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SCHEDULE OF RECORDS-Continued

Item number and category of records

Retention periods

Microfilm indicator (§ 249.23)

G. INSURANCE, TAXES AND CLAIMS-continued

3. Claims records-Continued

(c) Records showing the details of authorities issued to agents, carriers, and others for participation in freight claims.

(d) Reports, statements and other records pertaining to personal injuries, or damage to property in transit, when not necessary to support claims or vouchers. (e) Reports, statements, tracers, and other records pertaining to unclaimed, over, short, damaged, and refused freight, when not necessary to support claims or vouchers.

(f) Authorities for disposal of unclaimed, damaged, and refused freight.

H. SHIPPING AND AGENCY DOCUMENTS

1. Shipping documents: Consignors' shipping orders, shipping tickets, pick-up receipts, delivery receipts, copies of bills of lading and order-notify bills of lading taken up and canceled, freight bills received from others, and other similar documents furnished to carriers for movement of freight; original local waybills and freight bills and audited copies thereof and company freight waybills, freight bills and cargo manifests; original underlying waybills, freight bills, and airway-bills received from carriers, copies of those made to carriers, and copies of those issued to shippers.

2. Contracts covering risks of freight forwarders in trans-
portation and storage.

3. Freight waybills and freight bills: Copies of waybills and
freight bills furnished to joint traffic associations,
bureaus, and similar agencies, if such copies contain
no information other than that appearing on the orig.
inal waybills and freight bills or in other records.
4. Freight records and reports:

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(a) Reports and records of freight received, forwarded, 2 years................
transferred, delivered to carriers, and records of
diversion or reconsignment of freight, including
requests, tracers, and correspondence in connec-
tion therewith.

(b) Records of joint-loaded shipments showing:
(1) Identity of all participating forwarders.
(2) Total poundage of the joint shipment.
(3) Poundage contributed by reporting for-
warder.

(4) Name of carrier transporting the shipment.
(5) Amount of charges by the direct carrier on
the total shipment, for transportation and
other services.

(6) Amount of such charges paid by reporting
forwarder.

5. Agents' remittance slips, bank deposit slips and all sup-
porting papers not provided for elsewhere.

6. Agents' balance sheets and supporting papers..
7. Miscellaneous records pertaining to agents' accounts:
(a) General office records or ledgers of agents' accounts
showing debits and credits from various sources.
(b) General office records relating to extension of credit
for transportation and other charges.

(c) Statements of corrections in agents' accounts.
8. Instructions to agents and representatives-bulletins
and circulars of instructions to traffic agents and
soliciting personnel.

9. Information to the public-press releases, paid advertisements, pamphlets, brochures, circulars, and bulletins.

10. Other agency records at stations or agencies not otherwise provided for herein.

do..

3 years..

do...

ME.

M.

M-2.

M-2.

.do.

M-2.

2 years after discontinuance of credit
agreement.

ME.

3 years.

M-2.

3 years after expiration or cancellation. ME.

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SCHEDULE OF RECORDS-Continued

Item number and category of records

Retention periods

Microfilm indicator (§ 249.23)

I. TARIFFS AND RATES

1. Tariffs, classifications, division sheets, and circulars relative to the transportation of property in the general files of the department in which the complete official file is maintained.

2. Tariffs, classifications, division sheets, and circulars in other departments and at agencies, if copies of the same issues of such tariffs, etc., are preserved in the general files referred to in item 1 above.

3. Special or reduced-rate orders and supporting papers, covering the movement of property.

4. Requests and receipts from agents and others for tariffs, classifications, division sheets, and circulars.

5. Copies of concurrences and powers of attorney filed with regulatory bodies.

6. Written requests on freight forwarders from persons and companies for quotations of rates and copies of freight forwarder's quotations.

7. Correspondence and working papers in connection with the making of rates and compilation of tariffs, classifications, division sheets, and circulars affecting the transportation of property.

J. REPORTS AND RELATED STATISTICS

1. Annual reports to regulatory bodies, file copies of.. 2. Quarterly and semi-annual reports to regulatory bodies, file copies of, and supporting papers.

3. Annual reports or statements to stockholders, file copies of.

4. Accountants' and auditors' reports:

(a) Certifications and reports of all examinations and audits conducted by public and certified public accountants.

(b) Reports of examinations and audits conducted by internal auditors and others.

5. Accident reports, file copies of and supporting papers... 6. All other financial operating and statistical statements or reports and supporting papers.

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

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K. MISCELLANEOUS

1. Correspondence and records thereof pertaining to the items listed herein.

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2. Duplicate copies of accounts, records, and memoranda listed in these regulations, if all information on such duplicates is contained on the originals or other copies retained, and if such duplicates are not specifically provided for in these regulations.

Optional...

3. Written authorizations and certificates of destruction of Permanently.

accounts, records, and memoranda required by the regulations.

M-2.

4. Organization manuals, handbooks, circulars and other 3 years after expiration or cancellation. ME. instructions issued to employees on matters pertaining

to the business of the freight forwarder.

INDEX TO RECORDS

A-Administrative and corporate:

1. Incorporation and reorganization.
2. Titles, franchises and licenses.

3. Contracts and agreements.
4. Corporate elections.

5. Minutes of meetings.

6. Communications code and cipher

books.

B-Treasury:

1. Capital stock records.

2. Bond or other long-term debt records.

3. Authorization from regulatory bodies for issuance of securities. 4. Registration statements filed with SEC.

5. Records of securities owned or held by custodians.

6. Statements of funds and deposits.

C-Financial accounting records:

1. Ledgers.

2. Journals.

5. Accident reports. 6. Other financial

and

3. General and subsidiary cash books.
4. Voucher distribution registers.
5. Vouchers.

6. Accounts receivables and payables.
7. Working or petty cash funds.
8. Uncollectible accounts.

D-Payrolls and personnel:
1. Payroll records.

2. Personnel records. E-Equipment and other property:

1. Records, reports and statements showing cost or inventory value. 2. Records and memoranda pertaining to depreciation, retirements and replacements.

3. Contracts and agreements relating to construction, acquisition or sale.

F-Purchases and stores:

1. Records of materials and supplies inventory.

2. Bids, offers and orders pertaining to sale or purchase of materials and supplies.

3. Materials and supplies received and issued.

G-Insurance, taxes and claims:

1. Insurance records.

2. Tax records.

3. Claims records.

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statements.

statistical

7. Tabulating cards, tapes and other media.

K-Miscellaneous:

1. Correspondence relating to records. 2. Duplicate copies of records.

3. Authorizations and certificates for destruction of records.

4. Organization manuals.

§ 249.28 Waivers of requirements of this subpart.

A waiver from any provision of this subpart may be made by the Board upon its own initiative or upon submission of a written request therefor by any freight forwarder. Each request for waiver shall demonstrate that unusual circumstances warrant a departure from prescribed retention periods, procedures or techniques or that compliance with such prescribed requirements would impose an unreasonable burden upon the freight forwarder, and that the granting of the waiver would be in the public interest. § 249.29 Effective date.

This subpart shall become effective on September 1, 1965. The retention requirements prescribed in this subpart shall be applicable to all records remaining in the custody of any freight forwarder, subject to its provisions, upon the effective date of this subpart as well as to all records subsequently acquired. With respect to individual records, each retention period herein prescribed shall commence upon the date when the records are created or otherwise come into the possession of the freight forwarder.

NOTE: The record-retention requirements contained herein have been approved by the Bureau of the Budget in accordance with the Federal Reports Act of 1942.

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5. Concurrences and powers of attor

251.1

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Formal requirements of applications. General provisions concerning contents of applications.

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Approval of system of affiliated and subsidiary companies.

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Supplements to applications.

Uninterrupted tenure; no new ap

plications required.

Notice of changes in positions.

sition.

Revocation of authorization to hold position.

Extent of authorization to hold po

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Prior applications.

251.13 Procedure governing disposition of applications.

AUTHORITY: The provisions of this Part 251 issued under secs. 204, 407, 72 Stat. 743, 766; 49 U.S.C. 1324, 1377.

SOURCE: The provisions of this Part 251 contained in ER-146, 14 F.R. 3543, June 29, 1949, unless otherwise noted.

§ 251.1 Application for approval.

If approval by the Board is desired of an interlocking relationship which would otherwise be prohibited by section 409 (a) of the act (referred to in this part as an "interlocking relationship"), an application for such approval shall be filed with the Board by the individual (referred to in this part as the "individual applicant") occupying or seeking to occupy the interlocking relationship and by each air carrier (hereinafter in this part referred to as the "air carrier applicant") in which such individual holds or seeks to hold the position of officer or director. At their election such applicants may join in a single application. If separate applications are submitted it is desirable that all shall be filed at the same time. An application may incorporate by specific reference current information contained in another application in the same matter or in any document then on file with the Board. § 251.2 Formal requirements of applications.

Applications filed pursuant to this part shall conform generally to the outline set forth in § 251.3 and to the requirements of § 302.3 of this chapter, with the additional requirements that each individual verifying the application shall include in his verification a statement that he has personally made a careful investigation of the proposed interlocking relationship and that the application includes all of the information required by this part and that it contains no misleading statement and does not omit information which would tend to show that the public interest would be adversely affected by the existence of the proposed interlocking relationship. If a joint application is filed it shall be verified by the individual applicant and by a responsible officer of each air-carrier applicant. However, any individual verifying any such joint application may disclaim responsibility

for any statements therein except statements concerning matters which are peculiarly within his knowledge. In any such case, however, every allegation contained in the application shall be verified by one or more qualified individuals.

§ 251.3

General provisions concerning contents of applications.

(a) Each application (except one filed pursuant to § 251.4) shall, among other things include the following information:

(1) The full name, place of residence, and citizenship of the individual applicant;

(2) The name and address of the major business or professional activity of the individual applicant;

(3) A complete description of the interlocking relationship for which approval is sought, as well as a description of any other interlocking relationship occupied by the individual applicant which has been approved by the Board, (This description shall include the date and manner of the individual applicant's election or appointment to the position or positions which he occupies or seeks to occupy, and shall state the name or names of the persons primarily responsible, directly or indirectly, for his election or appointment. It shall also include a statement of his present or contemplated duties in connection with the interlocking relationship for which approval is sought and the approximate amount of time devoted or expected to be devoted thereto);

(4) The name of the person or persons, if any, whom the individual applicant represents or will represent on the board of directors of each air carrier applicant, together with a statement as to any financial interest held by such person or persons in any air carrier, common carrier, person engaged in any phase of aeronautics otherwise than as an air carrier, or person whose principal business, in purpose or in fact, is the holding of stock in, or control of any other person engaged in any phase of aeronautics;

(5) The name and address of each business (including but not limited to corporations, partnerships, trusts, etc.) of which the individual applicant is an officer, director, partner, trustee, re ceiver, manager, attorney, agent, or controlling stockholder or employee, the general character of each such business

and a description of the individual applicant's financial interest therein;

(6) A complete description of any benefit and of the amount of, and basis for, any money or thing of value (1) received by the individual applicant during the last year from each air carrier applicant and from any person with whom the individual applicant has or seeks to have an interlocking relationship, whether for services, reimbursement of expenses or otherwise, and (ii) which the applicant contemplates receiving from any such person during the continuance of the interlocking relationship;

(7) The names and titles of all officers and directors of each air carrier applicant, and of each person with whom the individual applicant has or seeks to have an interlocking relationship;

(8) With respect to the individual applicant, a statement that the information contained in the most recent report filed by him with the Board pursuant to Part 245 of this subchapter is the same as of the date within 30 days of the filing of the application pursuant to this part, or if such information has changed, a statement setting forth the details of such changes; and with respect to each officer and director of each air carrier applicant other than the individual applicant, a statement that there is presently on file with the Board a report pursuant to Part 245 of this subchapter for each such individual officer or director If no such report is on file with reference to any such officer or director, including the individual applicant, it shall be filed concurrently with the application pursuant to this part);

(9) The names (i) of the largest stockholders, not exceeding 20, who hold 1 percent or more of the voting capital stock of any air carrier applicant and (ii) of the largest stockholders, not exceeding 20, who hold 1 percent or more of the voting capital stock of any person with whom an interlocking relationship is sought by such application to be approved; together with the number of shares of each class of stock held by each of such stockholders and the percentage which such shares bear to the total number of shares of the same class authorized and outstanding, (If all or any part of such shares are held for the account of any person other than the holder, the names of such persons shall be disclosed. If the applicant, after making all reasonable efforts, is unable to obtain dis

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closure of such information with respect to any of the persons classified under subdivision (ii) of this subparagraph, the application shall state specifically the efforts made to obtain such information and the reasons why such efforts were unsuccessful);

(10) A description of the shares of stock or other interests held by each air carrier applicant or for its account in persons other than itself;

(11) A full description of any professional, financial or other business transactions or arrangements which have been entered into within 1 year prior to the date of the filing of the application by each air carrier applicant with the individual applicant and by each air carrier applicant or individual applicant with any person with whom the individual applicant has or seeks to have an interlocking relationship, together with a full statement as to any such transactions or arrangements which it is contemplated may be entered into while such interlocking relationship continues.

(b) Each application shall state fully such further facts as the applicants respectively deem desirable in order to show that the public interest will not be adversely affected by the approval by the Board of the interlocking relationship.

§ 251.4 Approval of system of affiliated and subsidiary companies.

(a) In the event that an individual occupies or seeks to occupy an interlocking relationship falling within the purview of section 409(a) of the act which involves only the holding by him of the position of officer or director in two or more companies within the same system of affiliated and subsidiary companies (as defined in paragraph (b) of this section), an application for approval of such relationships need not comply with the requirements of § 251.3 (a) (11) but shall comply with all other requirements of that section. Such application shall also include:

(1) Such information as is necessary to disclose the fact that the companies in which the individual applicant occupies or seeks to occupy the interlocking relationships are members of the system of affiliated and subsidiary companies as defined in this section, and

(2) A statement that the individual applicant does not occupy or seek to occupy any interlocking relationship falling within the purview of section 409 (a)

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