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


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       Records are maintained in a file cabinet in a locked room, with 
   24 hour building security guards.
     Retention and disposal: 
       Records voided upon update or parking permit cancellation. Files 
   destroyed after second overall reallocation of permits.
     System manager(s) and address: 
       Director, Office of Administrative 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: Secretary, Federal Maritime Commission, 800 North 
   Capitol Street NW, Washington, DC 20573-0001.
     Record access procedures: 
       Requests for access to a record should be directed to the 
   Secretary listed at the above address. Requests may be in person or 
   by mail and shall meet the requirements set out in section 503.65 of 
   title 46 of the Code of Federal Regulations.
     Contesting record procedures: 
       An individual desiring to amend a record shall direct such 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: 
       Individuals to whom the records pertain.

   #.. FMC-24

   #....System name: Informal Inquiries and Complaints Files-FMC.

     System location: 
       Office of Informal Inquiries and Complaints, Federal Maritime 
   Commission, 800 North Capitol Street NW, Washington, DC 20573-0001.
     Categories of individuals covered by the system: 
       Consumers complaining against business entities regulated by the 
   Commission.
     Categories of records in the system: 
       Copies of complaints and correspondence developed in their 
   resolution, complaint tracking logs; and maintained on the 
   Commission's local area network.
     Authority for maintenance of the system: 
       Executive Order 12160, September 26, 1979.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Information in this system of records is used or may be used: 1. 
   To determine whether a complaint can be resolved by staff in various 
   bureaus and offices. 2. To determine whether a complaint can be 
   resolved by a business entity regulated by the Commission. 3. To 
   determine whether the complaint can be resolved by reference to 
   another agency at the Federal, State or local level. 4. To provide 
   information to the Commission on developments or trends in the 
   character of complaints which might suggest policy directions, 
   proposed rules or programs.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system: 
     Storage: 
       Physical records are maintained in file folders; the electronic 
   database is maintained on the Commission's local area network.
     Retrievability: 
       Physical and electronic records are serially numbered and indexed 
   by complainant and defendant.
     Safeguards: 
       Physical records are maintained in locked file cabinets; access 
   to electronic records is password protected.
     Retention and disposal: 
       Records are maintained by the Federal Maritime Commission for 
   four years, then destroyed. The electronic summary database is 
   permanently maintained.
     System manager(s) and address: 
       Director, Office of Informal Inquiries and Complaints, Federal 
   Maritime Commission, 800 North Capitol Street NW, Washington, DC 
   20573-0001.
     Notification procedure: 
       All inquiries regarding this system of records should be 
   addressed to: Secretary, Federal Maritime Commission, 800 North 
   Capitol Street NW, Washington, DC 20573-0001
     Record access procedures: 
       Requests for access to a record should be directed to the 
   Secretary listed at the above address. Requests may be in person or 
   by mail and shall meet the requirements set out in section 503.65 of 
   title 46 of the Code of Federal Regulations.
     Contesting record procedures: 
       An individual desiring to amend a record shall direct such 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: 
       Consumers who have filed complaints.
     Systems exempted from certain provisions of the act: 
        All information that meets the criteria of 5 U.S.C. 552a(k)(2) 
   regarding investigatory material compiled for law enforcement 
   purposes is exempt from the provisions of 5 U.S.C. 552a(c)(3), (d), 
   (e)(1), (e)(4)(G), (H), and (I), and (f). Exemption is appropriate to 
   avoid compromise of ongoing investigations, dislclosure of the 
   identity of confidential sources and unwarranted invasions of 
   personal privacy of third parties.

   #..FMC-25

   #....System name: 

       Inspector General File.
     System location: 
       Office of The Inspector General, Federal Maritime Commission, 800 
   North Capitol Street, NW, Washington, DC 20573-0001.
     Categories of individuals covered by the system: 
       Individuals and entities who are or have been the subjects of 
   investigations conducted by the OIG, including present and former FMC 
   employees; consultants, contractors, and subcontractors and their 
   employees; and other individuals and entities doing business with the 
   FMC.
     Categories of records in the system: 
       A. Investigative Case Files
       1. Case Index. Selected information from each case file indexed 
   by case file number, and case title which may include names of 
   subjects of investigations.
       2. Hard Copy Files. Case files developed during investigations of 
   known or alleged fraud and abuse and irregularities and violations of 
   laws and regulations. Cases relate to agency personnel and programs 
   and operations administered by the agency, including contractors and 
   others having a relationship with the agency. Files consist of 
   investigative reports and related documents, such as correspondence, 
   internal staff memoranda, copies of all subpoenas issued during the 
   investigation, affidavits, statements from witnesses, transcripts of 
   testimony taken in the investigation and accompanying exhibits, 
   notes, attachments, and working papers. Files containing information 
   or allegations which are of an investigative nature but do not relate 
   to a specific investigation.
       B. Hotline Complaints
       1. Hotline Index. Selected information from each hotline 
   complaint file indexed by hotline case number and title which may 
   include names of subject of hotline complaint.
       2. Hard Copy Files. Information obtained from hotline 
   complainants reporting indications of waste, fraud, and 
   mismanagement. Specific information to include name and address of 
   complainant, date complaint received, program area, nature and 
   subject of complaint, and any additional contacts and specific 
   information provided by the complainant. Information on OIG 
   disposition.
     Authority for maintenance of the system: 
       The Inspector General Act of 1978 (5 U.S.C. App. 3), as amended 
   by Pub. L. 100-504; 44 U.S.C. 3101 et seq.; Commission Order No. 113.
   Purpose(s): 
       The records maintained in the system are used by the OIG in 
   furtherance of the responsibilities of the Inspector General, 
   pursuant to the Inspector General Act of 1978, as amended, to conduct 
   and supervise audits and investigations relating to programs and 
   operations of the FMC; to promote economy, efficiency, and 
   effectiveness in the administration of such programs and operations; 
   and to prevent and detect fraud and abuse in such programs and 
   operations.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       The records in the system may be used and disseminated to further 
   the purposes described above. The following routine uses apply to the 
   records maintained in this system:
       A. A record may be disclosed to an individual, or to a Federal, 
   State, local, or international agency when necessary to further the 
   ends of a legitimate investigation or audit.
       B. A record which indicates either by itself or in combination 
   with other information within the agency's possession, 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 rule, regulation, or order issued pursuant thereto, or 
   which indicates a violation or potential violation of a contract, may 
   be disclosed to the appropriate agency, whether Federal, State, 
   local, or international, charged with the responsibility of 
   investigating or prosecuting such violation, or of enforcing or 
   implementing the statute, or rule, regulation, or order issued 
   pursuant thereto, or of enforcing the contract.
       C. A record may be disclosed to a Federal, State, local or 
   international agency, in response to its request, in connection with 
   the assignment, hiring, or retention of an individual, the issuance 
   of a security clearance, the reporting of an investigation of an 
   individual, the letting of a contract, or the issuance of a license, 
   grant, or other benefit by the requesting agency, to the extent that 
   the information is relevant and necessary to the requesting agency's 
   decision on the matter.
       D. A record may be disclosed to a Member of Congress who submits 
   an inquiry on behalf of an individual, when the Member of Congress 
   informs the FMC that the individual to whom the record pertains has 
   authorized the Member of Congress to have access to the record. In 
   such cases, the Member of Congress has no more right to the record 
   than does the individual.
       E. A record may be disclosed to the Office of Government Ethics 
   for any purpose consistent with that Office's mission, including the 
   compilation of statistical data.
       F. A record may be disclosed to the U.S. Department of Justice in 
   order to obtain that Department's advice regarding an agency's 
   disclosure obligation under the Freedom of Information Act.
       G. A record may be disclosed to the Office of Management and 
   Budget in order to obtain that Office's advice regarding an agency's 
   obligations under the Privacy Act.
       H. A record may be disclosed to a grand jury agent pursuant 
   either to a federal or state grand jury subpoena or to a prosecution 
   request that such record be released for the purpose of its 
   introduction to a grand jury.
       I. A record may be disclosed to a ``consumer reporting agency'' 
   as that term is defined in the Fair Credit Reporting Act and the 
   Federal Claims Collection Act of 1966 in accordance with section 
   3711(f) of 31 U.S.C. and for the purposes of obtaining information in 
   the course of an investigation or audit.
     Policies and practices for storing, retrieving, accessing, 
   retaining, and disposing of records in the system:  
     Storage: 
       The investigative case index and the hotline case index are 
   stored on a hard disk on a personal computer. The hard copy files are 
   stored in file folders. All records are stored under secured 
   conditions.
     Retrievability: 
       Records in the investigative and hotline case index are retrieved 
   by case title which may include the name of the subject of an 
   investigation and by case number. Records in the hard copy files are 
   retrieved by case numbers.
     Safeguards: 
       Direct access is limited to authorized staff of the OIG. 
   Additional access within FMC is limited to authorized officials on a 
   need-to-know basis. All records, when not in a possession of an 
   authorized individual are stored in locked cabinets or a locked, 
   standalone, personal computer in a locked room.
     Retention dand disposal:
       1. Files containing information or allegations which are of an 
   investigative nature but do not relate to a specific inveastigation 
   are retained for ten years.
       2. Other investigative case files are retained for fifteen years.
     System manager(s) and address: 
       Inspector General, Office of The Inspector General, Federal 
   Maritime Commission, Room 1072, 800 North Capitol Street, NW, 
   Washington, DC 20573-0001.
     Notification procedure: 
       All inquiries regarding this system of records should be 
   addressed to: Secretary, Federal Maritime Commission, 800 North 
   Capitol Street, NW, Washington, DC 20573-0001. However, see Exemption 
   section below.
     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. However, see Exemption 
   section below.
     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. However, see Exemption section below.
     Record source categories: 
       Agency employees, reports and contracts from other agencies, and 
   internal and external documents.
     Systems exempted from certain provisions of the act: 
       All information that meets the criteria of 5 U.S.C. 552a(k)(2) 
   regarding investigatory materials compiled for law enforcement 
   purposes is exempt from the provisions of 5 U.S.C. 552a(c)(3), (d), 
   (e)(1), (e)(4)(G), (H), and (I), and (f). Exemption is appropriate to 
   avoid compromise of ongoing investigations, disclosure of the 
   identity of confidential sources and unwarranted invasions of 
   personal privacy of third parties.
       All information about individuals that meets the criteria of 5 
   U.S.C. 552a(k)(5), regarding suitability, eligibility or 
   qualifications for Federal civilian employment or for access to 
   classified information, to the extent that disclosure would reveal 
   the identity of a source who furnished information to the Commission 
   under a promise of confidentiality is exempt from the provisions of 5 
   U.S.C. 552a(c)(3), (d), (e)(1), (e)(4)(G), (H), and (I), and (f). 
   Exemption is required to honor promises of confidentiality.
       All information meeting the criteria of 5 U.S.C. 552a(j)(2) 
   pertaining to the enforcement of criminal laws is exempt from the 
   provisions of 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). 
   Exemption is appropriate to avoid compromise of ongoing 
   investigations, disclosure of the identity of confidential sources 
   and unwarranted invasions of personal privacy of third parties.

   #.. FMC-26

   #....System name: Administrative Grievance File-FMC.

     System location: 
       Office of Personnel, Federal Maritime Commission, 800 North 
   Capitol Street NW, Washington, DC 20573-0001.
     Categories of individuals covered by the system: 
       Any employee of the Federal Maritime Commission including any 
   former employee for whom a remedy can be provided (subject to the 
   exclusions in 5 CFR 771.206(b)) who has filed a grievance with the 
   agency (alleging that coercion, reprisal, or retaliation has been 
   practiced against him or her).
     Categories of records in the system: 
       Administrative Grievance Files contain all documents related to a 
   particular grievance, including but not limited to any statements of 
   witnesses, records or copies thereof, the report of the hearing when 
   one is held, statements made by the parties to the grievance, and the 
   decision.
     Authority for maintenance of the system: 
       5 U.S.C. 1302, 3301, 3302, 7301, E.O. 9830, 3 CFR 1943-1948 
   Comp., pp. 606-624; E.O. 11222, 3 CFR 2964-2969 Comp., p. 306., 5 CFR 
   293.202.
     Routine uses of records maintained in the system, including 
   categories of users and the purposes of such uses: 
       Information in this system of records is used or may be used: 1. 

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