Item

242

243

244

245

246

247

248

249

250

251

Description of records

AGENCIES, YARDS AND ACCOUNTING BUREAUS—Continued

Records of shipments accorded pick-up, delivery, drayage, c.o. d. or substitute highway
service:

(a) Reports and manifests of shipments accorded pick-up. delivery or drayage
service.

(b) Records and reports of c. o. d. shipments billed and received..

(c) Reports and manifests of shipments handled in substitute highway service.

Freight reports:

(a) Reports and abstracts of commercial waybills made and received.
(b) Reports and abstracts of company freight waybills made and received.

(c) Passing reports at junction points of through waybills forwarded to and received
from connecting carriers.

(d) Passing reports of waybills covering freight moving over divisions, bridges, etc.
(e) Reports of shipments received or forwarded, not covered by waybills, such as
coal, ore, etc.

(f) Duplicates of above records. (See item 336a.)

(a) Records of cars arrived, placed, and released and of accruals of demurrage_
(b) Reports to auditing department and to demurrage and storage bureaus of ac-
cruals and collections of demurrage and storage charges.

(c) Reports of uncollected demurrage and storage charges...
(d) Duplicates of above records. (See item 336a.)
Miscellaneous collections by agents:

Records and reports of overcollection of freight and other charges (with record of
refund or disposition); sale of unclaimed freight; sale of water; icing, weighing,
reconsignment, loading, and unloading charges; garnishee fees, etc. (For dupli-
cates see Item 336a.)

Car records and interchange reports:

(a) Records and reports of cars received, forwarded, and on hand and wanted in-
cluding interchange with connecting lines.

(b) Telegraphic report of cars interchanged at junctions, when data are transcribed
into other records.

(c) Telegraphic report of movement of freight, when data are transcribed into other
records.

(d) Record of car seals applied, released, and on hand..

(e) Yard car books showing cars on various yard tracks and industrial tracks.
(f) Daily reports of loaded cars passing yards..

(g) Duplicates of above records. (See item 336a.)

Ticket records:

(a) Records of tickets received, sold, and on hand..

(b) Inventories of tickets at agencies.

(c) Records of adjustments and corrections on ticket reports.

(d) Stubs of tickets, etc..

(e) Envelopes and receipts for stop-over tickets deposited with agents at stop over
points.

(f) Duplicates of above records. (See item 336a.)

Ticket reports:

(a) Reports of sale of tickets, sale of mileage books, collection for baggage, etc.
(For duplicates, see item 336a.)

(b) Report of credit claimed for tickets redeemed or issued in exchange.....----
Sleeping, parlor, and chair car records:

Sleeping, parlor, and chair car diagrams and correspondence in connection with
reservations.

(f) Receipts from agents, baggagemasters, and others for valuable letters and
packages.

(g) Receipts for lost and mismatched baggage checks.

(h) Transfer company checks and manifests.

Period to be retained

2 years.

Do.

Do.

Do.

Do.

1 year.

Do.

2 years.

Do.

Do.

Do.

Do.

Do.

Do.

2 years.

1 year.

Do.

Do.

Do.

Optional.

2 years. Do. Do.

6 months after au-
dit.
Optional.

2 years.

Do.

Optional.

2 years.
Do.

1 year.
2 years.

Do.
Optional.

Do.
Do.

(a) Agents' and conductors' remittance slips, bank deposit slips, and supporting
papers, not provided for elsewhere.

2 years.

Do.

(c) Statements of cash and other cash papers deposited with agents by conductors.
(d) Duplicates of above records. (See item 336a.)

Do.

Item

254

255

256

Description of records

AGENCIES, YARDS AND ACCOUNTING BUREAUS—Continued ·

Relief claims:

(a) Register of agents' relief claims.

(b) Agents' relief claims and supporting papers..

Station records summarizing the debits and credits on account of revenues, remittances,
claims, etc.

Agents' balance sheets:

Period to be retained

2 years.
Do.
Do.

3 years. 1 year.

(c) Daily and weekly balance sheets and supporting papers, when figures are not
combined and carried to monthly balance sheets.

3 years.

(a) Monthly balance sheets and supporting papers....

(b) Daily and weekly balance sheets, when figures are combined on monthly bal-
ance sheets.

All records at agencies and yards not otherwise provided for in these regulations... 1 year.

JOINT ASSOCIATIONS, BUREAUS, AND SIMILAR AGENCIES

NOTE: Ledgers, journals, vouchers, bills, and other records of joint associations, etc., shall be retained for the same periods as are provided for such documents elsewhere in these regulations.

Rules, regulations, and instructions to carriers, agents, and others............

3 years after expiration or cancellation.

273

274

275

276

277

Statements of expenses of agencies and apportionment between carriers and others..
Statements of receipts of agencies and apportionment between carriers and others..
Statements of freight handled, by carriers, commodities, gateways, or otherwise.
Statements of passenger business, by carriers, classes, gateways, or otherwise.
Reports from carriers or agents of carriers showing freight handled, passengers carried, Optional.
and other information, if summarized in records covered by items 271 to 274.
Working papers and records tabulating data for records covered by items 273 and 274..
Waybills:

278

(a) Copies of waybills received from carriers or agents of carriers, if such copies
contain no information other than that appearing on the original way bills.
(b) Abstracts or lists accompanying copies of waybills covered by (a) above, when
used only for checking the copies received.

Weighing and inspection of freight:

(a) Weight agreements, such as those providing for acceptance of shippers' weights,
subject to inspection of books, etc.

Do.

Optional.

Do.

4 years.

(b) Records and reports covering the settlement with shippers and carriers for
undercharges in weight.

Do.

(c) Records and reports of shipments moving under weight agreements..
(d) Weighmasters' oaths, weight tickets, weight certificates, and reports of
weighmasters.

Do.
Do.

(f) Duplicates of above records. (See item 336a.)

279 Demurrage and storage:

(a) Records summarizing the accruals of demurrage and storage charges.
(b) Reports and statements to carriers of demurrage and storage, and file copies
thereof.

(c) Reports from agents of carriers of accruals of demurrage and storage charges,
of cars received, placed, and released, of constructive placement, etc.
(d) Records and supporting papers covering the cancellation or refund of demurrage
and storage charges.

(e) Duplicates of above records. (See item 336a.)

(e) Reports to carriers of shipments weighed or inspected, of corrections made on
waybills, and similar matters.

Do.

2 years.

Do.

Do.

Do.

Records and reports pertaining to the validating of passenger fare tickets. (For
duplicates see item 336a.)

Do.

(a) Records and reports pertaining to settlements with carriers and passengers re-
garding mileage books, scrip books, reduced-rate credentials, and similar
tickets.

Do.

Do.

4 years.

(b) Record of tickets redeemed, including claimants' receipts for cash refunds..................
(c) Duplicates of above records. (See item 336a.)

282 Statements, schedules, and bills rendered steamship or other carriers covering the
amount due for tickets issued in exchange for orders, file copies of.

Applications for clergy permits, and records and reports pertaining to the issuance
and use of clergy permits.

REPORTS TO REGULATORY AGENCIES

NOTE: The supporting papers referred to in item 300 are those requisite to support the reports named, and not elsewhere provided for in these regulations. If figures for such reports are assembled on memorandum sheets, such sheets constitute a part of the supporting papers and shall be retained accordingly.

Financial and statistical reports:

(a) Annual report forms. Financial, operating, and statistical summaries, file
copies of, and supporting papers.

2 years.

Permanent.

(b) Monthly reports of revenues and expenses, file copies of, and supporting papers.. 1 year.

Item

300

Description of records

Period to be retained

REPORTS TO REGULATORY AGENCIES-continued

Financial and statistical reports-Continued

(c) Monthly reports of selected income and balance sheet items, file copies of, and
supporting papers.

(d) Monthly reports of operating statistics, file copies of, and supporting papers...
(e) Monthly reports of analysis of passenger traffic file copies of, and supporting
papers.

(f) Monthly reports of employees, service and compensation, file copies of, and
supporting papers.

(g) Quarterly report of freight commodity statistics, file copies of, and supporting
papers.

(h) Quarterly report on expenditures for additions and betterments, file copies of,
and supporting papers.

(1) Monthly accident reports, file copies of, and supporting papers..

(j) Monthly reports of hours of service, file copies of, and supporting papers..
(k) Monthly locomotive boiler inspection and repair reports, file copies of. and sup-
porting papers.

(1) Annual locomotive boiler inspection and repair reports, file copies of, and sup-
porting papers.

(m) Special orders from Interstate Commerce Commission for repairs to locomotive
boilers, and file copies of special repair reports covering such repairs.
(n) Quarterly boiler inspection and repair reports, other than steam locomotive, file
copies of, and supporting papers.

(0) Specification cards for locomotive boilers, file copies of, and supporting blue-
prints and alteration reports.

(p) Freight car location reports, file copies of, and supporting papers..

(q) Reports to regulating bodies regarding expenditures of proceeds from sale of
authorized securities, file copies of, and supporting papers.

1 year.

Do.

Do.

Do.

2 years.

1 year.

3 years.

2 years.
2 years.

5 years.

2 years.

5 years.

1 year after boiler is retired.

1 year.
5 years.

310

311

Monthly or other periodical statements of revenues and expenses, comparative or other
wise, and analyses of increases and decreases.

ADMINISTRATIVE, FINANCIAL, AND STATISTICAL REPORTS
Monthly or other periodical statements of general balance sheet, income, and retained
income accounts, comparative or otherwise.

2 years.

Do.

312

313

Monthly or periodical statements of estimated or approximate revenues and expenses,
when not used as bases for crediting or charging the accounts.
Agents' daily or weekly reports of tonnage, revenue, or receipts, used only for preparing
statements of estimated revenues or the movement of traffic.

Optional.

Do.

314

Monthly or other periodical statements of tonnage handled, by tons, ton-miles, com-
modities, divisions, or otherwise.

2 years.

315

Monthly or other periodical statements of car-miles, train-miles, and movements of
freight and passenger cars.

Do.

316

Monthly or other periodical statements of performances of locomotives..

317

Monthly or other periodical statements of employees by duties, days, compensation, or
otherwise.

Do.
Do.

318

Monthly or other periodical statements of passenger traffic, by number of passengers,
passenger-miles, divisions, or otherwise.

Do.

319

Working papers or records on which are assembled figures for records covered by items
310, 311, 314-318.

Do.

320

330

331

332

333

Miscellaneous statistical reports, statements, and summaries used for administrative Optional.
purposes only. (Not otherwise provided for herein.)

Records of employees:

MISCELLANEOUS

(a) Applications for employment, reports and certificates of examinations, service
records, efficiency tests, employees' rosters, and other similar records pertain-
ing to employees.

1 year after termi

nation of service.

(b) Applications for employment and replies thereto not resulting in employment Optional.
of applicant.

Instructions to agents and others:

(a) Books and circulars of instructions to agents and others, in the general file of
the department in which the complete official file is maintained.

(b) Surplus copies of books and circulars of instructions and copies in other depart-
ments and at agencies, if copies of the same issues are preserved in the general
file referred to in (a) above.

Land, industrial, and immigration department records:

(a) Reports, records, and correspondence containing inquiries from and replies
to prospective homeseekers and industries regarding localities and conditions.
(b) Agents' periodical itinerary reports...

(c) Agents' periodical field or work reports.

(d) Periodical reports from agents, industries, and others, furnishing data for
annual reports for industrial, commercial, and agricultural directories, and
similar publications.

Provident department records:

Records of provident departments, such as employees' relief, hospital, insurance
and savings departments, other than records pertaining to the receipt and dis-
bursement of funds.

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.

Item

334

335

336

337

Description of records

Period to be retained

Correspondence:

MISCELLANEOUS-continued

(a) Correspondence and records thereof relating to subjects listed in items 1 to 333
inclusive.

(b) Operators' copies of telegrams, including relay copies, if the original or other
copies of such messages are retained, as provided for in (a) above.
(c) Stenographers' notebooks and phonograph and other mechanical device records,
if transcripts thereof are retained, as provided for in (a) above.
(d) Extra copies of letters, etc., used for tracing or following up correspondence, or
for other purposes, if original or other copies are retained as provided for in (a)
above.

Data processing:

Tabulating cards, tapes, and other media used in the compilation of accounts and
statistics and other data, when the results are transcribed to other records covered
by these regulations.

(a) Duplicate copies of records and documents covered by items 231-233; 237-239:
243-249; 251, 253, 256, when held by agents.

(b) Duplicates of other accounts, records, and memoranda listed in these regulations
when they are not provided for otherwise and when they contain no infor-
mation other than that shown on the originals.

The official record of records and documents destroyed (see § 1220.5).......

For the period prescribed for the records to which the correspondence relates. Optional.

Do.

Do.

Do.

See § 1220.7.

Optional.

Permanent.

oranda 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.

§ 1221.2 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 § 1221.3, 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