System name: Operating Personnel Files (Nonpermanent Records), ICC. System location: ICC Headquarters Bureaus and Offices, Washington, DC, and Regional Detached Offices (49 CFR part 1001).
Categories of individuals covered by the system: ICC employees. Categories of records in the system: Working papers and documents developed during the course of an individual's employment which are not permanently retained. These will include the Standard Form 7B (OF 4B), Employee Record Card, and nonofficial records generally limited to information on experience, education, training, special qualifications and skills, position descriptions, performance appraisals and conduct. The Regional Managers' files may contain duplicate copies of official documents (SF 171, SF 50, etc.).
Authority for maintenance of the system: Federal Personnel Manual Supplement 293-31.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: For the use of operating officials as a source of data to initiate requests for personnel actions, to plan and schedule employee training, to counsel employees on their performance, to establish a basis for proposing commendations or disciplinary actions, and to carry out their personnel management responsibilities in general. In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto. The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular. Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Maintained in individual file folders.
Retrievability: Indexed by name.
Safeguards: Kept in locked file cabinets under direct control of responsible official.
Retention and disposal: Retained until employee leaves the agency through transfer or other separation and then forward to the Personnel Office where it is screened to insure that it contains no documents that should be permanently filed in the Official Personnel Folder, and then is destroyed.
System manager(s) and address: Administrative Officer (Assistant), ICC Headquarters Bureaus and Officers, Washington, DC. Regional Managers and Officer-in-charge--Detached Offices
Notification procedure: Same as above. Record access procedures: Same as above.
Contesting record procedures: Same as above. Record source categories: Employees and their supervisors.
Systems exempted from certain provisions of the act: None.
32-20-002
System name: National Defense Executive Reserve Files, ICC.
System location: recruitment and Assignment Files Bureau of Operations, Surface Transportation Board, 12th and Constitution Avenue, NW, Washington, DC 20423. Appointment Files Personnel Office, Surface Transportation Board, 12th and Constitution Avenue, NW, Washington, DC 20423.
Categories of individuals covered by the system: Letters and/or memorandums addressed to members of the Commission's National Defense Executive Reserve or to staff involving recruitment of reservists.
Categories of records in the system: Letters, Memorandum or NDER Forms 1, 2, and 3, or Form BOp D11 concerning reservists' assignments or responsibilities in connection with the National Defense Executive Reserve program, letters of appointment and statement of understanding. Authority for maintenance of the system: EO 11179 and EO 11490.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Maintaining management control system of the Commission's membership and staff responsibilities in connection therewith and of individuals selected to participate in the National Defense Executive Reserve program. The information in this system of records will be exchanged as a matter of routine use with the Federal Preparedness Agency, General Services Administration, in connection with both agencies' responsibilities for administering the National Defense Executive Reserve and Emergency Preparedness programs, assigned by Executive Orders Nos. 11179, dated September 22, 1964, and 11490, dated October 30, 1969. In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulations, 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. The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular. Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: File folders and card file, 3 inch x 5 inch cards, basic control of quarterly computer printouts, membership listing of National Defense Executive Reserves, listing names, addresses and employment information about each reservist. Retrievability: Files maintained by individual name.
Safeguards: Kept in locked file cabinets under control of responsible official. Retention and disposal: Permanent for card file; correspondence and rosters, etc., three-year active file and then destroyed.
System manager(s) and address: Recruitment and assignment files Bureau of Operations Assistant to the Director Surface Transportation Board 12th and Constitution Avenue, NW, Washington, DC 20423 Appointment files Director of Personnel Surface Transportation Board 12th and Constitution Avenue, NW, Washington, DC 20423
Notification procedure: Same as above.
Record access procedures: Same as above.
Contesting record procedures: Same as above.
Record source categories: Employee.
Systems exempted from certain provisions of the act: None.
32-20-003
System name: Unit Medical Records, ICC.
System location: Occupational Health Unit, ICC 12th and Constitution Avenue, NW, Washington, DC 20423.
Categories of individuals covered by the system: ICC employees.
Categories of records in the system: Contains employee's name, date of birth, address, telephone number, Bureau or Office where employed, name of person to contact in case of emergency, name of employee's personal physician. Nurse's Notes visits and treatment in the Health Unit, records pertaining to blood donations and individual records of physical examinations, laboratory test results, x-rays and other individual health records with pertinent medical opinions.
Authority for maintenance of the system: Federal Personnel Manual Supplement 792-1. Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Maintained expressly for the well-being of employees in relation to work assignments. For use of Director of Personnel in providing counseling services to employees and agency officials. In the event that a system of records maintained by this agency to carry its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant 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. The information contained in the system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular. Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Maintained in individual file folders. Retrievability: Indexed by name. Safeguards: Kept in locked file, with access only by the Occupational Health Nurse and/or Physician. Retention and disposal: Retained unit one year after the employee leaves the agency, and then destroyed. Upon separation, will be given to employee at his request or to his personal physician, if so desired.
System manager(s) and address: Occupational Health Nurse Room 1414 Surface Transportation Board 12th and Constitution Avenue, NW, Washington, DC 20423
Notification procedure: Same as above.
Record access procedures: Same as above.
Contesting record procedures: Same as above.
Record source categories: Employee.
Systems exempted from certain provisions of the act: None.
32-20-004
System name: Automated Personnel and Payroll System, ICC.
System location: Section of Systems Development, ICC, 12th and Constitution Avenue, NW, Washington, DC 20423. Categories of individuals covered by the system: ICC employees.
Categories of records in the system: Contains the name, social security number, employee number, date of birth, employment status, leave status, pay status, tax status, insurance status, saving bond and charity deductions, time and attendance data, and the organization of each ICC employee.
Authority for maintenance of the system: 49 U.S.C. 12.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: File is used for the: Transfer of information to the Internal Revenue Service for wage, levy and tax requirements--transfer of information to the Treasury Department for completion of payroll processing--transfer of information to the American Federation of Government Employees, Graphic Arts International Union, and the Professional Association of the ICC for the processing of union dues--transfer of information to state and city revenue offices for tax unemployment processing-- transfer of information to the Civil Service Commission for personnel requirements--employee separation and retirement processing--employee time attendance accounting--employee salary payment and deduction control--employee bond, charity and health benefits processing-- employee leave control--employee parking assignment control--employee telephone directory--employee personnel action processing and control--Commission budget planning, monitoring and control--creation of internal management reports, summaries and work files which are located throughout the agency. 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 of particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcement implementing the statute, or rule, regulation or order issued pursuant thereto. The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance as set forth in legislative coordination and clearance process as set forth in that Circular. Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage: Maintained on magnetic tape.
Retrievability: Indexed by social security number.
Safeguards: Stored in secure computer facility under the supervision of the tape librarian.
Retention and disposal: Fifty-two week retention for files. A five- year retention period for year-end files. At the end of each of these periods, files are destroyed. System manager(s) and address: Chief Section of Systems Development Room B-411 Surface Transportation Board 12th and Constitution Avenue, NW, Washington, DC.
Notification procedure: Same as above.
Record access procedures: Same as above.
Contesting record procedures: Same as above.
Record source categories: Employee.
Systems exempted from certain provisions of the act: None.
32-20-005
System name: Case Status System (Formal Case Control), ICC.
System location: section of System Development, ICC 12th and Constitution Avenue, NW, Washington, DC 20423. Categories of individuals covered by the system: Administrative Law Judges and Attorney-Advisers who have been assigned to work on cases before the Commission--parties of record and parties to be advised of all proceedings.
Categories of records in the system: Contains the various processing stages that case passes through as it is reviewed by the Commission--contains Administrative Law Judge and Attorney-Adviser names who are responsible for various processing stages of the case-- contains the names of parties of record and parties to be advised of all proceedings--contain hearing locations, when applicable--contains carrier identity. Authority for maintenance of the system: Commission directive. Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Provides identification of all pending cases before the Commission--identifies older cases to expedite processing--identifies cases with normal time allowances--provides an area being processed within inventory of pending cases by stage of processing--identifies the responsible Administrative Law Judge or Attorney-Adviser and organizational unit responsible for various stages of case processing--identifies parties of record and parties to be advised of all proceedings for a given case--used to produce management reports located throughout the agency. In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto. The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular. Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual. Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage: Maintained on magnetic tape and computer disk files. Retrievability: Indexed by case and carrier identity and Administrative Law Judge or Attorney-Adviser name. Safeguards: Stored in secure computer facility. Data base access is under the supervision of a data base administrator. Retention and disposal: Records are maintained on each case until it has been decided. The record is then transferred to an inactive history file for permanent retention.
System manager(s) and address: Chief, Section of System Development Room B-411 Surface Transportation Board 12th and Constitution Avenue, NW, Washington, DC 20423
Notification procedure: Same as above. Record access procedures: Same as above.
Contesting record procedures: Same as above.
Record source categories: Carrier(s) involved, and commission staff.
Systems exempted from certain provisions of the act: None.
32-20-006
System name: Correspondence and Management Control, ICC.
System location: ICC Headquarters Bureaus and Offices Washington, DC., and Regional Detached Offices (49 CFR part 1001). Categories of individuals covered by the system: Names of assignments with a control slip, including due dates for either individuals or sections within various organizational elements of the Commission covering letters, memoranda, or other inquiries for which responsibility to reply exists, normal business production transactions, time frames, on special projects, and all aspects of overall correspondence and workload control, as well as individual signed records for government property accountability. Categories of records in the system: The overall Commission performance monitoring system incorporates a series of subsystems which identity the various measurements of productivity which are implicit in the operation of the Commission. Maintenance of records on the performance and the production of Branches, Sections, Offices and individual employees is necessary to enable the Commission effectively manage its work load. These records include the names of individuals assigned to specific activities, the dates of assignments, dates products received, name of signer for correspondence which is going out, and general evaluation criteria of the individual performance of the element being monitored. Authority for maintenance of the system: 49 U.S.C. 12, 18 Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Control of the production of the total employee force of the Surface Transportation Board and assurance that productivity is achieved by the employees assigned individual organizational elements. Additionally, to maintain a suspense on specific actions being levied upon an individual to assure that the response is timely, as well as qualitative. Used for control of government property assuring individual accountability. In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto. The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in the Circular. Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Both card, suspense special forms, and computer-related assignment records, are maintained to control the overall system. Maintained in sequence by the organizational element and/or the individual assigned to a special task, as well as cross-referenced by the number of the task involved.
Safeguards: Maintained at supervisory levels on an informal basis with access prohibited outside of the Commission.
Retention and disposal: One-year active operation and subsequently destroyed. System manager(s) and address: Managing Director Surface Transportation Board Room 2118 12th and Constitution Avenue, NW, Washington, DC 20423
Notification procedure: Same as above.
Record access procedures: Same as above.
Contesting record procedures: Same as above.
Record source categories: Employee.
Systems exempted from certain provisions of the act: None.
32-20-007
System name: Consumer Complaint System, ICC. System location: Public Information and Consumer Affairs Office, ICC, 12th and Constitution Avenue, NW, Washington, DC 20423. Headquarters, ICC Bureau and Offices, and Regional Detached Offices (49 CFR part 1001).
Categories of individuals covered by the system: Letters received from consumers and/or shippers regarding the operation of the ICC or carriers subject to its regulations.
Categories of records in the system: These records include letters on virtually every subject. They are concentrated in three areas: Complaints from individual consumers on household goods shipments, complaints from travelers on rail passenger facilities, and complaints from passengers on motor passenger facilities. Additionally, information on general subjects of the operation of the Surface Transportation Board and, specifically, shipper complaints against carrier practices and/or tariffs are included in overall complaint files. Files generally are accessed by name of individual complaining or subject of the complaint or name of the carrier against which the complaint is tendered. Notice is given that when complaints generate an investigative file portions of this overall file are extracted and exempted under the provisions and notice provided in the publication of ICC VIII, Preliminary Investigative Files, and ICC IX, Enforcement Files.
Authority for maintenance of the system: 49 U.S.C. 12, 18.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: To respond to complaints from individuals, to correlate information received from individuals to assure policies are developed supporting the overall public interest in the regulatory process, to provide information to carriers relative to shortcomings they are experiencing, and take informal compliance action, as well as to transfer the files to formal investigative or enforcement action, when justified. This is a public file available for public review under the terms of the Freedom of Information Act. Individuals submitting special complaint correspondence to the Commission, unless identifying their desire to remain anonymous, will not be protected from disclosure of the information contained within the complaint letter. In the event that a system of records maintained by this agency to carry its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in this 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 prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto. Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual. The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private legislation as set forth in OMB Circular No. A- 19 at any stage of the legislative coordination and clearance process as set forth in that Circular.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: In conventional file cabinets, alphabetically, by sender, and potentially by subject of complaint, dispersed for filing to office have primary operational use.
Retrievability: Maintained in alphabetical order, by complainant, with potential cross-index for identification of entity against which the complaint has been made, and further cross-reference by subject of complaint.
Safeguards: Minimal, since the files are public in nature. Retention and disposal: Maintained for approximately two years and then destroyed.
System manager(s) and address: Public Information Officer, ICC 12th and Constitution Avenue, NW, Washington, DC 20423
Notification procedure: Same as above. Record access procedures: Same as above.
Contesting record procedures: Same as above.
Record source categories: Consumers and/or shippers.
Systems exempted from certain provisions of the act: None.
32-20-008
System name: Preliminary Investigative Files, ICC.
System location: Bureau of Operations, Surface Transportation Board, 12th and Constitution Avenue, NW, Washington, DC 20423, and Regional Detached Offices (49 CFR part 1001).
Categories of individuals covered by the system: Suspected violators of the Interstate Commerce Act or ICC orders or regulations.
Categories of records in the system: These files contain information indicating or alleging that an individual or entity could be in violations of the Interstate Commerce Act. Such records could be arrest records from the various states received pursuant to Pub. L. 89-170, which allows cooperative agreements between the states and this Commission in the provision of information. For example, these files could contain warning letters involving alleged violations, miscellaneous correspondence, newspaper clippings, records of contacts with entities or individuals by Commission personnel, copies of preliminary investigation reports, and prior enforcement actions taken by the Surface Transportation Board or the courts because of violations of the Interstate Commerce Act.
Authority for maintenance of the system: 49 U.S.C. 12 Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Used employees of the Surface Transportation Board to administer the Act, increase compliance with orders, regulations and statutes for the regulation of surface transportation, and initiate appropriate enforcement action. In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto. The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular. Disclosure may be made to a congressional office from the record of an a individual in response to an inquiry from the congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Maintained in individual file folders.
Retrievability: Indexed by name of entity of individual.
Safeguards: Kept in locked file cabinets under direct control of responsible official.
Retention and disposal: Maintained for a minimum of five years and then destroyed.
System manager(s) and address: Washington, DC Director, Bureau of Operations Room 7115 Surface Transportation Board 12th and Constitution Ave. NW, Washington, DC 20423 Regional Detached Offices: Regional Managers (49 CFR part 1001) Field Offices: Officers in Charge (49 CFR part 1001)
Notification procedure: Same as above.
Record access procedures: Same as above.
Contesting record procedures: Same as above.
Record source categories: Author of letters. Systems exempted from certain provisions of the act: Under the provisions of section (j)(2), this file is exempted from any part of section 5 U.S.C. 552(a), except Subsections (b), (c) (1), and (2), (e)(4) (A) through (F), (e) (6), (7), (9), (10), and (11), and (i). This material is collected in the process of investigating all potential violations of the Interstate Commerce Act, whether civil or criminal, and is exempted for the reasons expressed in 5 U.S.C. 552(b)(7). Under the provisions of section (k)(2), this file is exempted from Subsections (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f). This material is collected in the process of investigating all potential violations of the Interstate Commerce Act, whether civil or criminal, and is exempted for the reasons expressed in 5 U.S.C. 552(b)(7).
32-20-009
System name: Investigative and Enforcement Records, Cross- Indexed, ICC. System location: Bureau of Enforcement (cross-indexed and central file) Surface transportation Board, 12th and Constitution Avenue, NW, Washington, DC 20423, and ICC Regional Offices (investigative files with assigned geographical jurisdiction).
Categories of individuals covered by the system: Individual, corporation, partnership or sole proprietorship, subject to enforcement actions being taken by the Surface Transportation Board as a result of preliminary investigations.
Categories of records in the system: The central cross-index contains the name and address of individual, partnership, corporation, or sole proprietorship, and includes a cross-reference to the enforcement file containing the investigative reports, as well as other information gathered as part of the criminal prosecution and/or civil forfeiture action. The basic cross-reference file does not contain significant information other than the name and address of the entity involved, but the cross-reference to the investigative file, which is maintained by case number, does provide access based upon individual name. Individual investigative and enforcement files are maintained by enforcement file number, both at Headquarters and Regions. Authority for maintenance of the system: 49 U.S.C 12.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Used to monitor and control the progress of enforcement actions, both within the Commission for civil forfeitures and in relationship with the Department of Justice on those actions that are going through the courts. The central cross index is the only practical method for access to the appropriate file based upon any individual identifier. Actual file information is used for prosecution of civil and criminal actions. In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant, records in the system of records may be referred as a routine use, to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, or regulation or order issued pursuant thereto. The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular.
Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Maintained on folding 5 inch by 8 inch index cards.
Retrievability: Indexed by individual, partnership, corporation, or sole proprietorship (index). Actual files retrieved by enforcement file number.
Safeguards: Stored in a special room of the Bureau of Enforcement with Commission employees present during all duty hours (index).
Retention and disposal: Cards are maintained in the active cross- reference and indexing file while the file is open and transferred to the closed card section after the file is concluded. System manager(s) and address: Assistant Director Bureau of Enforcement Surface Transportation Board 12th and Constitution Avenue, NW, Washington, DC 20423 Notification procedure: Same as above.
Record access procedures: Same as above. Contesting record procedures: Same as above.
Record source categories: Preliminary investigative files (ICC VIII). Systems exempted from certain provisions of the act: Under the provisions of section (j)(2), this file is exempted from any part of 5 U.S.C. 552(a) except Subsections (b), (c) (l) and (2), (e)(4) (A) through (F), (e) (6), (7), (9), (10) and (11), and (i). This material is collected in the process of investigating all potential violations of the Interstate Commerce Act, whether civil or criminal, and is exempted for the reasons expressed in 5 U.S.C. 552(b)(7). Under the provisions of section (k)(2) this file is exempted from subsections (c)(3), (d), (e)(4)(G), (l) and (f). This material is collected in the process of investigating all potential violations of the Interstate Commerce Act, whether civil or criminal, and is exempted for the reasons expressed in 5 U.S.C. 552(b)(7).
32-20-010
System name: ICC Employee Parking Permit Applications for Carpools, ICC.
System location: Section of Administrative Services, ICC, 12th and Constitution Avenue, NW, Washington, DC 20423. Categories of individuals covered by the system: All individuals applying for, or assigned, parking facilities. Categories of records in the system: ICC Form MD-21, Revised March 1975, Surface Transportation Board, Application for Parking Space, Contents: Carpool member names, home address, office telephone number, bureau or office, service computation date, vehicle license number, distance between residence and ICC and the name of the employer. Authority for maintenance of the system: FDMR Temporary Regulations D-47, May 22, 1974.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Use is to maintain control of assigned parking spaces. In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use, to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order is issued pursuant thereto. The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular. Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Maintained on 5 inch by 8 inch cards. Retrievability: Indexed by location of parking space, number of carpool members and order of parking permit number. Safeguards: Secured in locked metal, lateral file cabinet under the supervision of the space and services unit.
Retention and disposal: Cards are maintained for a three-year period and then discarded.
System manager(s) and address: Chief, Building Services, Space Management Branch Room 1315 Surface Transportation Board 12th and Constitution Avenue, NW, Washington, DC 20423
Notification procedure: Same as above.
Record access procedures: Same as above.
Contesting record procedures: Same as above.
Record source categories: Individuals seeking parking facilities.
Systems exempted from certain provisions of the act: None.
32-20-011
System name: ICC Indentification System File.
System location: Surface Transportation Board, Section of Administrative Services, 12th and Constitution Avenue, NW, Washington, DC 20423. Categories of individuals covered by the system: A. All ICC Headquarters employees. B. All nongovernment employees requiring access to office space occupied in the ICC Headquarters Building in Washington, DC. C. All ICC employees issued investigative credentials. Categories of records in the system: A. Name, date of birth, social security number. B. Name, organization (firm), social security number. C. Name, title, Bureau or Office, credential number.
Authority for maintenance of the system: 49 CFR 1000.5. Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Control of ICC Identification System. In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, to 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. The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular.
Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage: A. 8 inch by 10 inch log book. B. 5 inch by 8 inch sheets. C. 5 inch by 8 inch sheet. Retrievability: A. Indexed by date issued. B. Indexed by organization and date issued. C. Indexed by Bureau or Office and credential number. Safeguards: All three segments of the identification system are stored in the Section of Administrative Services under the supervision of the Space and Services Unit. Retention and disposal: A. Maintained two years after completion of log book, then destroyed. B. Maintained for two years after which cards are destroyed. C. Maintained until credential is returned and destroyed or marked retired upon separation of employee. Inactive records are stored two years and discarded. System manager(s) and address: Chief, Building Services, Space Management Branch Section of Administrative Services Surface Transportation Board 12th and Constitution Avenue, NW, Washington, DC 20423
Notification procedure: Same as above.
Record access procedures: Same as above.
Contesting record procedures: Same as above.
Record source categories: Employee.
Systems exempted from certain provisions of the act: None.
32-20-012
System name: Employee Travel Records, ICC.
System location: Budget and Fiscal Office, ICC, 12th and Constitution Avenue, NW, Washington, DC 20423. Categories of individuals covered by the system: ICC employees.
Categories of records in the system: The record consists primarily of a series of standard and Commission forms and index file cards designed to record pertinent travel information. The information usually includes the employee's name, address, and organization, the mode, purpose, dates and places of travel, the method and amount of reimbursement and the amount of travel advance outstanding. Authority for maintenance of the system: 49 U.S.C. 18. Routine uses of records maintained in the system, including categories of users and the purposes of such uses: The records are available for any use by any person. The Commission uses these records to establish approval for travel on official business, the reimbursement of the employee for approved expenses, control of annual budget estimates, input to the Commission's internal accounting system and periodic and special reports required by agencies outside the Commission, and the compilation of information for internal management purposes. Portions of the file are made available to Commission management personnel for monitoring assigned functional and geographical areas of responsibility. In the event that a system of records maintained by this agency to carry out its functions indicates a violation or potential violation of law, whether civil, criminal or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule or order issued pursuant thereto, the relevant records in the system of records may be referred, as a routine use to the appropriate agency, whether Federal, state, local or foreign, charged with the responsibility of investigating or prosecuting such violation or charged with enforcing or implementing the statute, or rule, regulation or order issued pursuant thereto. The information contained in this system of records will be disclosed to the Office of Management and Budget in connection with the review of private relief legislation as set forth in OMB Circular No. A-19 at any stage of the legislative coordination and clearance process as set forth in that Circular. Disclosure may be made to a congressional office from the record of an individual in response to an inquiry from the congressional office made at the request of that individual.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: Maintained in individual file folders.
Retrievability: Indexed by employee name. Safeguards: Kept in locked file cabinet under supervision of Budget and Fiscal Officer.
Retention and disposal: Records are destroyed in accordance with GSA retention schedules.
System manager(s) and address: Chief, Budget and Fiscal Office Room 1330 Surface Transportation Board 12th and Constitution Avenue, NW, Washington, DC 20423.
Notification procedure: Same as above.
Record access procedures: Same as above.
Contesting record procedures: Same as above.
Record source categories: Employee.
Systems exempted from certain provisions of the act: None.
32-20-0013
System name: Identification and Measurement of Minority and Female Owned Motor Carriers. System location: ICC Headquarters, Washington, DC. Categories of individuals covered by the system: Minority and female owned motor carriers. Categories of records in the system: Questionnaires are mailed to all ICC regulated carriers and to each new applicant for authority. This data is compiled into a register which serves as a useful means of communicating with minority firms already in or interested in entering the trucking business.
Authority for maintenance of the system: 5 U.S.C. 553 and 49 U.S.C. 10101 and 10321.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: This information will be made available to the Commission and the Congress, as well as to other agencies and organizations, to assist in designing and delivering programs to address the specific needs of these firms. Participation in this data collection program is voluntary. Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system: Storage: Maintained on magnetic tape. Retrievability: Indexed by name. Safeguards: Kept in locked file cabinet under direct control of responsible official.
Retention and disposal: To be retained for an unlimited period of time. System manager(s) and address: Chief Section of Systems Development, B-411, Surface Transportation Board, 12th and Constitution Avenue NW, Washington, DC 20423. Notification procedure: Same as above.
Record access procedures: Same as above.
Contesting record procedures: Same as above.
Record source categories: Licensees and applicants.
Systems exempted from certain provisions of the act: None.
32-20-0014
System name: Fee Billing and Collection System.
System location: Surface Transportation Board, Budget and Fiscal Office, Room 1330, 12th and Constitution Avenue, NW, Washington, DC 20423.
Categories of individuals covered by the system: Individuals or entities that hold fee billing accounts.
Categories of records in the system: Individual or entities submit Form ICC-1032 to request establishment of an account for fee billing purposes. Files contain a record of charges, including applicable interest, penalties and administrative charges and payments for fee billing accounts. File include correspondence and other documentation relating to collection activities of the ICC. The files may include financial information obtained from credit bureaus of developed by ICC field staff.
Authority for maintenance of the system: The authority for maintenance of the system is found in 49 USC 10321, 31 USC 3711 et seq. and 9701.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Maintaining a recordkeeping and accounting system to record changes, including applicable interest, penalties and administrative charges, and payments for fee billing accounts. The information in the system of records may be provided to other federal agencies and entities including but not limited to the Internal Revenue Service, the General Accounting Office, and the Department of Justice. The information also may be provided to credit bureaus and debt collection contractors, as authorized by the Debt Collection Act of 1982, 31 USC 3711, et seq.
Policies and practices for storing, retrieving accessing, retaining, and disposing of records in the system:
Storage: The Budget and Fiscal files consist of paper records maintained in folders, and on automated data storage devices and magnetic computer discs Files are secured at all times.
Retrievability: Indexed in data base by account number and name of account holder. Paper records filed by account number.
Safeguards: Access to the records is limited to authorized staff in the Budget and Fiscal Office and to other authorized officials or employees of the ICC on a need-to-know basis as determined by the Budget and Fiscal Office. All records are kept in limited access areas during duty hours and in locked files at all other times.
Retention and disposal: To be retained for 5 years. System manager(s) and address: Surface Transportation Board, Chief, Budget and Fiscal Office, Room 1330, 12th and Constitution Avenue, NW, Washington, DC 20423.
Notification procedures: See 49 CFR part 1007.
Record access procedures: See 49 CFR part 1007.
Contesting record procedures: See 49 CFR part 1007.
Record source categories: Account holders, credit bureaus, ICC field staff.
Systems exempted from certain provisions of the act: None.
32-20-0015
System name: OIG Complaint and Investigative Files.
System location: OIG, ICC. Room 2121, Washington, DC 20423.
Categories of individuals covered by the system: Individuals involved in complaints reported to and investigations conducted by the OIG relating to the programs and operations of the ICC.
Categories of records in the system: Files containing information relevant to complaints and investigations. Files include all relevant correspondence, internal staff memoranda, copies of all subpoenas issued, affidavits, witness statements, transcripts of testimony and accompanying exhibits, working papers of the staff, and any other reports, documents, and records. These records are used as a basis for the issuance of subpoenas, suitability determinations, and civil, criminal, and administrative actions.
Authority for maintenance of the system: The authority for maintenance of the system is found under the Inspector General Act Amendments of 1988, Pub. L. 100-504, 102 Stat. 251 (amending 5 U.S.C. App. 3 (1978)). Routine uses of records maintained in the system, including categories of users and the purposes of such uses: In addition to the disclosures generally permitted under 5 U.S.C. 552a(b), these records or information in these records may specifically be disclosed pursuant to 5 U.S.C. 552a(b)(3) as follows, provided that no routine use specified herein shall be construed to limit or waive any other routine use specified herein: (1) To other agencies, offices, establishments, and authorities, whether federal, state, local, foreign, or self-regulatory (including, but not limited to, organizations such as professional associations or licensing boards), authorized or with the responsibility to investigate, litigate, prosecute, enforce, or implement a statute, rule, regulation, or order, where the record or information, by itself or in connection with other records or information: (a) Indicates a violation or potential violation of law, whether criminal, civil, administrative, or regulatory in nature, and whether arising by general statute or particular program statute, or by regulation, rule, or order issued pursuant thereto, or (b) Indicates a violation or potential violation of a professional, licensing, or similar regulation, rule or order, or otherwise reflects on the qualifications or fitness of an individual who is licensed or seeking to be licensed; (2) To any source, private or governmental, to the extent necessary to secure from such source information relevant to and sought in furtherance of a legitimate investigation or audit; (3) To agencies, offices, or establishments of the executive, legislative, or judicial branches of the federal or state government: (a) Where such agency, office, or establishment has an interest in the individual for employment purposes, including a security clearance or determination as to access to classified information, and needs to evaluate the individual's qualifications, suitability, or loyalty to the United States Government, or (b) Where an agency, office, or establishment conducts an investigation of the individual for purposes of granting a security clearance, or making a determination of qualifications, suitability, or loyalty to the United States Government or access to classified information or restricted areas, or (c) Where the records or information in those records are relevant and necessary to a decision with regard to the hiring or retention of an employee or disciplinary or other administrative action concerning the employee, or (d) Where disclosure is requested in connection with the award of a contract or other determination relating to a government procurement, or the issuance of a license, grant, or other benefit by the requesting agency, to the extent that the record is relevant and necessary to the requesting agency's decision on the matter, including but not limited to, disclosure to any Federal agency responsible for considering suspension or debarment action where such record would be germane to a determination of the propriety or necessity of such action, or disclosure to the United States General Accounting Office, the General Services Administration Board of Contract Appeals, or any other Federal contract board of appeals in cases relating to an agency procurement; (4) To the Office of Personnel Management, the Office of Government Ethics, the Merit Systems Protection Board, the Office of Special Counsel, the Equal Employment Opportunity Commission, or the Federal Labor Relations Authority or its General Counsel, of records or portions thereof relevant and necessary to carry out their authorized functions, such as, but not limited to, rendering advice requested by the OIG, investigations of alleged or prohibited personnel practices (including unfair labor or discriminatory practices), appeals before official agencies, offices, panels or boards, and authorized studies or reviews of civil service or merit systems or affirmative action programs; (5) To independent auditors or other private firms with which the OIG has contracted to carry out an independent audit or investigation, or to analyze, collate, aggregate or otherwise refine data collected in the system of records, subject to the requirement that such contractors shall maintain Privacy Act safeguards with respect to such records; (6) To any authorized component of the ICC, the Department of Justice, or other law enforcement authority, and for disclosure by such parties: (a) To the extent relevant and necessary in connection with litigation in proceedings before a court or other adjudicative body, where (i) the United States is a party to or has an interest in the litigation, including where the ICC, or an ICC component, or an ICC official or employee in his or her official capacity, or an individual ICC official or employee whom the Department of Justice has agreed to represent, is or may likely become a party, and (ii) the ligation is likely to affect the agency or any component thereof, or (b) For purposes of obtaining advice, including advice concerning the accessibility of a record or information under the Privacy Act or the Freedom of Information Act: (7) To the National Archives and Record Administration for records management inspections conducted under authority of 44 U.S.C. 2904 and 2096; (8) To a Congressional office from the record of a subject individual in response to an inquiry from the Congressional office made at the request of the individual, but only to the extent that the record would be legally accessible to that individual; (9) To any direct recipient of federal funds, such as a contractor, where such record reflects serious inadequacies with a recipient's personnel and disclosure of the record if for purpose of permitting a recipient to take corrective action beneficial to the Government; (10) To debt collection contractors for the purposes of collecting debts owed to the Government, as authorized under the Debt Collection Act of 1982, 31 U.S.C. 3718, and subject to applicable Privacy Act safeguards; (11) To a grand jury pursuant either to a federal or state grand jury subpoena, or to a prosecution request that such record be released for the purposes of its introduction to a grand jury where subpoena or request has been specifically approved by a court; (12) To OMB for the purposes of obtaining advice regarding ICC obligations under the Privacy Act or (13) To the Secretary of the ICC for the purpose of placing any ex parte communication, which has not already been reported to the Secretary pursuant to 49 CFR 1102.2(e), in the correspondence section of the appropriate public docket.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: The OIG files consist of paper records maintained in binders or folders, and on automated data storage devices. Files are secured at all times.
Retrievability: Indexed on disk by case number. Paper records are filed numerically by case number. At this time, records are not cross- indexed by name and/or by subject but are expected to be retrieved in this fashion in the near future. Safeguards: Access control: Access to the records is limited to authorized staff in OIG and to other authorized officials or employees of ICC on a need-to-know basis as determined by the OIG. All records are kept in limited access areas during duty hours and in locked files at all other times.
Retention and disposal: To be retained for an unlimited period of time.
System manager(s) and address: Inspector General, OIG, ICC, Room 2121, Washington, DC 20423. Notification procedure: See 49 CFR part 1007. Record access procedure: Same as above. Contesting record procedure: Same as above. Record source categories: Information in these records is obtained from all individuals and entities who may assist OIG in evaluating complaints and conducting investigations authorized by Pub. L. 100-504.
Systems exempted from certain provisions of the act: This system is exempted from 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), under 552a(j)(2) to the extent the system of records pertains to the enforcement of criminal laws; and is exempted from 5 U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), (I), and (f) under 5 U.S.C. 552a(k)(2), to the extent the system of records consists of investigatory materials compiled for law enforcement purposes, other than that material within the scope of the exemption at 5 U.S.C. 552a(j)(2). 5 U.S.C. App. 3 (1978) prohibits disclosure by the OIG of the identity of any employee, without the consent of the employee, who submits a complaint or provides information concerning the possible existence of an activity constituting a violation of law, rules or regulations, or mismanagement, gross waste of funds, abuse of authority, or a substantial and specific danger to the public health or safety.