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.
32-20-0014
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.
Last updated: 3/11/2009