Item DESTRUCTION OF RECORDS Continued J. OIL AND OIL PRODUCTS STOCKS AND MOVEMENTS-continued Record titles and descriptions Period to be retained 22 24 25 2 8 1 Tenders of shipment and related records-Continued (c) Notices of completed tenders by final carrier to participating or con- (e) Monthly or other periodical recapitulation reports, summaries, and ered on tenders of shipment. Tank cars, trucks, and vessels reshipped from terminals and loading racks: Tank car, truck, and vessel situation and condition reports: Reports of con- Miscellaneous oil and oil products transportation records: Miscellaneous Tariffs and other rate authorities: K. TARIFFS AND BATES (a) Official file copies of tariffs, classifications, division-of-rate sheets, and (b) All other copies of tariffs, classifications, division-of-rate sheets, and (c) Copies of tariffs, classifications, etc. of other carriers, in which the carrier 3 years. Do. Do. Do. Do. Do. 4 years after cancellation of tariff. Optional. Do. Optional after cancellation of tariff. Concurrences: Copies of concurrences filed with the Interstate Commerce 4 years after cancellation. (a) Correspondence, statistics, and work papers relating to the structure of (b) Documentary records, statistics, memoranda, correspondence, and all L. FIELD OPERATIONS Field cashiers' records: Cash books, journals, file copies of cash reports, and 2 Strapping and calibration records: (a) Tank strappers' reports of tank measurements..... (b) Records, data sheets, and certificates pertaining to the calibration of Other field records: years after cancellation of tariff. 6 years. 3 years. 3 years after disconnection or restrapping. 3 years after recalibration. (a) Records, reports, and statistics serving only information and guidance Optional. (b) Field office records and reports which are duplicates of records and re- Item 1 2 3 DESTRUCTION OF RECORDS Continued M. ENGINEERING Record titles and descriptions Basic data: Platted field notes, survey notes, survey plats, diagrams, or other Maps: Tracings, maps, or plans prepared from basic data referred to in item Specifications and engineering studies: (a) Specifications, engineering studies, and other similar records of prop- (b) Engineering studies, designs, plans, surveys, experimental work, and Period to be retained 3 years after abandonment or 2 years. Optional. (a) Claim registers, card or book indexes, and other records in connection (b) Claim registers, card or book indexes, and other records in connection (c) Reports and statements regarding damages by fire or otherwise to O. MISCELLANEOUS Manuals: Manuals, handbooks, pamphlets, books, and circulars issued for 2 General correspondence: (a) Correspondence, and file indexes thereof, directly relating to subjects (b) Other correspondence and memoranda (including methods and pro- (c) Stenographic books, tapes, and other mechanical or electronic device 3 Duplicates: (b) Extra copies of correspondence used for follow-up and other purposes, if (d) Copies of manuals, handbooks, pamphlets, books, and circulars of in- 1 year after expiration or cancellation. Same period as prescribed Do. Do. Do. Do. Do. 5 Data processing: (a) Tabulating cards, tapes, and other media used in the compilation of Optional. (b) Tabulating cards, tapes, and other media used in the compilation of (c) Machine listings and tabulations used in the compilation of statistics Record of records destroyed: The official record of records and documents [26 F.R. 8618, Sept. 15, 1961, as amended at 31 F.R. 3464, Mar. 5, 1966] Subpart F-Persons Which Furnish Cars to Railroads AUTHORITY: The provisions of this Subpart F issued under sec. 12, 24 Stat. 383, as amended; 49 U.S.C. 12. Interpret or apply sec. 20, 24 Stat, 386, as amended; 49 U.S.C. 20. SOURCE: The provisions of this Subpart F appear at 23 F.R. 5567, July 23, 1958, unless otherwise noted. § 110.100 Regulations prescribed. All persons, including corporations and partnerships as well as individuals, which furnish cars to or on behalf of any carrier by railroad or express company subject to provisions of section 20 (6) of the Interstate Commerce Act, but do not furnish protective service against heat or cold, shall comply with regulations in this part before destroying records or documents which pertain or relate to the cars so furnished. Compliance with the regulations in this part will not, however, exempt such a person from statutory requirements other than provisions of the Interstate Commerce Act, for retention of such records or documents for periods longer than those hereinafter prescribed. (Car line companies which also provide protective service are subject to regulations in §§ 110.1 to 110.7.) § 110.101 Statutory provisions. (a) Section 20(6) of the Interstate Commerce Act includes the following requirements: pany cars For the period prescribed for the records to which the data relates. Optional. Permanently, but see § 110.82(b). ...: Provided, however, That such authority shall be limited to accounts, books, records, memoranda, correspondence, or other documents which pertain or relate to the ... so furnished. Persons furnishing such cars ・・・ shall submit their accounts, books, records, memoranda, correspondence, or other documents, to the extent above provided, for inspection and copying upon demand • (b) Section 20 (7) (b) of the Interstate Commerce Act includes the following provisions: Any person who shall knowingly and willfully destroy, mutilate, alter, or by any other means or device falsify the records of * accounts, records, or memoranda, shall be deemed guilty of a misdemeanor and shall be subject * ⚫ to & fine of not more than five thousand dollars or imprisonment for not more than two years, or both such fine and imprisonment: Provided, That the Commission may in its discretion issue orders specifying such operating, accounting, or financial papers, records, books, blanks, tickets, stubs, correspondence, or documents as may, after a reasonable time, be destroyed, and prescribing the length of time the same shall be preserved. § 110.102 Authority to destroy records. Records and documents which pertain or relate to cars furnished subject to provisions of section 20(6) of the Interstate Commerce Act may be destroyed after the same have been retained respectively for periods hereinafter prescribed. § 110.103 Photographic copies. Records and documents covered by the regulations in this part may be destroyed at any time after they have been suitably photographed in the normal course of business under a program instituted for the protection or storage of other company records of a similar nature or purpose: Provided, however, That microfilm copies shall be retained for the periods of time prescribed for the original records or documents, respectively; that the microfilm copies shall be no less readily accessible than the original records or documents as normally filed or preserved would be; and that suitable facilities shall be available to lccate, identify, read, or reproduce such microfilm copies. § 110.104 Periods of retention. Records and documents listed in this section, insofar as they pertain or relate to cars furnished to or on behalf of any carrier by railroad or express company, shall be retained for the periods of time shown for each kind of record or document, respectively. Inclusion of a record or document in the list imposes no requirement that it shall be installed if the information normally so recorded is not otherwise required by provisions of the Interstate Commerce Act. 120.62 2 3 4 5 6 7 8 9 10 Copies and files of tax returns. Insurance records, includ ing the policies. Records of the cost or construction of cars (see note). Records of rents and revenues from cars, of repairs to and maintenance of cars, and of safety appliances installed or repaired. Car location records and reports. Records and files of claims for personal injuries, and fire and other damages. Accident records and reports, if not included in Item 7. Reports to regulatory agencies, file copies of and supporting papers. Correspondence... 5 years after expiration or termination. NOTE: In addition to records that become the property of the company which acquires cars, the Commission's safety regulations require a car builder or noncarrier car repair shop to retain certain records relating to the construction or repair of tank cars. See Appendix W, A.A.R. Tank Car Specifications. Carriers by pipe line; quarterly revenue and volume of traffic. 120.70 Annual reports of refrigerator car lines owned or controlled by railroad companies. 120.708 Annual reports of persons furnishing cars, other than refrigerator car lines owned or controlled by railroad companies. 120.71 Piggyback traffic statistics-Rail. AUTHORITY: The provisions of this Part 120 issued under secs. 12, 20, 24 Stat. 383, 386, sec. 201, 54 Stat. 933, 944; 49 U.S.C. 12, 20, 904, 913, unless otherwise noted. All common carriers subject to the provisions of the act to regulate commerce, as amended, and the owners of all railroads engaged in interstate commerce as therein defined, are hereby required hereafter to file in the office of the Commission on or before the 31st day of March in each year, reports covering the period of 12 months ending with the 31st day of December preceding said date, giving the particulars heretofore called for in the annual reports required by the Commission of said carriers and owners of railroads. [Annual reports under section 20, Interstate Commerce Act, I. C. C., Nov. 24, 1916] § 120.2 Reporting companies defined. Annual reports of steam railway corporations to the Interstate Commerce Commission relating to periods of time subsequent to June 30, 1916, should be prepared and submitted in accordance with the following rules: (a) Every common carrier by rail which is required by the act to regulate commerce to file with the Commission any tariff or schedule of rates, fares, or charges, or any concurrence in such tariff or schedule, shall be required to keep operating accounts and to file an annual operating report unless specifically excused by the Commission. (b) Every railway corporation owning but not operating a railway used in interstate or foreign commerce shall be required to file with the Commission an annual nonoperating report unless relieved therefrom under the provisions of rule following. (c) Any actually existing inactive corporation coming within the scope of rule given above may be relieved from the requirements of that rule if it has no outstanding stocks or obligations not held by or for its controlling corporation and the controlling corporation reports for the inactive corporation such facts as the Commission may require to be reported. (d) Reports of a controlling corporation and its controlled corporations must exclude duplications in respect of investments in railway plant and equipment and in respect of securities outstanding. [Order, I. C. C., June 5, 1916] § 120.9 Class I Railroads. (a) Commencing with reports of transactions occurring on August 1, 1966, and thereafter until further order, each Class I railroad as described in § 126.1 of this chapter, subject to Part I of the Interstate Commerce Act, shall be required to file with the Interstate Commerce Commission a duplicate copy of any statement to the Securities and Exchange Commission concerning beneficial ownership or change in beneficial ownership of equity securities of any other carrier subject to economic regulation under Parts I, II, and III of the Interstate Commerce Act, or any freight forwarder subject to such regulation under Part IV of said Act, when any such statement is required to be filed with the Securities and Exchange Commission pursuant to section 16(a) of the Securi ties Exchange Act of 1934, as amended, or regulations thereunder. (b) Such duplicate copy shall be filed in the Bureau of Accounts, Interstate Commerce Commission, Washington, D.C. 20423, on or before the date specified in the above-designated statute or regulations thereunder. [31 F.R. 9741, July 19, 1966] § 120.11 Form prescribed for Class I railroads. Commencing with reports for the year ended December 31, 1965, and thereafter, until further order, all line-haul and switching and terminal railroad companies of Class I, as described in § 126.1, viz. of this chapter, all carriers with average annual operating revenues of $5,000,000 or more, subject to the provisions of section 20, Part I of the Interstate Commerce Act, are required to file annual reports in accordance with Railroad Annual Report Form A, which is attached to and made a part of this section.1 Such annual report shall be filed in duplicate in the Bureau of Accounts, Interstate Commerce Commission, Washington, D.C., 20423, on or before March 31 of the year following the year to which it relates. [30 F.R. 13375, Oct. 21, 1965] § 120.11c Test studies of freight-train car-miles by types of equipment and directions of movement and statistics for way trains and for all trains combined. All respondents classified as Class I steam railways (excluding switching and terminal companies) subject to part I of the Interstate Commerce Act, and every receiver, trustee, executor, administrator or assignee of any such steam railway, are hereby required to compile and furnish to this Commission, the data called for in the Test Studies of Freight-train Car-miles by Types of Equipment and Directions of Movement and Statistics for Way Trains and for All Trains Combined, which is attached hereto and made a part of this section. 2 The data specified in the foregoing paragraph for each test day shall be filed with the Bureau of Accounts and Cost Finding, Interstate Commerce Commission, Washington, D.C., 20423, within 45 days of each test day. [13 F. R. 4150, July 21, 1948] 1 Report Form A will be served and filed when printed. 2 Filed as part of the original document. |