46 C.F.R. Subpart E—Recordkeeping and Audit
Title 46 - Shipping
(a) Records retention for five years. Every NVOCC shall maintain original signed NSAs, amendments, and their associated records in an organized, readily accessible or retrievable manner for a period of five (5) years from the termination of each NSA. These records must be kept in a form that is readily available and usable to the Commission; electronically maintained records shall be no less accessible than if they were maintained in paper form. (b) Production for audit within 30 days of request. Every NVOCC shall, upon written request of the FMC's Director, Bureau of Enforcement, any Area Representative or the Director, Bureau of Trade Analysis, submit copies of requested original NSAs or their associated records within thirty (30) days of the date of the request.
Title 46: Shipping
PART 531—NVOCC SERVICE ARRANGEMENTS
Subpart E—Recordkeeping and Audit
§ 531.12 Recordkeeping and audit.
§ 531.13-531.98 [Reserved]
§ 531.99 OMB control numbers assigned pursuant to the Paperwork Reduction Act.
The Commission has received OMB approval for this collection of information pursuant to the Paperwork Reduction Act of 1995, as amended. In accordance with that Act, agencies are required to display a currently valid control number. The valid control number for this collection of information is 3072–0070. The valid control number for form FMC–78 is 3072–0070.
[69 FR 75853, Dec. 20, 2004, as amended at 70 FR 31370, June 1, 2005]
Appendix A to Part 531—Instructions for the Filing of NSAs
NSAs shall be filed in accordance with the instructions found on the Commission's home page, http://www.fmc.gov.
A. Registration, Log-on I.D. and Password
To register for filing, an NVOCC or authorized agent must submit the NSA Registration Form (Form FMC–78) to BTA. A separate NSA Registration Form is required for each individual that will file NSAs. BTA will direct OIT to provide approved filers with a log-on identification number (“I.D.”) and password. Filers who would like a third party (agent/publisher) to file their NSAs must so indicate on Form FMC–78. Authority for filing can be transferred by submitting an amended registration form requesting the assignment of a new log-on I.D. and password. The original log-on ID will be canceled when a replacement log-on I.D. is issued. Log-on I.D.s and passwords may not be shared with, loaned to or used by any individual other than the individual registrant. The Commission reserves the right to disable any log-on I.D. that is shared with, loaned to or used by parties other than the registrant.
B. Filing
After receiving a log-on I.D. and a password, a filer may log-on to the NSA filing area on the Commission's home page and file NSAs. The filing screen will request such information as: filer name, organization number (“Registered Persons Index” or “RPI” number); NSA and amendment number; effective date and file name. The filer will attach the entire NSA file and submit it into the system. When the NSA has been submitted for filing, the system will assign a filing date and an FMC control number, both of which will be included in the acknowledgment/confirmation message.
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[69 FR 75853, Dec. 20, 2004, as amended at 70 FR 31370, June 1, 2005]
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