keeping from user devices.

    By the Commission.
Karen V. Gregory,
Secretary.
[FR Doc. 2013-22071 Filed 9-10-13; 8:45 am]
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