Privacy Act: [ 32-20-003] Unit Medical Records, ICC....

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INTERSTATE COMMERCE COMMISSION

TABLE OF CONTENTS

32-20-001 Operating Personnel Files (Nonpermanent Records).
32-20-002 National Defense Executive Reserve Files.
32-20-003 Unit Medical Records.
32-20-004 Automated Personnel and Payroll System.
32-20-005 Case Status System (Formal Case Control).
32-20-006 Correspondence and Management Control.
32-20-007 Consumer Complaint System.
32-20-008 Preliminary Investigation Files.
32-20-009 Investigative and Enforcement Records, Cross-indexed.
32-20-010 ICC Employees Parking Permit Applications for Carpools.
32-20-011 ICC Identification System File.
32-20-012 Employer Travel Records.
32-20-013 Identification and Measurement of Minority and Female Owned 
          Motor Carriers.
32-20-0014 Fee Billing and Collection System.
32-20-0015 OIG Complaint and Investigative Files.

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INTERSTATE COMMERCE COMMISSION

 32-20-001

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.

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INTERSTATE COMMERCE COMMISSION

 32-20-002

System name: National Defense Executive Reserve Files, ICC.

System location: Recruitment and Assignment Files Bureau of Operations, 
    Interstate Commerce Commission, 12th and Constitution Avenue, NW, 
    Washington, DC 20423. Appointment Files Personnel Office, Interstate 
    Commerce Commission, 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
    Interstate Commerce Commission
    12th and Constitution Avenue, NW,
    Washington, DC 20423

    Appointment files
    Director of Personnel
    Interstate Commerce Commission
    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.

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INTERSTATE COMMERCE COMMISSION

 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
    Interstate Commerce Commission
    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.

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INTERSTATE COMMERCE COMMISSION

 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.

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