SERVCON Privacy Impact Assessment

FEDERAL MARITIME COMMISSION
PRIVACY IMPACT ASSESSMENT

A.

SYSTEM INFORMATION

1.

What is the system name?
FMC SERVCON

2.

Why is the information being collected (e.g., to determine eligibility)?
The information is being collected pursuant to title 46 USC Shipping §40502 Service
Contracts (b)(1) – which states “Each service contract entered into under this section by
an individual ocean common carrier or an agreement shall be filed confidentially with the
Federal Maritime Commission.”

3.

What is the intended use of the information (e.g., to verify existing data)?
To record, review, and manage contractual arrangements by organizations performing
services as registered VOCCs and NVOCCs in order to ensure legal operating
requirements are met.

4.

Does this system contain any personal information about individuals? (If no, a
PIA is not required. Complete a Privacy Impact Analysis.)
Yes.

5.

What legal authority authorizes the purchase or development of this
system/application? (List the statutory provisions or Executive Orders that
authorize the maintenance of this information to meet an official program mission
or goal.) Also list the OMB Clearance number and expiration date, if applicable.
Title 46 USC - Shipping.
Service Contracts 46 USC 40502, NSA 46 CFR part 531

6.

For new systems, describe how privacy is addressed in documentation related to
system development, including as warranted and appropriate, statement of need,
functional requirements analysis, alternatives analysis, feasibility analysis,
benefits/cost analysis, and especially, the initial risk assessment.
FMC SERVCON is not a new system.

B.

DATA IN THE SYSTEM

1.

What categories of individuals are covered in the system (for example, employee,
contractor, public)?
The system users include external registered filing representatives of VOCC and
NVOCC Organizations as well as internal FMC staff.

2.

What are the sources of information in the system?
The sole data source are filed contracts and notices from registered VOCC and NVOCC
Organizations and their representatives.

a.
Is the information collected directly from the individual or is it taken from
another source? If Information is not collected directly from the individual,
describe the source of the information.
The information is collected directly from representatives or automated filing
systems via the ServconWebService.

3.

b.

What Federal agencies provide data for use in the system?
None

c.

What state and local agencies provide data for use in the system?
None

d.

What other third parties will data be collected from?
None

e.

What information will be collected from the employee and the public?
Information as needed to carry out 46 CFR parts 530 & 531.

How does the FMC ensure that data are sufficiently accurate, relevant, timely, and
complete to ensure fairness in making determinations about any individual?
The FMC SERVCON System has initial checks upon contract filing to ensure
requirements for data formatting and contract meta data are acceptable by checking
filing information and providing warnings or errors to filers. If there are filer errors, FMC
may be contacted to perform a manual review and correction.
a.

How is data accuracy ensured?
Data accuracy is ensured at contract filing by checking new filing data against
existing contract history records.

b.

How will data be checked for completeness?
The contract filing functionality will not officially accept contract records if all
required metadata is not present during filing.

c.
Are the data current? What steps or procedures are taken to ensure the
data are not out of date?
The data is current and any change to a contract record is filed via amendment to
keep a record history.
d.
Are the data elements described in detail and documented? If yes, what is
the name of the document?
Data elements contained in 46 CFR 530.8-Essential terms of service contracts
and the SERVCON user manual.
e.
How will data collected from sources other than FMC records be verified
for accuracy?
FMC SERVCON records all come from VOCC and NVOCC organizations. There
are required data checks in place for initial contract filings and amendment filings
that will accept or reject input depending on success.
4.

Describe what opportunities individuals have to decline to provide information
(that is, where providing information is voluntary) or to consent to particular uses

of information (other than required or authorized uses), and how individuals can
grant consent.
A requisite of being a VOCC or NVOCC Organization is consenting that all contracts
must be filed with FMC in order to be carried out. The FMC SERVCON system has been
set up for the Organizations to meet this requirement.
C.

ATTRIBUTES OF THE DATA

1.

Is the use of the data both relevant and necessary to the purpose for which the
system is being designed?
Yes.

2.

Will the system derive new data or create previously unavailable data about an
individual through the aggregation of information collected? (If no, skip to D.3.)
No.
a.

Will the new data be placed in the individual’s record?

b.
Can the system make determinations about employees or the public that
would not be possible without the new data?

c.

3.

How will the new data be verified for relevance and accuracy?

Do the records in this system share the same purpose, routine use, and security
requirements?
Yes.
a.
If the data are being consolidated, what technical, management, and
operational controls are in place to protect from unauthorized access or use?
Explain.
External filers for VOCCs must complete Form FMC-83 and filers for NVOCCs must
complete Form FMC-78. Once submitted to FMC, internal Analysts will review the
information and request application account creation.
External users are provided with account and password in order to access the
SERVCON website that limits functionality to contract filing and individual filing history.
Internal users have network credentials in order to access the FMC SERVCON intranet
with administrative functionality to view all uploaded files.
The SRVCONDB Server where FMC SERVCON data resides is managed by OIT and
only select technical internal users have credentials for access.
b.
If processes are being consolidated, are the proper technical, management,
and operational controls remaining in place to protect the data and prevent
unauthorized access? Explain.
Yes, the FMC SERVCON System registration requires Form FMC-83 and FMC-78 and
authentication is built to use the application authentication detailed in 3.a.

4.

How will the data be retrieved? Can a personal identifier be used to retrieve data?
Are personal identifiers used to retrieve data on a routine, occasional, or ad hoc
basis? If yes, explain and list the identifiers that will be used to retrieve
information on the individual.
Users may retrieve data via the website interface. Filers may view their own filed records
while FMC staff may retrieve all filed records. Notable identifiers for contract data are
username and organization identification number. Organization number is routinely used
as an identifier to retrieve data. Contracts can also be searched by keywords such as
the names of signatories to a contract.

5.

What kinds of reports can be produced on individuals? What will be the use of
these reports? Who will have access to them?
There are no reports produced on individuals.

D.

MAINTENANCE OF ADMINISTRATIVE CONTROLS

1.

If the system is hosted and/or used at more than one site, how will consistent use
of the system and data be maintained at all sites?
The majority of FMC SERVCON applications are hosted on the SRVCONDB Server.
The administrative FMC SERVCON application is hosted on both the SRVCONDB and
FMCINET Server. Since this portion does not manipulate data, no inconsistencies are
created due to different hosting environments.

2.

What are the retention periods of the data in this system?
Currently, data is retained indefinitely.

3.

What are the procedures for disposition of the data at the end of the retention
period? How long will the reports produced be kept? Where are the procedures
documented?
There is currently no permanent disposition of data and reports. Basic contract and NSA
filing counts are available on the public Servcon website (https://servcon.fmc.gov/stat/)
with previous statistics backed up in the same directory.

4.

Is the system using technologies in ways that the FMC has not previously
employed (for example, monitoring software, CallerID)? If yes, how does the use
of this technology affect public/employee privacy?
No, the FMC SERVCON System employs standard usage of application and database
functionality for contract filing.

5.

Will this system provide the capability to identify, locate, and monitor individuals?
If yes, explain.
This system is able to identify individuals through information provided at user account
creation. Persons signing service contracts are also identified.
a.
What kinds of information are collected as a function of the monitoring of
individuals?
Contract filing activity may be tracked through successful and unsuccessful contract
filing records.
b.

What controls will be used to prevent unauthorized monitoring?

The monitoring detailed in 5.a. is based on general application usage for individual
accounts.
6.

Under which Privacy Act systems of records notice does the system operate?
Provide name and number.
SERVCON FMC-40

7.

If the system is being modified, will the Privacy Act system of records notice
require amendment or revision? Explain.
No. The system is not being modified at this time. If there is a significant modification to
the system the Privacy Act system of records notice will be amended or revised.

E.

ACCESS TO DATA

1.

Who will have access to the data in the system (for example, contractors, users,
managers, system administrators, developers, other)?
External filers will have access to their own filed contracts. FMC SERVCON staff may
view all file contract data through the administrative website interface. System
administrators, developers, and contractors are able to access the hosting server.

2.

How is access to the data by a user determined? Are criteria, procedures,
controls, and responsibilities regarding access documented?
External filers will have access to their own filed contracts and access is documented in
the initial registration forms. FMC SERVCON staff requires access to filed contract data
to perform FMC regulated work tasks. Developers and Contractors are granted access if
their work contract specifically requires access to the system.

3.

Will users have access to all data on the system or will the user’s access be
restricted? Explain.
The FMC SERVCON System is separated into two websites for contract filers and
administration. The contract filing website search functionality is limited to the records of
the filer while the administrative website search functionality may search all records.

4.

What controls are in place to prevent the misuse (for example, unauthorized
browsing) of data by those having access? List procedures and training
materials.
External users can only access their own filings.

5.

Are contractors involved with the design and development of the system and/or
will they be involved with the maintenance of the system? If yes, were Privacy Act
contract clauses inserted in their contracts and other regulatory measures
addressed?
Yes, contractors are currently involved in maintenance, design, and development of the
system.
Yes. FAR 52.224-1, and FAR 52.224-2 are both in the GSA contract.

6.

Do other systems share data or have access to the data in the system? If yes,
explain.
No.

7.

Who will be responsible for protecting the privacy rights of the public and
employees affected by the interface?
N/A

8.

Will other agencies share or have access to the data in this system? If yes, list
agencies.
DOD, USDA.

9.

How will the data be used by the other agency?
The data will be used to assess reasonable rate levels..

10.

Who is responsible for ensuring proper use of the data?
The Office of the Managing Director, Federal Maritime Commission.

APPENDIX II
FEDERAL MARITIME COMMISSION
PRIVACY IMPACT ANALYSIS

SYSTEM OF RECORDS IDENTIFICATION
1.

Is a system of records being created under the Privacy Act, 5 U.S.C. 552a? If no,
skip questions 2 through 4.
Yes.

2.

Have privacy and IT risk assessments been conducted that consider the
alternatives to collection and handling as designed and the appropriate measures
to mitigate risks identified for each alternative?
Yes

3.

What impact will this system have on an individual’s privacy? (Consider the
consequences of collection and flow of information and identify and evaluate
threats to individual privacy.)
Names of signatories as well as filers of specific service contracts will be identifiable.
The threat to individual privacy is Because SERVCON is as minimal as possible
because SERVCON is confidential and accessible only by authorized personnel on a
need to know basis.

4.

As a result of the PIA, what choices have been made regarding the IT system of
collection of information? Have adequate measures been designed and
implemented to mitigate risk? What is the rationale for the final design choice or
business process?
None.
Yes. As required by the Federal Information Security Management Act 2002.
The SERVCON system undergoes a certification and accreditation every three years.
The SERVCON system also undergoes an annual Inspector General audit.

APPENDIX III
FEDERAL MARITIME COMMISSION
SYSTEM DEVELOPMENT LIFE CYCLE
PRIVACY REQUIREMENTS WORKSHEET

A.

CONTACT INFORMATION

1.

Person who completed the Privacy Impact Assessment document
Name: Gregory Francis
Title: Information Systems Security Officer
Bureau/Office: Office of Information Technology
Phone number: 202 523 1930

2.

System Owner
Name: Anthony Haywood
Title: Chief Information Officer
Phone number: 202 523 0001

3.

Business Owner
Name: Sandra Kusumoto
Title: Director Bureau of Trade Analysis
Phone number:202 523 5796

4.

Chief Information Officer
Name: Anthony Haywood
Title: Chief Information Officer
Phone number: 202 523 0001

5.

Senior Agency Official for Privacy
Name: Austin Schmitt
Title: Director, Strategic Planning and Regulatory Review
Phone number: 202 523 5800

B.

PRIVACY IMPACT ASSESSMENT SUMMARY

X
X
X

System Category
(Check all categories that apply)
System of Records
Website available to the public
Website or information system operated by a
contractor on behalf of the FMC for the purpose
of interacting with the public

Requirement
Publish System of Records Notice
Publish Privacy Impact Assessment
Publish Privacy Impact Assessment

New or significantly altered information
technology investment administering information
in an identifiable form collected from or about
members of the public
New or significantly altered information
technology investment administering information
in an identifiable form collected from or about
FMC employees
Contains medical information
Other
None of the above

C.

Conduct Privacy Impact Assessment

Conduct Privacy Impact Assessment

Determine if system is subject to HIPAA
Privacy Impact Assessment not required

PRIVACY IMPACT ASSESSMENT APPROVAL

Approval of Privacy Impact Assessment accuracy and completeness.

System Owner:

____________________________
Signature

_____________________
Date

Business Owner:

____________________________
Signature

_____________________
Date

Approval of IT System Risk Assessment

Chief Information
Officer:

____________________________
Signature

_____________________
Date

Approval of Privacy Assessment and Resulting System Categorization

Senior Agency
Official for Privacy: ____________________________
Signature

_____________________
Date