**FEDERAL MARITIME COMMISSION**

**RECORDS DISPOSITION SCHEDULE**

**PERMANENT RECORDS**

**OFFICE OF THE CHAIRMAN**

**[ITEM NO.]{.underline}**

NC1-358-81-2/2 **[Chairman\'s Subject Files]{.underline}** contain
letters, memoranda, and other documents prescribing the Commission\'s
policies, programs and objectives that document meetings with foreign
governmental and industrial groups or other Government agencies to
present the United States\' position with respect to the U.S.
international liner trades, and other records incident to maintaining
liaison with the shipping community and the Congress.

> Files are arranged by subject matter, and material therein is filed
> chronologically. Personal files are separately maintained. Official
> business papers originating with, or received by, the Chairman\'s
> office are held until (1) conveyed to the appropriate official agency
> entity or (2) final action officially recorded or the expiration of 5
> years, whichever occurs later.
>
> **[DISPOSITION]{.underline}:** Offer to NARA 5 years after termination
> of Chairman\'s service.

NC1-358-81-2/5 **[Information Files]{.underline}** contain informational
documents maintained by the Office of the Chairman to disseminate public
information. Files in this series consist of press releases, trade
studies and informational publications of the Commission, and official
speeches of the Chairman. Press releases are maintained by year in black
3-ring binders, and papers therein are filed in serially numbered order.
A record copy of trade studies and other informational publications is
maintained in chronological order. Official speeches are arranged by
year in black 3-ring binders with materials therein arranged in
chronological order. 1970 to present. (GRS Schedule 14, Item 1).

> **[DISPOSITION]{.underline}:** (a) [Record Copy]{.underline}. Close
> files at end of calendar year. Retain in office until 5 years old and
> then transfer to WNRC. Transfer to NARA when 10 years old.
>
> \(b\) [Other copies:]{.underline} Maintain in office until no longer
> needed. Then destroy.

NC1-358-81-2/6 **[Chairman and Commissioners\' Biography and Photograph
File.]{.underline}** Contains biographic resumes of the Chairmen,
Commissioners, and other key agency personnel. Interfiled with the
biographies are copies of speeches, photographic prints, and a few
photographic negatives. Most of the photographs were taken by Commerce
Department photographers and in these cases the negatives are retained
and scheduled by the Commerce Department for transfer to the National
Archives. (NC1-40-79-1, item 61). Files are arranged chronologically and
thereunder alphabetically by name.

> **[DISPOSITION]{.underline}:** Retain in office and offer to NARA when
> accumulation reaches one cubic foot or when 10 years old, whichever is
> sooner.

**OFFICES OF THE COMMISSIONERS**

**[ITEM NO.]{.underline}**

NC1-358-81-2/10 **[Commissioners\' Business Files]{.underline}** contain
official business correspondence, speeches and articles by the
Commissioners. Files are maintained by docket number or subject matter.
Personal files are separately maintained. Official business papers
originating with, or received by, the Commissioner\'s office are held
until (1) conveyed to the appropriate official agency entity or (2)
final action officially recorded or the expiration of 5 years, whichever
occurs later.

> **[DISPOSITION]{.underline}:** Offer to NARA 5 years after termination
> of Commissioner\'s service.

**OFFICE OF THE SECRETARY**

**[ITEM NO.]{.underline}**

NC1-358-81-2/16 **[Privacy Act Reports Files]{.underline}** contain
recurring reports and one-time information requirements relating to the
Commission\'s implementation of the provisions of the Act, annual
reports to the Congress, the Office of Management and Budget and the
Report on New Systems. Files are arranged chronologically. 1974 to
present.

> **[DISPOSITION]{.underline}:** (a) [Annual Reports]{.underline}. Hold
> in office and offer to NARA when series accumulates enough to fill a
> Federal records center box or when 15 years old, whichever is sooner.
> (GRS Schedule 14, Item 29a).
>
> \(b\) [Other Reports]{.underline}. Destroy when 2 years old.

NC1-358-81-2/20 **[FMC Minutes]{.underline}** contain the official
record of agendas for Commission meetings along with memoranda or other
documents prepared by the staff presenting matters to the Commission for
action, and a record of the Commission\'s actions thereon. Includes
transcripts of closed Commission meetings. Minutes are arranged
chronologically in unbound form. 1948 to present.

> **[DISPOSITION]{.underline}:** Retain in office until no longer
> required for frequent reference but no longer than 20 years, then
> transfer to WNRC. Offer to NARA when 30 years old.

NC1-358-81-2/24 **[Freedom of Information Act Report
Files]{.underline}** contain recurring reports and one-time information
requirements relating to the Commission\'s implementation of the FOIA,
including annual reports to Congress. 1975 to present.

> **[DISPOSITION:]{.underline}** (a) [Annual Report.]{.underline} Hold
> in office and offer to NARA when series accumulates enough to fill a
> Federal records center box or when 15 years old, whichever is sooner.
> (GRS Schedule 14, Item 19a).
>
> \(b\) [Other Reports]{.underline}. Destroy when 2 years old.

**OFFICE OF THE GENERAL COUNSEL**

**[ITEM NO.]{.underline}**

NC1-358-83-1/1 **[Indexes to Office of the General Counsel\'s Legal
Opinions]{.underline}.** Volume accumulated to date - 3 to 4 inches.
Estimated Annual Volume - Negligible.

> **[DISPOSITION]{.underline}:** Permanent. Hold in office until 30
> years old. Offer to NARA in conjunction with the offer of Legal
> Opinions.

NC1-358-83-1/2 **[Legal Opinions (Formal)]{.underline}** contain
documents reflecting legal opinions of the General Counsel which are
accumulated incident to questions proposed in connection with
interpretations of statutes, laws, and regulations. Documents are filed
in chronological order.

> **[DISPOSITION]{.underline}:** Permanent. Hold in office until given
> file is 30 years old. Offer to NARA when 30 years old in 5 year
> blocks.

**OFFICE OF ADMINISTRATION**

**[ITEM NO.]{.underline}**

NC1-358-81-2/88 **[Organizational Records Files]{.underline}** contain
record copies of Commission Orders and other internal issuances
documenting the organizational changes thereto with supporting
documentation for development of the issuance. Files are arranged
numerically. 1961 to present.

> **[DISPOSITION]{.underline}:** Place in inactive file when directive
> becomes obsolete, superseded or cancelled. Transfer to WNRC when 10
> years old. Offer to NARA when 15 years old.

**TEMPORARY RECORDS**

**OFFICE OF THE CHAIRMAN**

**[ITEM NO.]{.underline}**

NC1-358-81-2/1 **[Reading File]{.underline}** contains copies of
incoming, outgoing and internal correspondence prepared by the Office of
the Chairman or by other Offices for the Chairman\'s signature relating
to management decisions, authorities, actions or policies of the
Chairman, or other persons acting for the Chairman discharging the
executive and administrative functions of the agency. Correspondence
prepared by other offices or bureaus for the Chairman\'s signature
contained in this file is in addition to the files maintained by bureaus
or offices. Files are arranged chronologically.

> **[DISPOSITION]{.underline}:** Close file at end of each calendar
> year. Hold in office until 10 years old, then destroy.

NC1-358-81-2/3 **[Docketed Agenda Files]{.underline}** contain copies of
items considered at formal Commission meetings; copies of rules and
regulations promulgated by the Commission; backup and other working
papers used as a basis for formal decisions or dissenting opinions;
formal proceedings, formal complaints or other matters presented to the
Commission for consideration or action; and correspondence pertaining to
the docket item. Files essentially duplicate those maintained by the
Office of the Secretary.

> **[DISPOSITION]{.underline}:** Files are maintained by docket number,
> or topic and are held in the office for ongoing use of Chairman and
> successors. Destroy when file is no longer needed.

NC1-358-81-2/4 **[Notation Item Files]{.underline}** contain copies of
notation items (items not considered at a formal Commission meeting) and
are arranged chronologically. Files essentially duplicate those
maintained by the Office of the Secretary.

> **[DISPOSITION]{.underline}:** Close file at end of year. Hold files
> in office and destroy when 5 years old.

**OFFICES OF THE COMMISSIONERS**

[**ITEM NO**.]{.underline}

NC1-358-81-2/9 **[Docket/Agenda Files]{.underline}** contain duplicate
copies of agendas and documents distributed by the Secretary of the
Commission for consideration at formal Commission meetings or by
notation voting; copies of rules and regulations promulgated by the
Commission; backup and other working papers used as a basis for formal
decisions or dissenting opinions; copies of formal proceedings; formal
complaints or other matters presented to the Commission for
consideration or action; and correspondence pertaining to the related
items. Files essentially duplicate those maintained by the Office of the
Secretary.

> **[DISPOSITION]{.underline}:** Files are maintained by docket number,
> agreement number, or topic and are held in the office for ongoing use
> of Commissioner and successors. Destroy when file is no longer needed.

**OFFICE OF THE SECRETARY**

**[ITEM NO.]{.underline}**

NC1-358-81-2/21 **[Reading Files]{.underline}** contains copies of
Office of the Secretary\'s incoming and outgoing correspondence to
staff, the public, other Government agencies and Congressional interests
relating to Commission authorities, procedures, policies, actions or
decisions.

> **[DISPOSITION]{.underline}:** Close file at end of calendar year and
> retain in office until 10 years old. Transfer to WNRC. Destroy when 20
> years old.

NC1-358-81-2/22 **[Federal Register Original Tissues]{.underline}**
contain original stamped copies of Commission rules and regulations
returned from the [Federal Register]{.underline} which, by law, must be
published in the [Register]{.underline} and other miscellaneous
documents which are of sufficient public interest to warrant publication
in the [Register]{.underline}.

> **[DISPOSITION:]{.underline}** Close file annually. Destroy when 3
> years old or sooner, if no longer needed.

NC1-358-81-2/23 **[Non-Attorney Practitioner Files]{.underline}**
contain application form and letters of reference for persons, not
attorneys, who apply for or are granted permission to practice before
the Commission.

> **[DISPOSITION]{.underline}:** Maintain files in office for 10 years
> after an applicant ceases to practice, then transfer to WNRC. Destroy
> when 30 years old.

NC1-358-81-2/25 **[Fact Finding Investigations]{.underline}** files
contain correspondence, orders, notices, rules, transcripts, and other
related material for investigations held where information is needed for
purposes of rulemaking, or helpful in carrying out duties, or to
determine whether the Shipping Acts or Commission-administered rules
have been violated. Fact finding investigations are used as an
alternative to formal proceedings and are conducted by a designated
official, pursuant to the Commission\'s Rules of Practice and Procedure,
Subpart R, Nonadjudicatory Investigations. The official file is
accumulated by the Fact Finding Investigative Officer and, upon
completion, submitted to the Secretary\'s office. Files are arranged
numerically and material therein is filed in chronological order.

> **[DISPOSITION]{.underline}:** Close file upon completion of
> investigation and hold in office until 5 years old. Transfer
> transcripts to WNRC. Destroy when 30 years old. Retain all other
> documents, i.e., correspondence, orders, notices, rules, and other
> related materials in the office for reference use of Commission staff
> and the public. Destroy when no longer needed.

N1-358-93-1/1 **[Official Docket]{.underline}** contains the record
copies of formal, informal (small claims), and special docket and
rulemaking proceedings instituted by Commission order or by formal
complaint or small claim alleging a violation of the Shipping Act, 1916,
as amended, the Shipping Act of 1984, as amended, and other applicable
laws, or proposing rules. The docket consists of orders, notices,
correspondence, transcripts, pleadings and exhibits, motions, petitions
and briefs, and other documents submitted as evidence in proceedings.
Files are arranged by docket number in hard-bound docket binders, size
10-1/2 inches by 13 inches; and material contained therein is filed
chronologically.

> **[DISPOSITION]{.underline}:** (a) Other than significant cases,
> retain in office for 1 year following completion of proceedings, then
> transfer to WNRC. Destroy when 15 years old.
>
> \(b\) For significant cases having wide public interest, retain in
> office for 5 years after completion of proceeding, then transfer to
> the WNRC. Destroy when 30 years old.

NC1-358-81-3/2 **[Interoffice Confidential Files]{.underline}** contain
materials related to formal hearings (dockets), including
administratively restricted intra-agency memos and correspondence
peripheral to subject of hearing, which is not included in the official
docket file. Files are arranged in individual folders by docket number
and material contained therein is filed in chronological order.

> **[DISPOSITION]{.underline}:** (a) For other than significant cases,
> retain in office for 1 year following completion of docketed
> proceeding, then transfer to WNRC. Destroy when 10 years old.

\(b\) For significant cases having wide public interest, retain in the
office for 5 years after completion of proceeding, then transfer to
WNRC. Destroy when 30 years old.

NC1-358-81-2/83 **[Environmental Assessments (Findings of No Significant
Impact -- FONSI's]{.underline})** include Notices of Intent to Make an
Environmental Assessment (in some cases); Notices of Availability of
Finding of No Significant Impact; environmental assessments;
correspondence; applicable Commission Notices; research data; and work
papers.

> **[DISPOSITION]{.underline}:** (a) Other than significant cases,
> retain for 3 years following completion of environmental assessment,
> then transfer to WNRC. Destroy when 5 years old.

\(b\) For significant cases, retain 5 years following completion of
environmental assessment, then transfer to WNRC. Destroy when 8 years
old.

NC1-358-81-2/84 **[Environmental/Energy Impact Statements]{.underline}**
include Notices of Intent to Make an Environmental Assessment, Notices
of Availability of Draft Environmental Impact Statements; Draft
Environmental Impact Statements; Notices of Availability of Final
Environmental Impact Statements; Final Environment Impact Statements;
Notices of Availability of Energy Impact Statements; Energy Impact
Statements; correspondence; applicable Commission notices; research
data; and work papers.

> **[DISPOSITION]{.underline}:** (a) Other than significant cases,
> retain in office for 5 years following completion of
> environmental/energy impact statement, then transfer to WNRC. Destroy
> when 8 years old.
>
> \(b\) For significant cases, retain in office for 8 years following
> completion of environmental/energy impact statement, then transfer to
> WNRC. Destroy when 11 years old.

**[Office of Consumer Affairs & Dispute Resolution
Services]{.underline}**

**[ITEM NO.]{.underline}**

N1-358-95-1/1 **[Informal Complaints]{.underline}** files contain
correspondence with the FMC by shipping companies and other persons
subject to the Shipping Act of 1984 and other applicable Acts and laws
relative to changes in rates, fares, and discriminatory practices
against shippers, carriers, or other persons and/or correspondence
relating to consumer complaints against the practices, methods,
operations and rate levels established by those engaged in foreign and
domestic waterborne commerce and the disposition of such complaints.
After investigation, cases are concluded by administrative action,
formal proceedings, referral to state or federal authorities, or by
achieving voluntary agreement between the parties.

> **[DISPOSITION]{.underline}**: Cut off after settlement or conclusion
> or complaints. Retire to WNRC 2 years after cutoff. Destroy 5 years
> after cutoff.

**OFFICE OF THE GENERAL COUNSEL**

**[ITEM NO.]{.underline}**

N1-358-95-1/2 **[International Affairs (Classified Documents)
Files]{.underline}** contain copies of State Department cables, letters,
and other classified documents which are circulated to the Commissioners
and \[Managing Director\] for information. Files are maintained in a
combination locked safe.

> **[DISPOSITION]{.underline}:** Maintain for reference for 5 years.
> Then destroy by shredding.

NC1-358-81-2/8 **[International Affairs (Country) Files]{.underline}**
contain correspondence, background information and other unclassified
material which is maintained for reference and background information in
dealing with foreign governments.

> **[DISPOSITION]{.underline}:** Maintain for reference until no longer
> needed. Then destroy.

NC1-358-81-2/26 **[Docket case analysis and summary]{.underline}.** (use
exact heading). Contains analyses and summaries of formal docketed
proceedings prepared by the staff for use in advising the Commission in
its regulatory functions. Copies of these documents are also included in
the Office of the Secretary\'s Interoffice Confidential Files.

> **[DISPOSITION]{.underline}:** (a) Retain in office for 2 years
> following completion of proceeding, then transfer to WNRC. Destroy
> file when 7 years old.
>
> \(b\) For significant cases having wide public interest retain in
> office for 4 years after completion of proceeding, then transfer to
> WNRC. Destroy file when 7 years old.

NC1-358-81-2/27 [**Docket, (Workpapers) Docket No.**]{.underline}
Includes all the workpapers of each office pertaining to a particular
docket. (When transferred to WNRC, the file should not contain any
records that are filed by the Secretary's Office in the FMC Official
Docket File, i.e., transcripts, briefs, exhibits or orders.)

> **[DISPOSITION:]{.underline}** (a) Retain in office for 2 years
> following completion of proceeding, then transfer to WNRC with related
> case analysis. Destroy file when 7 years old.
>
> \(b\) For significant cases having wide public interest retain in
> office for 7 years after completion of proceeding, then transfer to
> WNRC. Destroy file when 10 years old.

N1-358-95-1/3 **[Federal and other Court Cases]{.underline}.** Essential
case filings, pleadings, judgments, orders, decrees, briefs, exhibits,
and correspondence pertaining to the defense or prosecution of FMC
regulations or authorities. (Cases are filed by (1) Supreme, Appeals,
District, and State Courts; (2) date; (3) case number; and (4) name of
case.)

> **[DISPOSITION:]{.underline}** (a) Cutoff after completion of
> proceeding. Retire to WNRC 5 years after cutoff. Destroy 10 years
> after cutoff.
>
> \(b\) For significant cases having wide public interest, cut off after
> completion of proceeding. Retire to WNRC 10 years after cutoff.
> Destroy 20 years after cutoff.

NC1-358-81-2/30 **[Liaison, Litigation, Enforcement Correspondence
File]{.underline}** contains correspondence between the Commission and
federal or state agencies and private companies concerning subject
matters under the jurisdiction of the Commission.

> **[DISPOSITION:]{.underline}** Close file at end of calendar year in
> which settlement is made. Hold in office for 2 years following closing
> of file, then transfer to WNRC. Destroy when 5 years old.

NC1-358-81-2/31 **[Legislative Correspondence]{.underline}** contains
requests from Congressional Committees or other agencies for comments on
bills that have been introduced in the Congress; copies of proposed
orders, bills, reports and correspondence with the White House, the
Executive Office of the President, Congressional Committees and other
documents created or accumulated in coordination, preparing and
responding to proposed legislation which may have an impact on the FMC.
Files also contain FMC-initiated legislative proposals of interest to or
affecting the Commission that is first sent to OMB for clearance and
then submitted to Congress. Files are arranged by Congress.

> **[DISPOSITION]{.underline}:** Close files at end of each Congress.
> Transfer to inactive file and retain in office until 10 years old,
> then destroy.

NC1-358-81-2/32 **[General Subject Files]{.underline}** contain general
information on subjects of FMC concern; newspaper and magazine articles,
published reports of other Federal agencies, Congressional committee,
and subcommittee draft proposals and position papers.

> **[DISPOSITION]{.underline}:** Close files at the end of each
> Congress. Transfer to inactive files and destroy when 10 years old.

N1-358-95-1/4 **[Legislative History Index Cards]{.underline}** -- a
chronological card file index that records: (a) Congressional action as
well as FMC treatment of pending legislation; (b) correspondence with
OMB on pending legislation; and (c) FMC-proposed legislation submitted
to OMB and Congress for consideration and introduction. Files are
arranged 87^th^ Congress to present.

> **[DISPOSITION:]{.underline}** Cards may be disposed after 30 years'
> office retention.

GRS 1, Item 24(b) **[Confidential Statement of Financial
Interests]{.underline}** contains documents such as employee forms and
correspondence accumulated in the legal review of employees who are
required to file statements of financial interests, outside employment,
or comparable interests. This information is required to insure employee
compliance with 5 CFR 2634, which establishes requirements for public
financial disclosure reporting and confidential (nonpublic) financial
disclosure reporting.

> **[DISPOSITION]{.underline}:** Maintain in office for 6 years, then
> destroy.

**OFFICE OF ADMINISTRATION**

**[Office of the Director]{.underline}**

**[ITEM NO.]{.underline}**

N1-358-95-1/9 **[Reading File]{.underline}** contains incoming,
outgoing, and internal correspondence prepared by the Office of the
Director or by other offices for the Director's signature relating to
the coordination, development and execution of programs, policies, plans
and projects to accomplish the objectives established by the Chairman,
the Commission, and/or the \[Managing Director\] in providing
administrative and managerial direction to the offices under them.
Correspondence prepared by other offices for the Director's signature is
in addition to the files maintained by those offices.

> **[DISPOSITION:]{.underline}** Close file at the end of each calendar
> year. Hold in office until 3 years old, then destroy.

N1-358-95-1/10 [**Bureau and Office Reading Files**]{.underline} contain
copies of documents prepared by other offices and bureaus on subject
matter involving policy interpretations. The official file copy is
maintained in the originating office's files.

> **[DISPOSITION:]{.underline}** Close file annually. Transfer to
> inactive file. Destroy when 3 years old.

N1-358-95-1/11 **[Subject Files]{.underline}** contain letters,
memoranda, reports and other documents created or acquired from other
offices and/or agencies in formulating and implementing plans, responses
and decisions on matters of major policy impact or in providing
operational and managerial guidance concerning all programs, functions
and objectives of the Commission.

> **[DISPOSITION:]{.underline}** Files are arranged alphabetically by
> subject matter and material therein is filed chronologically. Official
> business papers originating with, or received by, the Director's
> office are held until conveyed to the appropriate office or final
> action is officially recorded or the expiration of 5 years, whichever
> occurs later; then destroyed.

NC1-358-81-2/89 **[Management and Program Evaluation File]{.underline}**
contains final reports of management studies and surveys of Commission
programs, or existing procedures/organizational structure along with
supporting papers documenting project initiation, scope, procedures,
accomplishments, and other follow-up communications and data.

> **[DISPOSITION]{.underline}:** Close file after completion of study or
> project. Transfer to inactive file and hold in office until 15 years
> old. Transfer to WNRC and destroy when 20 years old.

NC1-358-81-2/90 **[Administrative Forms Files]{.underline}** consists of
copies of internally used forms, form approval requests, amendments or
revisions to forms, copies of implementing directives (where
applicable), and other related documentation.

> **[DISPOSITION]{.underline}:** Retain for 3 years after form is
> obsolete, superseded or discontinued, then destroy.

NC1-358-81-2/91 **[Plans or Report Forms Files]{.underline}** contain
external use plans or report forms requesting information from 10 or
more persons and submitted to OMB for clearance in accordance with their
requirements, copies of reporting form or requirement, letter to OMB
requesting clearance and supporting documentation for the form or
requirement.

> **[DISPOSITION]{.underline}:** Close file when plan or report form has
> been discontinued in its entirety. Transfer to inactive file and hold
> in office until 3 years old. Transfer to WNRC and destroy when 8 years
> old.

NC1-358-81-2/92 **[Vital Records]{.underline}** contain copies of
applicable statutes, orders, regulations, and decisions of the
Commission, listings of licensed certificants, administrative documents,
computer programs, and other records deemed vital to the reconstruction
of the FMC in the event of a national emergency.

> **[DISPOSITION]{.underline}:** Recall box from WNRC every April l and
> update records. Return to WNRC until next yearly update cycle.

N1-358-86-1/5 **[Office of Regulatory Overview Subject
Files]{.underline}** contain letters, memoranda, and other documents
created in formulating and implementing plans, responses and decisions
on matters of policy impact or in providing operational and managerial
guidance to organizational segments concerning programs, functions, and
objectives of the Commission. Files are arranged alphabetically by
subject and numerically by docket number.

> **[DISPOSITION:]{.underline}** Review files annually and close files
> where there has been no activity for one year or more. Destroy files 6
> months thereafter.

N1-358-86-1/7 **[Office of Regulatory Overview Code Files]{.underline}**
contain drafts, statutory materials and other documents created in
formulating the Submission to Congress of the Commission's draft
recodification of its parts of Title 46, United States Code. Files will
be used for future comments to Congress and further editing of the Code
as may be requested by Congress.

> **[DISPOSITION:]{.underline}** Maintain in office until no longer
> needed for reference. Then destroy.

**[Office of Financial Management]{.underline}**

This Office uses General Records Schedule Nos. 2, 5, 6, 7, 9 and 23 for
the disposition of its records.

**[ITEM NO.]{.underline}**

NC1-358-81-2/87 **[Budget Estimates and Justification
File]{.underline}** contain copies of budget estimates and
justifications prepared and consolidated by the Office. Also included
are appropriation language sheets, narrative statements, and related
schedules and data. Files are arranged chronologically. (GRS Schedule 5,
Item 2)

> **DISPOSITION:** Maintain in office until no longer needed for
> reference or action purposes, then destroy.

NC1-358-81-2/93 **[User Charges Files]{.underline}** contain letters,
memos, recommendations, and other supporting data used to develop fee
schedules for the fees charged by the Commission for various services
rendered to the public, e.g., licensing fees, publication fees, etc.

> **[DISPOSITION:]{.underline}** Close file 1 year after superseded by
> new fee schedule. Transfer to inactive file and hold in office until
> 10 years old, then destroy.

**Office of Human Resources**

This Office uses General Records Schedule No. 1 for the disposition of
its records.

**[ITEM NO.]{.underline}**

NC1-358-81-2/86 **[Security Officer (Washington, D.C.) Personnel
Security Files]{.underline}** contain results of name checks, inquiries,
and the investigations of employees of the FMC or applicants for
employment with the U.S. Government.

> **[DISPOSITION]{.underline}:** Return record copies of reports
> furnished by Office of Personnel Management after information has been
> reviewed and maintain other FMC records on file until termination of
> employee from agency. Destroy within 30 days after employee leaves.

**Office of Information Technology**

This Office uses General Records Schedule No. 12, 24 and 27 for the
disposition of its records.

**Office of Management Services**

This Office uses the General Records Schedule Nos. 3, 4, 10, 11, 12, 13
and 18 for the disposition of its records.

**[ITEM NO.]{.underline}**

N1-358-91-1/1 **[Parking Permit Application Files]{.underline}** --
contain FMC-190 Applications for employees and their carpool members
desiring agency controlled parking. These applications consist of the
following information: names, office locations, and telephone numbers;
home addresses; make, year, model, and license number of vehicles. Files
are arranged alphabetically by applicant name and space assignment.

**[DISPOSITION:]{.underline}** Destroy after second overall reallocation
of permits.

> **OFFICE OF EQUAL EMPLOYMENT OPPORTUNITY**

This Office uses General Records Schedule No. 1 for the disposition of
its records.

**OFFICE OF ADMINISTRATIVE LAW JUDGES**

**[ITEM NO.]{.underline}**

NC1-358-81-2/36 **[Docketed Files]{.underline}** are duplicate copies of
the pleadings, notices, orders, reports and correspondence in the
official docket files maintained in the Docket Activity section of the
Secretary\'s Office.

> **[DISPOSITION]{.underline}:** Maintain in office until no longer
> needed for reference. Then destroy.

**OFFICE OF THE INSPECTOR GENERAL**

**[ITEM NO.]{.underline}**

N1-358-91-1/2 **[Investigative Case Files]{.underline}** contain case
files developed during investigations of known or alleged fraud and
abuse and irregularities and violations of laws and regulations. Cases
relate to agency personnel and programs and operations administered by
the agency, including contractors and others having a relationship with
the agency. This includes investigative files relating to employee and
hotline complaints, and other miscellaneous complaint files. Files
consist of investigative reports and related documents, such as
correspondence, notes, attachments, and working papers.

> **[DISPOSITION:]{.underline}** (a) Files containing information or
> allegations which are of an investigative nature but do not relate to
> a specific investigation. They include anonymous or vague allegations
> not warranting an investigation, matters referred to constituents or
> other agencies for handling, and support files providing general
> information which may prove useful in Inspector General
> investigations. Place in inactive file when closed. Cut off inactive
> file at end of fiscal year. Destroy when 10 years old.
>
> \(b\) All other investigative case files -- Place in inactive files
> when case is closed. Cut off inactive file at end of fiscal year.
> Destroy 15 years after cutoff.

N1-358-91-1/3 **[Audit Case Files]{.underline}** contain case files of
internal audits of agency programs, operations, and procedures, and of
external audits of contractors. Consists of audit reports,
correspondence, memoranda, and supporting work papers.

> **[DISPOSITION]{.underline}:** Cut off at end of fiscal year in which
> case is closed. Destroy 15 years after cut off.

**OFFICE OF OPERATIONS**

**[ITEM NO.]{.underline}**

NC1-358-81-2/11 **[Reading File]{.underline}** contains incoming,
outgoing and internal correspondence prepared by the Office of the
\[Managing Director/Deputy Managing Directors\] or by other offices for
the Directors\' signatures relating to the coordination, development and
execution of programs, policies, plans and projects to accomplish the
objectives established by the Chairman and/or the Commission, or by
other persons acting for the \[Managing Director\] in providing
administrative and managerial direction to the offices under them.
Correspondence prepared by other offices or bureaus for the \[Managing
Director's/Deputy Managing Directors'\] signature is in addition to the
files maintained by bureaus or offices.

> **[DISPOSITION]{.underline}:** Close file at end of each calendar
> year. Hold in office until 5 years old, then destroy.

NC1-358-81-2/12 **[Bureau and Office Reading Files]{.underline}**
contain copies of memos, letters, and other documents prepared by
bureaus and offices for their signature on subject matter involving
policy interpretations or other matters in which the \[Managing
Director\] has asked to be kept informed. The official file copy is
maintained in the originating office\'s files.

> **[DISPOSITION]{.underline}:** Close file annually. Transfer to
> inactive file. Destroy when 3 years old.

NC1-358-81-2/13 **\[[Managing Director\'s\] Subject Files]{.underline}**
contain letters, memoranda, and other documents created in formulating
and implementing plans, responses and decisions on matters of major
policy impact or in providing operational and managerial guidance to all
organizational segments concerning all programs, functions and
objectives of the Commission. Files are arranged alphabetically.

> **[DISPOSITION]{.underline}:** Files are maintained by subject matter,
> and material therein is filed chronologically. Personal files are
> separately maintained. Official business papers originating with, or
> received by, the \[Managing Director\'s\] office are held until
> (1) conveyed to the appropriate official agency entity or (2) final
> action officially recorded or the expiration of 5 years, whichever
> occurs later; then destroyed.

NC1-358-81-2/14 **[Commission Meeting Files]{.underline}** contain
advance copies of recommendations to the Commission prepared by the
staff and copies of agenda, notation, approved or disapproved items
considered by the Commission. (Official copies are maintained by the
Office of the Secretary.)

> **[DISPOSITION]{.underline}:** Close file semiannually. Transfer to
> inactive drawer. Destroy when 1 year old.

**BUREAU OF CERTIFICATION AND LICENSING**

**[Office of Transportation Intermediaries]{.underline}**

**[ITEM NO.]{.underline}**

NC1-358-86-1/17 **[Individual Licensed Ocean Freight Forwarder
Files]{.underline}** - contain application (Form FMC-18); credit
references; a record of forwarding and/or other experience; financial
and compliance history of the individual freight forwarder; work papers;
investigation reports and summary recommendations; surety bond
information; compliance investigations reports; vital statistics,
addresses, and descriptions of the relationships of individual ocean
freight forwarders to other persons subject to the Shipping Act of 1984;
and denied, withdrawn or revoked licenses with reasons for denial or
revocation and all correspondence relative thereto. Files are arranged
numerically by license number.

> **[DISPOSITION]{.underline}:** Close file when license is denied,
> withdrawn or revoked. Place in inactive file and hold in office for 2
> years after final action, then transfer to WNRC. Destroy when 10 years
> old.

NC1-358-81-2/68 **[Historical Files]{.underline}** contain legislative
history of Section 44, Shipping Act, 1916, with breakdowns of 46 CFR 510
sections.

> **[DISPOSITION]{.underline}:** Retain in office until no longer
> required for reference and then transfer to FMC Library. Retain in
> Library until no longer needed for reference and destroy.

NC1-358-81-2/69 **[Informal Complaints]{.underline}** contain all
relevant data concerning actions or complaints by forwarders, including
correspondence and disposition of complaint.

> **[DISPOSITION:]{.underline}** Retain in office for 3 years after
> settlement of complaint, then destroy.

**[Office of Passenger Vessels & Information Processing]{.underline}**

**[ITEM NO.]{.underline}**

N1-358-07-3 **[Regulated Persons Index (RPI)]{.underline}** -- The RPI
contains information on entities regulated by the FMC, as well as
entities that do business with the FMC. These entities include
vessel-operating common carriers, marine terminal operators, ocean
transportation intermediaries (OTIs), i.e., non-vessel-operating (NVO)
common carriers and ocean freight forwarders, freight conferences,
passenger vessel operators, attorneys, sureties, tariff publishers, and
third-party filing agents. The RPI is used by the FMC as a source of
address, phone, financial responsibility information (i.e., bond), and
contact information. It is also used to identify entities in compliance
with Commission regulations and to track ocean transportation
intermediary application receipts and assignments. Each entity is
assigned a unique 6-digit organization number and is labeled with one or
more person-type codes, which identifies the type of service(s) it
performs. Portions of the RPI are designated for internal and
administrative use only and are generally not available to the public.
The remainder of the RPI contains public information and is sold on CD
in Microsoft Excel, Access or text file. The system is available to FMC
staff via the FMC Intranet. \[These records are not subject to the
Privacy Act.\]

N1-358-07-3/1 **[Master Data Files for RPI.]{.underline}** All data are
maintained on-line. The master data files include address, phone,
financial responsibility (i.e., bond), and contact information, officers
and data pertaining to the entity, as applicable. Also included are data
to identify entities in compliance with Commission regulations and to
track ocean transportation intermediary application receipts and
assignments. Each entity is assigned a unique 6-digit organization
number and is labeled with one or more person-type codes, which
identifies the type of service(s) it performs. The records can be
searched in a number of ways, including by organization number,
legal/trade name, qualifying individual, address, phone number, NVO bond
number, freight forwarder bond number, or license number.

> **[DISPOSITION]{.underline}:** **Media Neutral.** Cut off at end of
> calendar year in which entity ceases to exist or offer services
> regulated by the Commission. Destroy 25 years after cutoff.

GRS 20/2a(3) **[System Inputs for RPI.]{.underline}** Current
organization information is primarily collected from Commission Forms
FMC-1, Tariff Registration Form; FMC-18, Application for a License as an
Ocean Transportation Intermediary; FMC-48, Ocean Transportation
Intermediary Bond; FMC-69, Ocean Transportation Intermediary Group Bond
Form; and FMC-131, Application for Certificate of Financial
Responsibility, as they are filed with the Commission.

**[DISPOSITION:]{.underline}** **Media Neutral.** File in appropriate
subject file. Destroy or accession to NARA according to approved
disposition authorities for the associated file.

GRS 20/4, 5, 6, **[System Outputs for RPI.]{.underline}** Record output
issuances that are not filed to a

7 and 12 separate recordkeeping system, such as statistics used for
monthly report, Commission Annual Report, and Congressional budget;
reports used to monitor and track workload assignments; reports made
available to the public containing the names, addresses and bonding
information for active OTIs; and other similar reports.

> **[DISPOSITION:]{.underline} Media Neutral.** Destroy reports 180 days
> after report is generated or when no longer needed for reference,
> whichever is sooner.

GRS 20/11a(1) **[System Documentation for RPI.]{.underline}** Contains
all system documentation that allows system usage and interpretation,
such as data dictionaries, system and user manuals, and other related
materials.

> **[DISPOSITION:]{.underline}** **Media Neutral.** Destroy or delete
> when superseded or no longer needed for reference, whichever is later.

N1-358-07-2/1 **[Certificant (Performance) Files]{.underline}** include
application form; evidence of financial responsibility, including surety
bonds, guaranties, and escrow agreements and their amendments; powers of
attorney; acceptance of service of process; compliance reporting; staff
memoranda; orders; audits; copy of Performance Certificate;
correspondence; documents pertaining to cancelled, terminated or
inapplicable evidence of financial responsibility; and other material
pertinent to acquisition and maintenance of a certificate.

> **[DISPOSITION]{.underline}:** **Media Neutral.** Cut off file at end
> of calendar year in which certificate is cancelled, withdrawn, denied,
> or revoked. Destroy 10 years after cutoff, or when no longer needed
> for reference, whichever is later.

N1-358-07-2/2 **[P & I Club Trust Fund Files]{.underline}.** Trust
agreement and amendments, related documents and materials, and
correspondence regarding the amount of assets in the U.S.

> **[DISPOSITION]{.underline}:** **Media Neutral.** Cut off file at end
> of calendar year in which agreement is cancelled. Destroy 10 years
> after cutoff, or when no longer needed for reference, whichever is
> later.

N1-358-07-2/3 **[Insurance Policy Files]{.underline}** contain policies
submitted by applicants as evidence of financial responsibility.

> **[DISPOSITION]{.underline}:** **Media Neutral.** Cut off file at end
> of calendar year in which carrier ceases operations in the U.S. or
> cancels insurance. Destroy 10 years after cutoff, or when no longer
> needed for reference, whichever is later.

N1-358-07-2/4 **[Certificant Casualty Files]{.underline}** - include
application form; evidence of financial responsibility, including
insurance, guarantees and surety bonds and their amendments; staff
memoranda; orders; copy of Casualty Certificate; correspondence;
documents pertaining to cancelled, terminated or inapplicable evidence
of financial responsibility; and other material pertinent to acquisition
and maintenance of a certificate.

> **[DISPOSITION]{.underline}:** **Media Neutral.** Cut off file at end
> of calendar year in which certificate is cancelled, withdrawn, denied
> or revoked. Destroy 10 years after cutoff, or when no longer needed
> for reference, whichever is later.

N1-358-07-2/5 **[Certificate (Performance) Log; Certificate (Casualty)
Log]{.underline}** - a copy of each Performance or Casualty certificate
issued in chronological order.

> **[DISPOSITION]{.underline}:** **Media Neutral.** Cut off at end of
> calendar year in which created. Destroy 10 years after cutoff, or when
> no longer needed for reference, whichever is later.

N1-358-07-2/6 **[Revocations (Performance) Log; Certificate (Casualty)
Log]{.underline}** contains a chronological list of revoked certificates
and a copy of each staff revocation memorandum.

> **[DISPOSITION]{.underline}:** **Media Neutral.** Cut off at end of
> calendar year in which created. Destroy 10 years after cutoff, or when
> no longer needed for reference, whichever is later.

N1-358-07-2/7 **[Reading File]{.underline}** contains copies of all
correspondence, memoranda, etc., emanating from the OPVIP.

> **[DISPOSITION]{.underline}:** **Media Neutral.** Cut off at end of
> calendar year. Destroy 5 years after cutoff.

**BUREAU OF ENFORCEMENT**

**[ITEM NO.]{.underline}**

NC1-358-07-6/1 **[Formal Proceeding Docket Files]{.underline}**
essentially duplicate those maintained by the Office of the Secretary,
i.e., Official Docket, transcript, pleadings, and exhibits. Files may
also contain documentation obtained in discovery. Files are maintained
and arranged in chronological order.

> **[DISPOSITION]{.underline}:** **Media Neutral.** Cut off at end of
> calendar year in which case is closed. Destroy 1 year after cutoff.

N1-358-07-6/2 **[Bureau Reading Files]{.underline}** contain copies of
all correspondence, memoranda, etc. emanating from the Bureau.

**[DISPOSITION:]{.underline}** **Media Neutral.** Cut off at end of
calendar year. Destroy 5 years after cutoff.

N1-358-07-6/3 **[Investigative Case Files (including Surveillance,
Intelligence, and Liaison Files)]{.underline}** contain reports of
investigations of alleged violations of the shipping statutes by
carriers, forwarders, shippers, terminal operators or others, exhibits
to reports, correspondence, passenger vessel audits, ocean
transportation intermediary compliance checks, complaint correspondence,
special inquiry reports, and shipping intelligence. Where enforcement
actions have been taken, contain enforcement claims and other
settlements which may include legal reviews, warning letters, demand
letters, copies of settlements, record of payments and associated papers
of persons subject to the regulatory authority of the Commission rules
and regulations. These files are culled at the time the investigation or
enforcement matter is closed, and investigative documentation not
incorporated in an Enforcement Report or Memorandum of Legal Review are
transferred to the Related Enforcement Documentation files.
Investigative files used by the Area Representatives contain copies of
the same materials. These files may contain confidential information.

> **[DISPOSITION:]{.underline}** **Media Neutral.** Cut off at end of
> calendar year in which case file actions are concluded. Transfer to
> FRC 7 years after cut off. Destroy 12 years after cutoff.

N1-358-07-6/4 **[Original Settlement Agreement File]{.underline}**
contains in chronological order original signed settlement agreements.

**[DISPOSITION:]{.underline}** **Media Neutral.** Cut off file at end of
each calendar year and transfer to inactive file. Destroy 25 years after
cutoff or when no longer needed.

N1-358-07-6/5 **[Related Enforcement Documentation.]{.underline}**
Contain documents collected at the time of the investigation but
ultimately not incorporated in an Enforcement Report or Memorandum of
Legal Review.

**[DISPOSITION:]{.underline}** **Media Neutral.** Cut off at end of
calendar year in which case is concluded. Destroy 1 year after cutoff.

N1-358-07-5 **[Case Tracking System (BOE HEAR)]{.underline}** -- This is
an automated information system that collects, records, and reports
information about the nature, handling, course, and outcome of
investigations and legal matters performed by BOE staff, and are
reflective of BOE's Investigative Case Files (Surveillance,
Intelligence, and Liaison Files). The current electronic system, which
is in Access, has been in existence since 1995; previous systems, which
date back to the early 1970s, are in various electronic forms and the
information has been archived to disks. The files are arranged by a
unique, sequentially assigned file number. BOE uses the information in
this system to assign cases to staff; to monitor the status and work on
those cases; to identify and analyze workload trends and issues; to
devise annual and special budget requests; and to report on caseloads,
activities, performance, and needs. \[These records are subject to the
Privacy Act.\]

N1-358-07-5/1 **[Master Data Files for Case Tracking System (BOE
HEAR).]{.underline}** All data are maintained on-line. The master data
files include data elements common to most cases and additional
information entered as available, pertinent, and needed. Data elements
recorded for each case can include, but are not limited to, name of
investigator; name of case attorney; special program code (type of
case); indication of whether or not it arose from an audit conducted by
the Bureau of Certification and Licensing (BCL); date opened; date
closed; docket number, if any; C number (cross reference to former
Bureau of Hearing Counsel case); status; amount settled; and date
payment received. Each record also allows up to 3 subject fields for
search purposes (primary subject, secondary subject, and Area
Representative initials). The records can be searched by subject or file
number.

> **[DISPOSITION:]{.underline}** **Media Neutral.** Cut off at end of
> calendar year in which case file actions are concluded. Archive 7
> years after cut-off. Destroy 25 years after cut-off.

GRS 20/2a(3) **[System Inputs for Case Tracking System (BOE
HEAR).]{.underline}** Case-related documents (examples include opening
memorandum, correspondence, pleadings, and case closing record) used as
sources to create, update, or modify records in the case tracking
system.

**[DISPOSITION:]{.underline}** **Media Neutral.** File in appropriate
case file \[N1-358-07-6/3\] or other appropriate file. Destroy or
accession to NARA according to approved disposition authorities for the
associated file.

GRS 20/4, 5, 6, **[System Outputs for Case Tracking System (BOE
HEAR).]{.underline}** Outputs

7 and 12 include Monthly Reports, Attorney Staff Reports, Investigative
Staff Reports, Special Program Reports, Open Cases by Date (most widely
used), Alphabetical Listing, Case Closed by Date, Special Program Code
Report (Closed Cases), Penalty Reports (Amounts), and Settlement
Reports. BCL also uses the system to run Audit Reports (Opened Cases).

**[DISPOSITION:]{.underline} Media Neutral.** Cut off report file at end
of calendar year. Destroy file 1 year after cut-off or when no longer
needed for reference.

GRS 20/11a(1) **[System Documentation for Case Tracking System (BOE
HEAR).]{.underline}** Contains all system documentation that allows
system usage and interpretation, such as data dictionaries, system and
user manuals, and other related materials.

> **[DISPOSITION:]{.underline}** **Media Neutral.** Destroy or delete
> when superseded or no longer needed for reference, whichever is later.

N1-358-07-4 **[General Indices (BOE Index).]{.underline}** This system
is a database that contains the names of companies and individuals that
have become the subject of an investigative or enforcement action. Along
with the name of a company or individual, there is a corresponding BOE
file number that identifies a hard-copy, paper file which is kept in
BOE's locked file room. These records date back to the 1960s, when they
were originally in paper form (card index). When the automated system
was developed, the paper records were scanned into it, and each document
was assigned an identification number by the system. The scan of each
record is a visual picture of the original index card, and some
information contained on the scanned records, such as type of violation,
is no longer collected. BOE uses the information in this system to
identify the official file that contains documents with the indexed
names. The system is not intended to generate reports. \[These records
are subject to the Privacy Act.\]

N1-358-07-4/1 **[Master Data Files for General Indices (BOE
Index).]{.underline}** All data are maintained on-line. Each electronic
record includes a file number key (assigned by the database); the unique
BOE file number; OTI license number (if any); special program code
(status); an indefinite number of subject fields; and a comment field.
The records can be searched by subject or file number.

> **[DISPOSITION:]{.underline}** Cut off record at end of calendar year
> in which case file actions are concluded. Archive 7 years after
> cut-off. Destroy 25 years after cut-off.

GRS 20/2a(3) **[System Inputs for General Indices (BOE
Index).]{.underline}** Case-related documents that would point to a
particular case, such as Opening Memorandum, various reports, memoranda
and correspondence.

> **[DISPOSITION:]{.underline}** File in appropriate case file or other
> appropriate file. Destroy or accession to NARA according to approved
> disposition authorities for the associated file.

GRS 20/11a(1) **[System Documentation for General Indices (BOE
Index).]{.underline}** Contains all system documentation that allows
system usage and interpretation, such as data dictionaries, system and
user manuals, and other related materials.

> **[DISPOSITION:]{.underline}** Destroy or delete when superseded or no
> longer needed for reference, whichever is later.

**BUREAU OF TRADE ANALYSIS**

**[Office of Agreements]{.underline}**

**[ITEM NO.]{.underline}**

NC1-358-86-1/8 **[Agreement Files (Foreign)]{.underline}** contain
agreements, correspondence, information forms (confidential) and other
documents submitted by carriers and conferences or other persons
operating in the foreign commerce of the United States in accordance
with the Shipping Act of 1984. Files also include staff recommendations,
orders, notices, minutes of conference meetings, ad hoc reports and
other papers pertaining to the agreements. Some information in the files
is confidential.

> **[DISPOSITION]{.underline}:** Hold in Bureau for 5 years after
> cancellation of agreement, then transfer to WNRC. Destroy 10 years
> after cancellation of agreement.

NC1-358-86-1/9 **[Agreement Files (Domestic)]{.underline}** contain
agreements, correspondence and

other documents submitted by carriers and conferences or other persons
in the domestic offshore commerce of the U.S. filed in accordance with
the Shipping Act, 1916. Files also include staff recommendations,
orders, notices, minutes of meetings, ad hoc reports and other papers
pertaining to the agreements. Some information in the files is
confidential.

> **[DISPOSITION:]{.underline}** Hold in Bureau for 5 years after
> cancellation of agreement, then transfer to WNRC. Destroy 10 years
> after cancellation of agreement.

N1-358-86-1/10 **[Agreement Files (Passenger)]{.underline}** contain
agreements, correspondence, recommendations, orders, minutes of
meetings, membership documents, and documents relating to cancelled,
terminated or inactive agreements file in accordance with the Shipping
Acts of 1916 and 1984, as amended. Files are arranged by agreement
number.

> **[DISPOSITION:]{.underline}** Retain for 5 years after agreement is
> cancelled or disapproved, then transfer to WNRC. Destroy when 10 years
> old.

NC1-358-86-1/11 **[Agreement File (Freight Forwarders)]{.underline}**
contains agreement, correspondence, recommendations, orders, reasons for
canceling and all relevant data submitted by freight forwarders in
accordance with the Shipping Act, 1916. Files are arranged numerically.

> **[DISPOSITION:]{.underline}** Close file when agreement is cancelled
> and retain in office until 5 years old. Then transfer to WNRC. Destroy
> when 10 years old.

N1-358-95-1/6 **[Agreement File (Terminals) -- Including Not Subject
Agreements]{.underline}** contain agreements, other documents and
correspondence submitted by carriers and/or terminal operators in the
foreign and domestic commerce of the U.S. in accordance with the
Shipping Act of 1916 and 1984. Files contain agreements; correspondence
between the Commission and carriers, terminal operators and other
persons; recommendations to the Commission; orders, notices and other
papers pertaining to approval, modification, amendment, determination of
subjectivity, investigation or hearing thereof. Files are arranged in
individual folders by agreement number and material filed therein is
arranged chronologically.

> **[DISPOSITION:]{.underline}** When agreement is cancelled or
> disapproved, transfer to cancelled agreements file. Retire to WNRC 1
> year after cutoff. Destroy 10 years after cutoff.

N1-358-95-1/7 **[Conference and Association Reports]{.underline}**
contain conference and association of marine terminals reports submitted
pursuant to 46 CFR Part 572. These reports include minutes of conference
meetings.

> **[DISPOSITION:]{.underline}** Cutoff when agreement is canceled.
> Transfer to WNRC 6 years after cutoff. Destroy 8 years after cutoff.

N1-358-91-1/14 **[Terminal Agreement Cards]{.underline}** are index
cards containing alphabetical

records of agreements by filing party.

> **[DISPOSITION:]{.underline}** Keep in office as long as tariff and
> agreement files are retained, then destroy.

N1-358-86-1/13 **[Agreement Subject File]{.underline}** contain general
correspondence, records and miscellaneous papers pertaining to overall
agreement policy matters filed by subject and not by agreement number.

> **[DISPOSITION]{.underline}:** Close file at the end of each calendar
> year. Hold in office for 5 years, then destroy.

NC1-358-81-2/43 **[Copies of Section 15 Agreements for distribution to
the public]{.underline}** contain complete copies of effective
agreements maintained for disseminating information to the public
pursuant to the Shipping Act, 1916, as amended.

> **[DISPOSITION:]{.underline}** Retain copies as long as agreements are
> in effect. Destroy when agreements are cancelled.

NC1-358-81-2/62 **[Shippers' Requests and Complaints]{.underline}**
reports received from conferences

and agreements listing the number of shippers' requests and complaints
that are handled by the conference office on an annual basis.

> **[DISPOSITION:]{.underline}** Close file annually and retain in
> office until 5 years old, then destroy.

N1-358-95-1/8 **[Special Reports and Studies Files]{.underline}**
contain copies of trade studies conducted by the staff to provide a
source of information to the public or to assist the Commission in its
decisionmaking. These studies examine trade conditions, trading patterns
and trends, economic conditions, etc. Reports for the public are
generally available from the Government Printing Office, other studies
are available from the Commission\'s Public Information Office. The
files also contain documents such as specific, economic reports directed
towards various economic issues presented to the Commission, reports
prepared for the benefit of the Chairman, and reports prepared in
response to Congressional inquiries.

> **[DISPOSITION]{.underline}:** Retain in office for 5 years after
> completion of study or until no longer needed for active or reference
> purposes, whichever is later. Destroy when no longer needed.

**[Office of Service Contracts & Tariffs]{.underline}**

**[ITEM NO.]{.underline}**

N1-358-07-1/1 **[Service Contracts.]{.underline}** The official file may
be in electronic or paper format, but not both. Comprised of individual
confidential document files that include all significant records that
pertain to individual service contracts between one ocean common carrier
organization, or an FMC agreement organization of such carriers working
in concert, and one or more shippers. Contains service contracts,
essential term (ET) publications, amendments, notices, shipper status
certifications, and other appropriate documentation that describes
origin and destination port ranges, shipping commodities, effective and
expiration dates, line haul rates, shipper's status, service
commitments, and other applicable information. These document files are
arranged by a five- or six-digit FMC number assigned to ocean common
carrier or agreement organization's alpha-numeric scheme with
consecutively numbered amendments. The electronic versions are inputs
into the SERVCON System and are arranged primarily, by the individual
ocean common carrier or agreement organization name, FMC-assigned
Regulated Persons Index (RPI) number and carrier/agreement related
alpha-numeric scheme with consecutively numbered amendments. \[These
records are not subject to the Privacy Act.\]

**(a)** **Paper files not microfiched or imaged and ETs filed in the
Automated Tariff Filing and Information System (ATFI) associated with
the paper files.** Dates through the end of April 1999.

> **[DISPOSITION:]{.underline}** Cut off at end of fiscal year in which
> service contract is canceled. Retire to records center 5 years after
> cutoff. Destroy 10 years after cutoff.

**(b)** **Paper files microfiched or imaged.** Dates through the end of
April 1999.

> **[DISPOSITION:]{.underline}** Cut off when microfiche or imaging is
> complete and information accuracy verified. Destroy within 180 days of
> cutoff.

**(c)** **Microfiched and Imaged Service Contracts.** Dates through end
of April 1999.

> **[DISPOSITION:]{.underline}** Cut off at end of fiscal year in which
> service contract is canceled. Retire to records center 5 years after
> cutoff, if needed. Destroy or delete 10 years after cutoff.

**(d)** **Electronic Service Contracts.** Service contracts and
amendments electronically filed since May 1999. These are electronic
inputs into the SERVCON electronic system and superseding systems. This
authority does not apply to the SERVCON electronic master files.

> **[DISPOSITION:]{.underline}** Cut off when electronic filing
> information accuracy verified. Delete within 180 days of cutoff.

N1-358-07-1/2 **[Non-Vessel-Operating Common Carrier (NVOCC) Service
Arrangements (NSAs).]{.underline}** Comprised of all significant records
that pertain to confidential service arrangements reached between an
individual NVOCC, or two or more affiliated NVOCCs, and one or more NSA
shippers. Contains service arrangements, ET publications, amendments,
notices, shipper status certifications, and other appropriate
documentation that describes origin and destination port ranges,
shipping commodities, effective and expiration dates, line haul rates,
shipper's status, service commitments, and other applicable information.
These record files are arranged in the electronic SERVCON system
primarily by the individual NVOCC organization name, FMC-assigned RPI
number and the NVOCC-related alpha-numeric scheme with consecutively
numbered amendments. These are electronic inputs into the SERVCON
electronic system and superseding systems. This authority does not apply
to the SERVCON electronic master files. \[These records are not subject
to the Privacy Act.\]

> **[DISPOSITION:]{.underline}** **Media Neutral.** Cut off at end of
> fiscal year in which NSA is canceled. Retire to records center 5 years
> after cutoff. Delete 10 years after cutoff.

N1-358-07-1/3 **[SERVCON Electronic System.]{.underline}**

**(a) [Master Data Files.]{.underline}** Contains the electronic
confidential service contracts arranged primarily by the individual
ocean common carrier or agreement organization name, FMC-assigned RPI
number and carrier/agreement related alpha-numeric scheme with
consecutively numbered amendments. Also contains confidential
Non-Vessel-Operating Common Carrier Service Arrangements that are
arranged primarily by the individual NVOCC organization name,
FMC-assigned RPI number and the NVOCC-related alpha-numeric scheme with
consecutively numbered amendments. \[These records are not subject to
the Privacy Act.\]

> **[DISPOSITION:]{.underline}** Cut off 5 years after date service
> contract is canceled. Delete 10 years after cutoff.

**(b) [System Documentation.]{.underline}** Contains all system
documentation that allows system usage and interpretation such as data
dictionaries, system and user manuals, and other related materials.

> **[DISPOSITION:]{.underline}** **Media Neutral.** Destroy or delete
> when superseded or no longer needed for reference, whichever is later.

**(c) [System Outputs.]{.underline}**

\(1\) Record output issuances that are filed to other recordkeeping
systems (paper or electronic).

> **[DISPOSITION:]{.underline}** **Media Neutral.** Cut off when report
> or issuance is run. File to appropriate recordkeeping system (paper or
> electronic) and use recordkeeping system disposal authority.

\(2\) Record output issuances that are not filed to a separate
recordkeeping system.

**[DISPOSITION:]{.underline}** **Media Neutral.** Destroy or delete 180
days after issue run or when no longer needed for reference, whichever
is sooner.

N1-358-07-1/4 **[SERVCON User ID Applications.]{.underline}** Contains
approved and disapproved applications for a User ID to access the
SERVCON System. Consists of Forms FMC 83 and 78 and other forms or
instruments that may serve the same purpose.

> **[DISPOSITION:]{.underline}** **Media Neutral.** Cut off at end of
> calendar year. Maintain for a minimum of 6 years after cutoff, then
> destroy or delete when no longer needed for reference.

N1-358-07-1/5 **[Service Contracts/NSA Miscellaneous
Files.]{.underline}** Contains correspondence, reports and other
miscellaneous records relating to the SERVCON program, filed by carrier
organization name number. Includes records generated with word
processing and electronic mail applications.

> **[DISPOSITION:]{.underline}** **Media Neutral.** Cut off at end of
> calendar year. Maintain for a minimum of 5 years, then destroy or
> delete when no longer needed for reference.

N1-358-91-1/7 **[Tariffs Foreign and Domestic Commerce]{.underline}**
contain freight tariffs, amendments, supplements, and other documents
submitted by carriers in accordance with Section 18(b)(3), Shipping Act,
1916, as amended; Section 8(a)(1), Shipping Act of 1984; and section 2,
Intercoastal Shipping Act, 1933.

> **[DISPOSITION]{.underline}:** **(a) [Microfilm]{.underline}** --
> Documents will be filmed in duplicate.
>
> **(1) [Silver Original]{.underline}** - Retain in locked file cabinet
> for security storage purposes for 20 years from date of tariff
> cancellation. Then destroy.
>
> **(2)** **[Diazo Duplicate]{.underline}** - Retain as reference copy
> in Tariff Control Center for 20 years after date of tariff
> cancellation. Then destroy.
>
> **(b) [Original Tariffs]{.underline}** - destroy in agency after
> inspection of microfilm for adequacy of reproduction and coverage.

N1-358-91-1/13 **[Terminal Tariff]{.underline}** files contain terminal
operator tariffs, amendments, and supplements submitted by terminal
operators in the domestic offshore commerce of the U.S. pursuant to
Section 17, Shipping Act, 1916, as amended and in the foreign commerce
pursuant to sections 10(d)(1) and 17 of the Shipping Act of 1984.

> **[DISPOSITION]{.underline}:** **(a) [Microfilm]{.underline}** -
> Documents will be filmed in duplicate.
>
> **(1) [Silver Original]{.underline}** - Retain in locked file cabinet
> or security storage purposes for 20 years from date of tariff
> cancellation. Then destroy.
>
> **(2) [Diazo Duplicate]{.underline}** - Retain as reference copy in
> the Office of Tariffs for 20 years after date of tariff cancellation.
> Then destroy.
>
> **(b) [Original Tariffs]{.underline}** - destroy in agency after
> inspection of microfilm for adequacy of reproduction and coverage

N1-358-91-1/10 **[Section 35 Tariff Filing Exemptions -- Foreign and
Domestic Tariffs]{.underline}** contain applications for exemption of
the tariff filing requirements of the Shipping Act, 1916, as amended,
and the Shipping Act of 1984. Files contain applications,
recommendations, and related correspondence.

> **[DISPOSITION]{.underline}:** Retain in office for 10 years after
> granting of exemption, then destroy.

N1-358-91-1/11 **[Delegation of Authority Foreign and Domestic
Commerce]{.underline}** contain the powers of attorney to file tariffs,
amendments, and revisions by other persons on behalf of parties subject
to the Shipping Acts of 1916 and 1984, and the Intercoastal Shipping
Act, 1933.

> **[DISPOSITION]{.underline}:** Destroy when the carrier cancels tariff
> and ceases operations.

N1-358-91-1/12 **[Special Permission Applications -- Foreign and
Domestic]{.underline}** contain requests from carriers to deviate from
the Commission\'s tariff filing requirements and correspondence granting
or denying such application.

> **[DISPOSITION]{.underline}:** Close file after Commission decision
> and maintain in office until 2 years old. Transfer to WNRC and destroy
> when 10 years old.

NC1-358-81-2/51 **[Correspondence Records, Special Studies & Reports and
Miscellaneous Papers]{.underline}** contain material concerning freight
and terminal tariffs filed by carriers and/or conferences and terminal
operators, minutes of staff meetings, reports and studies relating to
special Committees established internally to study ocean freight rate
problems or terminal related matters.

> **[DISPOSITION]{.underline}:** Close file when carrier, conference or
> terminal operator ceases operations; transfer to WNRC. Destroy when 10
> years old. **[Reports, studies etc. not falling in above
> category]{.underline}:** retain for 5 years after completion, or as
> long as active or used for reference purposes, whichever is later.
> Then destroy.

N1-358-91-1/6 **[Carrier Correspondence Files]{.underline}** contain
foreign and domestic correspondence and memoranda, complaints received
from shippers, carriers, terminal operators, etc. concerning problems
relating to rate matters, disparities, tariff rules, classifications,
etc.

**[DISPOSITION]{.underline}:** Retain in office for 5 years and then
destroy.

N1-358-91-1/4 **[Anti-rebate Certifications]{.underline}** contain
carrier and freight forwarder certifications.

> **[DISPOSITION:]{.underline}** Cutoff at the end of the fiscal year.
> Retain in office for 5 years and then destroy.

NC1-358-81-2/58 **[Fact Finding Investigations
(Terminals)]{.underline}** files contain background and preliminary
investigation correspondence, orders, recommendations to the Commission,
notices, rules, correspondence generated after an investigation has
begun or ended, and other related material for investigations held where
information is needed for purposes of rulemaking, or helpful in carrying
out duties, or to determine whether Commission administered rules have
been violated.

> **[DISPOSITION]{.underline}:** Retain files in office for 1 year after
> close of investigation, then destroy.

NC1-358-81-2/59 **[Docketed Files (Terminals)]{.underline}** contain
duplicates of docketed material maintained by the Office of the
Secretary and miscellaneous correspondence accumulated in connection
with docketed proceedings involving terminal matters.

> **[DISPOSITION]{.underline}:** Retain in office for 2 years after
> close of docketed proceeding, then destroy.

N1-358-91-1/8 **[Financial Report Files]{.underline}** contain Forms 377
and 378 and company-wide

financial reports of domestic offshore steamship companies and audit
reports filed by company name.

**NOTE:** Effective October 1, 1996, the Federal Maritime Commission was
no longer responsible for regulating the domestic offshore trades. That
responsibility was transferred to the Surface Transportation Board by
the ICC Termination Act of 1995, Public Law 104-88, 109 Stat. 803.
Therefore, the responsibility for maintaining this series of records
rests with that agency.

N1-358-91-1/9 [**Financial Correspondence Files**]{.underline} contain
correspondence with carriers

and other Commission offices, including Investigation and Suspension
memos (I&S). Filed by firm name.

**NOTE:** Effective October 1, 1996, the Federal Maritime Commission was
no longer responsible for regulating the domestic offshore trades. That
responsibility was transferred to the Surface Transportation Board by
the ICC Termination Act of 1995, Public Law 104-88, 109 Stat. 803.
Therefore, the responsibility for maintaining this series of records
rests with that agency.

NC1-358-81-2/57 **[Rejection Letters Foreign and Domestic]{.underline}**
contain letters and forms of rejected tariff matter submitted by
carriers for nonconformance with Commission regulations and/or shipping
statutes.

> **[DISPOSITION]{.underline}:** Retain in office for 1 year after
> rejection or after carrier or conference becomes inactive in
> waterborne commerce, then transfer to WNRC. Destroy when 10 years old.

NC1-358-81-2/63 **[Informal Rate Cases (Foreign and
Domestic)]{.underline}** contain complaints received from shippers,
carriers, terminal operators, etc. concerning problems relating to rate
matters, disparities, tariff rules, classifications, etc.

> **[DISPOSITION]{.underline}:** Close file upon conclusion of complaint
> and retain in office until 3 years old, then destroy.