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Office of the Secretary, DOT § 249.

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§ 248.4 Time for filing reports. NOTE: The recordkeeping requirements
contained in this part have been approved by
The report required by this part shall the Office of Management and Budget under
be filed with the Office of Airline Infor- control number 2138–0006.
mation within 15 days after the due
date of the appropriate periodic BTS Subpart A—General Instructions
Form 41 Report, filed for the 12-month
period covered by the audit report, or § 249.1 Applicability.
the date the accountant submits its Subparts A and B of this part apply
audit report to the air carrier, which- to:
ever is later. (a) Air carriers, as defined in 49
[ER–1351, 48 FR 32756, July 19, 1983, as amend- U.S.C. 40102, that hold either certifi-
ed at 60 FR 66725, Dec. 26, 1995] cates of public convenience and neces-
sity or certificates for all-cargo air
§ 248.5 Withholding from public disclo- service.
sure. (b) Public charter operators, as de-
The special reports required to be fined in part 380 of this chapter.
filed by § 248.2 shall be withheld from (c) Overseas military personnel char-
public disclosure, until further order of ter operators, as defined in part 372 of
the BTS, if such treatment is requested this chapter.
by the air carrier at the time of filing. [ER–1214, 46 FR 25415, May 6, 1981, as amend-
[ER–420, 29 FR 13799, Oct. 7, 1964, as amended ed at 60 FR 66725, Dec. 26, 1995]
at 60 FR 66725, Dec. 26, 1995]
§ 249.2 Definitions.
PART 249—PRESERVATION OF AIR For the purposes of this part:
Authorized representatives of the DOT
CARRIER RECORDS means any persons, including special
agents and auditors, designated by the
Subpart A—General Instructions DOT to perform inspections, audits, or
Sec. examinations within the purview of the
249.1 Applicability. DOT’s authority.
249.2 Definitions. Certificated air carrier means the hold-
249.3 Preservation of records. er of a certificate of public convenience
249.4 Photographic copies. and necessity issued by the Depart-
249.5 Storage of records. ment of Transportation under 49 U.S.C.
249.6 Destruction of records. 41102 or a certificate for all-cargo air
249.7 Restrictions on record destruction. service issued by the Department of
249.8 Premature loss or destruction of rec-
ords.
Transportation under 49 U.S.C. 41103.
249.9 Carriers going out of business. Final adjudication means the expira-
249.10 Waiver of requirements. tion date of the last possible period of
review or reconsideration of a given
Subpart B—Preservation of Records by case, by the DOT or by a court, that is
Carrier provided by applicable statute or regu-
lation.
249.20 Preservation of records by certifi- Open mail rate period means the time
cated air carriers.
interval between the date of institu-
249.21 Preservation of records by public
charter operators and overseas military
tion of a new mail rate proceeding or
personnel charter operators. the start of service over a new route
for which no mail rate has previously
Subpart C—Regulations Relating to the been fixed, and the date upon which a
Truth-in-Lending Act DOT order setting the final mail rate
becomes legally effective.
249.30 Applicability. Pending case means any case that the
249.31 Preservation and inspection of evi-
DOT is empowered to hear before its
dence of compliance.
final adjudication.
AUTHORITY: 49 U.S.C. 329 and chapters 401, Records include all documents that
411, 413, 417. are related to, or constitute integral
SOURCE: ER–1214, 46 FR 25415, May 6, 1981, links in developing the history of, or
unless otherwise noted. facts regarding, financial transactions

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§ 249.3 14 CFR Ch. II (1–1–00 Edition)

or physical operations of a particular rier that the substantive purpose of the
segment, operating division, or entire retention requirement will be met by
system of the carrier’s operations. The retention of the information in ma-
term includes any copy of initially pre- chine-readable form (see § 249.10).
pared documents which bear approvals, (b) Each record kept in a machine-
comments, or notations which were readable medium shall be accompanied
added and are of significance to a full by a statement clearly indicating the
explanation of recorded facts or infor- type of data included in the record and
mation. The term records means not certifying that the information con-
only accounting records in a limited tained in it is complete and accurate.
technical sense but all other evi- This statement shall be executed by a
dentiary accounts of events such as person having personal knowledge of
memoranda, correspondence, working the facts contained in the records. The
sheets, tabulating equipment listings records shall be indexed and retained in
punched cards, computer-produced list- such a manner so that they are easily
ings, microfilm, and magnetic storage accessible, and the carrier shall have
media (i.e., magnetic tapes, disks). The the facilities available to locate, iden-
term records also means microform tify and reproduce the records in read-
and/or tape reproductions of documents able form without loss of clarity. Au-
made as authorized by this subpart. In thorized representatives of the DOT
addition, the term records includes any shall be given immediate access to the
of the above-described materials com- carrier’s facilities upon request.
ing into the possession of the air car- (c) If any record which must be re-
rier through merger, consolidation, tained under the provisions of §§ 249.20
succession, transfer, or other acquisi- and 249.21 is included as an exhibit to
tion. another document which must also be
Supporting papers (records) means any retained, the carrier need only keep in
group of documentary papers, such as its files one copy of the record to sat-
memoranda, correspondence, working isfy these record retention require-
sheets, etc., that assist in upholding ments. In these cases, the carrier shall
the accuracy or clarity of related establish adequate cross-references to
records. assist in locating the record.
[ER–1214, 46 FR 25415, May 6, 1981, as amend-
(d) The provisions in this part do not
ed at 60 FR 66725, Dec. 26, 1995] excuse noncompliance with require-
ments of any other governmental body,
§ 249.3 Preservation of records. Federal or State, prescribing longer re-
(a) All records listed in §§ 249.20 and tention periods for any records.
249.21 may be preserved on either paper [ER–1214, 46 FR 25415, May 6, 1981, as amend-
or nonerasable microfilm (see § 249.4). ed at 60 FR 66725, Dec. 26, 1995]
However, a paper or microfilm record
need not be created to satisfy the re- § 249.4 Photographic copies.
quirements of this part if the record is (a) Any record may be transferred to
initially prepared in a machine-read- nonerasable microfilm (including
able medium such as punched cards, microfiche, computer output micro-
magnetic tapes, and disks. The records film, and aperture cards) at any time.
maintained in machine-readable media Records so maintained on microfilm
and the underlying data used in their shall satisfy the minimum require-
preparation shall be preserved for the ments listed in paragraphs (b) through
periods prescribed in §§ 249.20 and 249.21. (f) of this section.
A paper or microfilm record shall not (b) The microfilm shall be of a qual-
be destroyed after transfer to a ma- ity that can be easily read and that can
chine-readable medium before expira- be reproduced in paper similar in size
tion of the prescribed period: however, to an original without loss of clarity or
a waiver permitting the early destruc- detail during the periods the records
tion of paper or microfilm records are required to be retained in §§ 249.20
transferred to a machine-readable me- and 249.21.
dium may be granted by the Director, (c) Microfilm records shall be indexed
Office of Airline Information, when it and retained in such a manner as will
is demonstrated by the requesting car- render them readily accessible, and the

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Office of the Secretary, DOT § 249.7

company shall have facilities available custody as of the beginning of an ‘‘open
to locate, identify and read the micro- mail rate period’’ until the occurrence
film and reproduce in paper form. Au- of one of the following contingencies,
thorized representatives of the DOT whichever is first:
shall be given immediate access to (1) Final adjudication of a DOT order
these facilities upon request. fixing the final mail compensation pay-
(d) Any significant characteristic, able for services rendered during an
feature, or other attribute which ‘‘open mail rate period.’’
microfilm will not preserve shall be (2) Receipt of a notice issued by the
clearly indicated at the beginning of Director, Office of Airline Information
each roll of film or series of microfilm in response to a written application
records if applicable to all records on filed by the carrier, authorizing the de-
the roll or series, or on the individual struction of specifically identified cat-
record, as appropriate. egories of records. An application
(e) The printed side of printed forms should be filed when the carrier be-
need not be microfilmed for each lieves that certain categories of
record if nothing has been added to the records are not relevant to the proper
printed matter common to all such processing of a pending mail pro-
forms, but an identified specimen of ceeding. The application should list
the form shall be on the film for ref- those categories of records which the
erence. carrier wants to destroy and its rea-
(f) Each roll of film or series of
sons for believing that the records are
microfilm records shall include a
not necessary or useful in determining
microfilm of a certificate stating that
its satutory mail pay.
the photographs are direct and fac-
simile reproductions of the original (b) Each carrier shall preserve rec-
records and they have been made in ac- ords supporting the computation of
cordance with prescribed regulations. subsidy mail pay in accordance with
Such a certificate shall be executed by the provisions of § 249.20 unless the car-
a person having personal knowledge of rier has been advised that these com-
these facts. Where the microfilm is putations are subject to further review
computer output, the microfilm certifi- and disposition by the Board. When the
cate shall state that the information is DOT is still reviewing the compensa-
complete and accurate. [ER–1214, 46 FR tion amount after expiration of the
25415, May 6, 1981, as amended at 60 FR normal retention period specified in
66725, Dec. 26, 1995] § 249.20, these records must be retained
until the carrier is notified by the Di-
§ 249.5 Storage of records. rector, Office of Airline Information,
Each carrier shall provide reasonable that the records may be destroyed.
protection from damage by fire, floods, (c) Each carrier that has been named
and other hazards for records subject a party to an enforcement proceeding
to the provisions of this part. or against whom a third-party com-
plaint has been filed shall retain all
§ 249.6 Destruction of records. records relating to the case until the
(a) Upon the expiration of the period receipt of formal notification from the
of preservation prescribed in this regu- Director, Office of Airline Information,
lation, records may be destroyed at the following a written application from
option of the carrier. the carrier, which authorizes the de-
(b) Unless otherwise specified, dupli- struction of these records.
cate copies of records may be destroyed (d) Each carrier that has been named
at any time if they contain no signifi- a party to a pending case which is not
cant information not shown on the of a type discussed in paragraphs (a),
originals. (b), and (c) of this section, shall pre-
serve all records according to the pro-
§ 249.7 Restrictions on record destruc- visions of § 249.20 unless the Director,
tion. Office of Airline Information, notifies
(a) Each carrier that has been named the carrier in writing that specific
a party to a pending mail rate case records shall be preserved until final
shall retain all records remaining in its adjudication of the pending case.

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§ 249.8 14 CFR Ch. II (1–1–00 Edition)

(e) Each carrier that is a party to merged company in accordance with
litigation in a Federal court of which these regulations.
the DOT is also a party shall retain all [ER–1214, 46 FR 25415, May 6, 1981, as amend-
records relating to the case until the ed at 60 FR 66725, Dec. 26, 1995]
receipt of formal notification from the
Director, Office of Airline Information, § 249.10 Waiver of requirements.
following a written application from A waiver from any provision of this
the carrier, which authorizes the de- regulation may be made by the Direc-
struction of these records. tor, Office of Airline Information, upon
[ER–1214, 46 FR 25415, May 6, 1981, as amend- the Director’s own initiative or upon
ed at 60 FR 66725, Dec. 26, 1995] submission of a written request by a
carrier or group of carriers. Each re-
§ 249.8 Premature loss or destruction quest for waiver shall demonstrate
of records. that unusual circumstances warrant a
If records are destroyed or lost before departure from prescribed retention pe-
the expiration of the prescribed reten- riods, procedures, or techniques, or
tion period, a statement shall be pre- that compliance with the prescribed re-
pared and submitted to the Director, quirements would impose an unreason-
Office of Airline Information, which able burden on the carrier, and that
lists, as accurately as possible, the un- granting the waiver would be in the
available records and describes the cir- public interest.
cumstances under which they became [ER–1214, 46 FR 25415, May 6, 1981, as amend-
unavailable. ed at 60 FR 66726, Dec. 26, 1995]
[ER–1214, 46 FR 25415, May 6, 1981, as amend-
ed at 60 FR 66725, Dec. 26, 1995] Subpart B—Preservation of
Records by Carrier
§ 249.9 Carriers going out of business.
The records referred to in these regu- § 249.20 Preservation of records by
lations may be destroyed after the certificated air carriers.
business is discontinued and the carrier Each certificated air carrier shall re-
is completely liquidated. The records tain its records according to the provi-
may not be destroyed until dissolution sions of this section. Unless otherwise
is final and all transactions and litiga- specified in the ‘‘Schedule of Records,’’
tions are completed. When a carrier is each retention period shall begin on
merged with another company which is the date when the records are created
regulated by the DOT, the successor or otherwise come into the possession
company shall preserve records of the of the carrier.
SCHEDULE OF RECORDS
[See footnote at end of table]

Retention
Category of records period

1. General and subsidiary ledgers or their equivalents:
(a) General ledgers; subsidiary or auxiliary ledgers .................................................................... 3 years.
(b) Indexes to general and subsidiary ledgers ............................................................................ Do.
2. Journals and journal vouchers:
(a) General and subsidiary journals, and journal vouchers ......................................................... 3 years.
(b) Papers forming a part of, or necessary to explain, journal entries; entry numbers .............. Do.
3. Voucher distribution registers or their equivalent ........................................................................... Do.
4. Accounts receivables and payables:
(a) Traffic accounts receivable or payable, detailed journals and ledgers or their equivalents, Do.
together with supporting papers.
(b) General accounts receivable or payable, detailed journals and ledgers or their equiva- Do.
lents, together with supporting papers.
(c) Copies of invoices issued by the carrier which have been settled and all supporting pa- 1 year.
pers.
(d) Copies of Postal Service Forms: Weekly Summary of Airmail Dispatch (No. 2729) and 30 days.
POD Airmail Exemption Record (No. 2734) supporting mail pay claims which have been
settled.

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Office of the Secretary, DOT § 249.21

SCHEDULE OF RECORDS—Continued
[See footnote at end of table]

Retention
Category of records period

5. Subsidy records:
(a) For each calendar year, all monthly records of operations, such as tabulations and sum- 3 years.
maries of miles flown and passenger-miles flown, pertaining to or part of operational
records relevant to computation of subsidy mail pay.
(b) For each calendar year, all basic original documents, such as pilots’ flight logs and pas- Do.
senger lists relevant to a determination of the validity of a carrier’s operations described in
item (a) above.
6. The papers, records, or other evidence supporting financial and statistical reports to the BTS. Do.
These should include among others the following specific records: Internal administrative or op-
erating reports; system reports of aircraft movements by trip number, showing arrivals, depar-
tures, flight delays and related information; bonds and other long-term debt records; stock
records; corporate organization records; financial data in support of subsidy claims; minutes of
meetings; carrier internal reports on internal controls and other internal audits and procedural
studies; operational, management, accounting, financial, and legal service contracts and agree-
ments; records and agreements relating to the lease or purchase and sale of company assets,
including title papers, deeds, and similar records; insurance records; property and equipment
records; tax records; accountants’ and auditors’ reports; records of receipts and disbursements
including bank statements, check registers and cancelled checks; payroll registers of salaries
and wages paid; cost accounting records for work orders; inventories of materials and supplies;
and other source documents.
7. Funds reports and estimates of funds ............................................................................................ 1 year.
8. Consumer complaints:
(a) Initial correspondence and record of action taken ................................................................. 3 years.
(b) Initial trip reports:
(1) Traffic Data: Basic documents showing the number of passengers, and pounds of (1).
mail and property carried.
(c) Reservations reports and records:
(1) Cards and charts constituting original source of passengers’ names, telephone num- 2 months.
bers, etc.
(2) Telegrams and radio messages relating to the clearance of space, passenger dis- 1 month.
patching, etc.
(d) System report of airplane movements by trip number showing arrivals, departures, delays 3 years.
and related information.
(e) Sales reports:
(1) Sales ticket or other similar reports from stations, offices and agents ........................... 2 years.
(f) Auditors’ coupons .................................................................................................................... 1 year.
(g) Air waybills .............................................................................................................................. Do.
(h) Flight coupons ........................................................................................................................ Do.
(i) Ticket refund claims records and reports ................................................................................ Do.
(j) Records and reports relating to errors, oversales, irregularities and delays in handling pas- Do.
sengers.
9. All documents which relate to the furnishing of transportation to candidates for political office or 2 years.
persons acting on their behalf which are required to be maintained following § 374a.7 of the
subchapter.
10. Correspondence and working papers relating to rate and route proceedings ............................. 3 years.
1 One year-mail-property; 2 years-passengers.

[ER–1214, 46 FR 25415, May 6, 1981, as amend- flight or series of flights. The records
ed at 60 FR 66726, Dec. 26, 1995] shall be made available upon request of
an authorized representative of the
§ 249.21 Preservation of records by
public charter operators and over- DOT.
seas military personnel charter op- (a) All receipts and statements of
erators. travel agents and all other documents
Each operator authorized under parts which show deposits made by each
372 and 380 of this chapter shall retain charter participant or which show re-
the following records for 6 months funds to charter participants.
after completion or cancellation of the

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§ 249.30 14 CFR Ch. II (1–1–00 Edition)

(b) All receipts and statements of for inspection by authorized represent-
travel agents and all other documents atives of the DOT.
which show or reflect commissions re-
[ER–1214, 46 FR 25415, May 6, 1981, as amend-
ceived, paid to, or deducted by travel ed at 60 FR 66726, Dec. 26, 1995]
agents in connection with the flight or
series of flights.
(c) All statements, invoices, bills, PART 250—OVERSALES
and receipts from suppliers for fur-
nishing of goods or services in connec- Sec.
250.1 Definitions.
tion with the tour or series of tours.
250.2 Applicability.
(d) All customer reservations records 250.2a Policy regarding denied boarding.
for each flight. 250.2b Carriers to request volunteers for de-
(e) All contracts with individual tour nied boarding.
participants. 250.3 Boarding priority rules.
(f) All bank statements and reconcili- 250.5 Amount of denied boarding compensa-
ations for escrow bank accounts opened tion for passengers denied boarding in-
and maintained in accordance with voluntarily.
DOT regulations. 250.6 Exceptions to eligibility for denied
boarding compensation.
[ER–1214, 46 FR 25415, May 6, 1981, as amend- 250.7 [Reserved]
ed at 60 FR 66726, Dec. 26, 1995] 250.8 Denied boarding compensation.
250.9 Written explanation of denied board-
ing compensation and boarding prior-
Subpart C—Regulations Relating ities.
to the Truth-in-Lending Act 250.10 Report of passengers denied con-
firmed space.
§ 249.30 Applicability. 250.11 Public disclosure of deliberate over-
This subpart is applicable to all air booking and boarding procedures.
carriers and foreign air carriers as de- AUTHORITY: 49 U.S.C. chapters 401, 411, 413,
fined in 49 U.S.C. 40102, including, with- 417.
out limitation, direct carriers, air taxi SOURCE: ER–1306, 47 FR 52985, Nov. 24, 1982,
operators registered under part 298 of unless otherwise noted.
this chapter, indirect air carriers reg-
istered under part 296 of this chapter, § 250.1 Definitions.
charter operators authorized under
Airport means the airport at which
parts 372 and 380 of this chapter, and
the direct or connecting flight, on
foreign air carriers holding permits to
which the passenger holds confirmed
engage in indirect foreign air transpor-
reserved space, is planned to arrive or
tation issued under 49 U.S.C. 41302.
some other airport serving the same
[ER–1214, 46 FR 25415, May 6, 1981, as amend- metropolitan area, provided that trans-
ed at 60 FR 66726, Dec. 26, 1995] portation to the other airport is ac-
cepted (i.e., used) by the passenger.
§ 249.31 Preservation and inspection of Carrier means (a) a direct air carrier,
evidence of compliance. except a helicopter operator, holding a
Air carriers and foreign air carriers certificate issued by the Board pursu-
shall preserve evidence of compliance ant to sections 401(d)(1), 401(d)(2),
with the requirements imposed under 401(d)(5), or 401(d)(8) of the Act, or an
Regulation Z of the Board of Governors exemption from section 401(a) of the
of the Federal Reserve System (12 CFR Act, authorizing the transportation of
part 226), implementing the provisions persons, or (b) a foreign route air car-
of Title I (Truth in Lending) and Title rier holding a permit issued by the
V (General Provisions) of the Consumer Board pursuant to section 402 of the
Credit Protection Act, as amended (15 Act, or an exemption from section 402
U.S.C. 1601 et seq.) other than the ad- of the Act, authorizing the scheduled
vertising requirements under § 226.10 of foreign air transportation or persons.
regulation Z. This evidence shall be Comparable air transportation means
preserved for no less than 2 years after transportation provided to passengers
the date each disclosure is required to at no extra cost by a carrier as defined
be made and shall be made available above.

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