Item Description of records ADMINISTRATIVE, FINANCIAL, AND STATISTICAL REPORTS-Continued Period to be retained 312 313 Monthly or periodical statements of estimated or approximate revenues and expenses, Optional. Do. 314 Monthly or other periodical statements of tonnage handled, by tons, ton-miles, com- 2 years. 315 316 Monthly or other periodical statements of performances of locomotives. Monthly or other periodical statements of car-miles, train-miles, and movements of Do. Do. 317 Monthly or other periodical statements of employees by duties, days, compensation, or Do. 318 Monthly or other periodical statements of passenger traffic, by number of passengers, Do. Do. 319 320 330 331 332 333 334 335 336 337 Working papers or records on which are assembled figures for records covered by items Miscellaneous statistical reports, statements, and summaries used for administrative Records of employees: MISCELLANEOUS (a) Applications for employment, reports and certificates of examinations, service (b) Applications for employment and replies thereto not resulting in employment Instructions to agents and others: (a) Books and circulars of instructions to agents and others, in the general file of (b) Surplus copies of books and circulars of instructions and copies in other depart- Land, industrial, and immigration department records: (a) Reports, records, and correspondence containing inquiries from and replies (c) Agents' periodical field or work reports. (d) Periodical reports from agents, industries, and others, furnishing data for Provident department records: Records of provident departments, such as employees' relief, hospital, insurance NOTE: The records pertaining to the receipt and disbursement of funds must be retained for the same periods as are provided for similar records elsewhere in this order. Correspondence: (a) Correspondence and records thereof relating to subjects listed in items 1 to 333 (b) Operators' copies of telegrams, including relay copies, if the original or other (c) Stenographers' notebooks and phonograph and other mechanical device records, Data processing: Tabulating cards, tapes, and other media used in the compilation of accounts and (a) Duplicate copies of records and documents covered by items 231-233; 237-239; (b) Duplicates of other accounts, records, and memoranda listed in these regulations The official record of records and documents destroyed (see §110.5). (22 FR. 7140, Sept. 6, 1957, as amended at 30 F.R. 12550, Sept. 24, 1965] SOURCE: The provisions of this Subpart B appear at 11 F.R. 8122, July 27, 1946, unless otherwise noted. § 110.20 General authority to destroy records. Electric railway companies subject to Part I of the Interstate Commerce Act may destroy accounts, records, or memoranda named or described in this part, if their permanent retention is not therein specifically required, after preservation for the respective periods of time hereinafter prescribed and upon compliance with requirements of this part. Authority contained in this part shall not, however, exempt an electric railway company from any statutory requirements other than the provisions of section 20 (7) (b) of the Interstate Commerce Act, as amended, relating to the destruction of carriers' accounts, records, and memoranda. [14 F. R. 3853, July 13, 1949] § 110.20-1 Special permission to destroy records. The destruction of all accounts, records, and memoranda of electric railway companies, except as specifically provided in this part, is prohibited under penalties contained in section 20(7) (b) of the Interstate Commerce Act, as amended. However, an electric railway company proposing to destroy accounts, records, or memoranda not hereinafter named or described, or proposing to photograph and destroy accounts, records, or memoranda specifically restricted by or excluded from the provisions of § 110.21, may apply to the Commission for special authority to accomplish either such purpose. Such applications shall state a full and detailed description of the accounts, records, or memoranda in question, clearly explaining their character, their use, and their purpose, and such special authority will not be granted except on a showing that the regulations impose an unreasonable burden. [14 F. R. 3853, July 13, 1949] § 110.21 Preservation by photography. Accounts, records, and memoranda named or described in § 110.31, which have been photographed for preservation by any standard process meeting the requirements of § 110.21-2, may be de 91 Annual reports to stockholders, file copies of. 95 Correspondence. (This exclusion shall apply only to correspondence which relates to excluded accounts and records.) (c) All accounts, records, and memoranda included in the following items of § 110.31, other than those required by paragraph (b) of this section to be retained permanently, or those which may be destroyed at the carrier's option.. shall be retained in their original form not less than two years, or not less than the period prescribed in § 110.31 where such prescribed period is shorter than two years: 75 Agency records. Conductors' original records and reports. 78-79 Transportation records. .80 Operating department records. 192 Periodical statistical statements of operating results. 94 Data relating to the destruction of records. 95 Correspondence, if pertaining to accounts or records required to be retained two years in original form. (14 F. R. 3853, July 13, 1949] § 110.21-2 Photographic processes. (a) Photographic processes used for preservation of accounts, records, or memoranda must produce copies without significant loss of clarity, and the material to be photographed shall be sorted in an orderly manner and shall be adequately indexed. Photographic copies shall be no less readily accessible than the original account, record, or memorandum as normally filed or preserved would be, and suitable means or facilities shall be available to locate, identify, read, or reproduce such photographic copies. Upon request by the Commission's representatives, carriers shall furnish prints, enlarged to original size, of any accounts, records, or memoranda which have been photographed for preservation. (b) Any significant characteristic, feature, or other attribute of the original record or document, which photography in black and white will not preserve, shall be clearly indicated before the photograph is made. The reverse side of printed forms need not be copied if nothing has been added to the printed matter common to all such forms, but an identified specimen of such form shall be on the film for reference. (c) Film used for preservation of photographic copies shall be of perma nent-record type meeting in all respects the minimum specifications of the National Bureau of Standards, and all processes recommended by the manufacturer of such film shall be observed to protect it from deterioration or accidental destruction. [14 F. R. 3853, July 13, 1949] § 110.22 Officer having supervision of destruction. (a) An officer or, where necessary, two officers shall be appointed by the company's board of directors to have supervision over the destruction of all accounts, records, and memoranda. Such officer or officers may be given (1) general supervision over the destruction of all accounts, records, and memoranda the destruction of which is permitted by the regulations in this subpart or (2) authority over the destruction of such accounts, records, and memoranda as may be specified by the board of directors. Pending confirmation by the board of directors, a temporary appointment by an executive committee, or by a similarly authorized committee of the board of directors, shall have the same effect as if made by the board of directors. A copy of the resolution of appointment shall be filed with the Commission before accounts, records, or memoranda may be destroyed pursuant thereto. (b) If an electric railway is in the hands of a trustee, receiver, executor, administrator, or assignee, the officer or officers to have supervision over the destruction of accounts, records, and memoranda shall be designated by the trustee, receiver, executor, administrator, or assignee. A copy of the order designating such officer or officers shall be filed with the Commission before accounts, records, or memoranda may be destroyed pursuant thereto. (c) In designating an officer or officers to have general supervision over the destruction of accounts, records, and memoranda it is preferable to designate by title only, rather than by name and title, and thus obviate the necessity for a new resolution or order each time a successor in the office is appointed. § 110.23 Written authority of supervising officer. (a) When any accounts, records or memoranda are to be destroyed, the officer having supervision over the destruction of accounts, records, and memoranda (as designated in § 110.22(a) or § 110.22(b) shall issue a written authority naming the person or persons by whom the accounts, records, or memoranda are to be destroyed (except as provided in § 110.30 (b)). (b) The written authority (1) may be confined to certain accounts, records, and memoranda which have been retained for the periods of time specified in this subpart and which the carrier proposes to destroy, in which case the authority shall specify: (i) A list of the accounts, records, and memoranda to be destroyed, expressed either in form numbers or by descriptive titles; and, (ii) the period or periods covered by the accounts, records, and memoranda the destruction of which is authorized; or (2) May be of continuing effect, applying to any or all the accounts, records, or memoranda named herein as the periods of retention of such accounts, records, or memoranda attain the limits specified herein. (c) Such written authority, or a certified copy thereof shall be filed in the office of the issuing officer as a permanent part of the company's records. Copies of the specific written authorities need not be filed with the Commission. § 110.24 Certificates of destruction. (a) The person or persons by whom accounts, records, or memoranda are to be destroyed under the written authority referred to in § 110.23(b)(1) shall certify (except as otherwise provided in paragraph (d) of this section and § 110.30) that the accounts, records, or memoranda listed in the said authority have been destroyed and that no accounts, records, or memoranda other than those so listed have been destroyed therewith. (b) The person or persons by whom accounts, records, or memoranda are to be destroyed under continuing authority referred to in § 110.23 (b) (2) shall certify such destruction (except as otherwise provided in paragraph (d) of this section and § 110.30), listing by form numbers and descriptive titles the accounts, records, and memoranda destroyed, naming the period or periods covered by such accounts, records, and memoranda, and stating that no accounts, records, or memoranda other than those so listed have been destroyed therewith. Either (1) a separate certificate shall be filed each time any accounts, records, and memoranda are destroyed, or (2) cumulative certificates shall be filed with supplementary entries every time additional accounts, records, and memoranda are destroyed. (c) Certificates of destruction shall be forwarded promptly to the officer having supervision over the destruction of accounts, records, and memoranda who issued the written authority and shall be retained in his office as a permanent part of the company's records. Cumulative certificates shall be forwarded to such officer periodically, but at least once every six months. Copies of certificates of destruction need not be filed with the Commission. (d) Certificates of destruction are not required for those accounts, records, and memoranda listed in § 110.31, the destruction of which is optional with the company, but a written authority for specific records or of continuing effect shall be issued (except as otherwise provided in § 110.30) by the officer having supervision over the destruction of such accounts, records, and memoranda. § 110.25 Committee for the destruction of certain records. At the option of the electric railway company a committee may be designated to destroy by conversion into pulp, or by cremation, canceled stock certificates, bonds, or other records covered by item 6 of § 110.31, in lieu of delegating authority for such destruction to an officer as provided in § 110.22. A copy of the resolution of the board of directors, or if not a corporate act a copy of the designating order, shall be filed promptly with the Commission. A certificate of destruction giving full descriptive reference to the documents destroyed shall be filed by this committee and shall be retained as a permanent part of the electric railway company's records. (See § 110.24 (c).) When documents represent debt secured by mortgage, the certificates of destruction shall also be authenticated by or for the trustees under the mortgage acting in conjunction with this committee or shall have the trustees' acceptance endorsed thereon. § 110.26 Joint bureaus and agencies. This subpart applies also to the destruction of accounts, records, and memoranda of traffic associations, fast freight lines, demurrage and car service bureaus, weighing and inspection bureaus, and other joint agencies maintained by or on behalf of electric railways. The manager, chairman, or other officer in charge of the association, bureau, etc., may be delegated by the designated officer of each of the carriers to have supervision of the destruction of accounts, records, and memoranda of the association, etc., and in that event he shall issue all authorities for such destruction, and certificates of destruction shall be filed with him. Otherwise, a written authority shall be obtained from the proper officer of the member carriers concerned each time any of the accounts, records, or memoranda are to be destroyed, and a certificate of destruction shall be filed with each such officer. § 110.27 Nonoperating companies. A company owning or controlling electric railway property which it does not operate but which it leases to others for operating purposes shall observe this subpart in case it desires to destroy any of its corporate or financial accounts, records, or memoranda. § 110.28 Method of destruction. (a) The precise method of destruction of accounts, records, and memoranda is not prescribed. The Commission is not concerned whether the destruction is by fire, sale, conversion into pulp, or otherwise, providing the destruction is authorized, a certificate of destruction is filed, and all other requirements of this subpart, are observed. (b) If the accounts, records, and memoranda are not actually destroyed by the electric railway company, the certificate of destruction shall so state. Section 15 of the Interstate Commerce Act provides that information concerning the business of a shipper or consignee, which may be used to the detriment of such shipper or consignee, shall not be divulged. Responsibility for possible infringement of this provision of the act, by disposing of its records without actually destroying them, would rest with the carrier. (a) Provision is made in item 74 of § 110.31 for the destruction of agency copies of certain accounts, records, and memoranda. Certificates of destruction are not required for these copies, but a written authority as provided in § 110.23 (a) and § 110.23 (b) shall be issued and appropriately filed with the officer having jurisdiction over the destruction of records. (b) Provision is made in item 93 of § 110.31 for the optional destruction of duplicate copies of accounts, records, and memoranda when such copies are not specifically provided for elsewhere in this subpart and when they contain no information not shown on the originals. Neither written authority to destroy nor certificates of destruction are required for these copies. The originals (or one true copy) shall be retained for the respective periods named for such records in this subpart. § 110.31 List of records and periods of retention. The following list is indicative of accounts, records, and memoranda specifically referred to in § 110.20. The description of the accounts, records, and memoranda enumerated below under the various general headings is merely for convenient reference and identification. This subpart is intended to apply to the items as named or described, regardless of where they are filed and regardless of departmental organization. Of the accounts, records, and memoranda which are to be retained permanently only the more important are stated in this list, the specific mention being made so that they may not be confused with any accounts, records, and memoranda for which permission to destroy is given herein. |