14 CFR Part249

Office of the Secretary, DOT
§ 248.2

§ 249.2

(Approved by the Office of Management and
Budget under control number 2138–0004)
[ER–1351, 48 FR 32756, July 19, 1983, as amended by ER–1362, 48 FR 46265, Oct. 12, 1983; 60
FR 66725, Dec. 26, 1995]

§ 248.4

Time for filing reports.

The report required by this part shall
be filed with the Office of Airline Information within 15 days after the due
date of the appropriate periodic BTS
Form 41 Report, filed for the 12-month
period covered by the audit report, or
the date the accountant submits its
audit report to the air carrier, whichever is later.

Subpart A—General Instructions
Sec.
249.1 Applicability.
249.2 Definitions.
249.3 Preservation of records.
249.4 Photographic copies.
249.5 Storage of records.
249.6 Destruction of records.
249.7 Restrictions on record destruction.
249.8 Premature loss or destruction
records.
249.9 Carriers going out of business.
249.10 Waiver of requirements.

Subpart B—Preservation of Records by
Carrier
249.20 Preservation of records by certificated air carriers.
249.21 Preservation of records by public
charter operators and overseas military
personnel charter operators.

Subpart C—Regulations Relating to the
Truth-in-Lending Act
249.30 Applicability.
249.31 Preservation and inspection of evidence of compliance.
AUTHORITY: 49 U.S.C. 329 and chapters 401,
411, 413, 417.
SOURCE: ER–1214, 46 FR 25415, May 6, 1981,
unless otherwise noted.
NOTE: The recordkeeping requirements
contained in this part have been approved by
the Office of Management and Budget under
control number 2138–0006.

Subpart A—General Instructions

The special reports required to be
filed by § 248.2 shall be withheld from
public disclosure, until further order of
the BTS, if such treatment is requested
by the air carrier at the time of filing.
[ER–420, 29 FR 13799, Oct. 7, 1964, as amended
at 60 FR 66725, Dec. 26, 1995]

[ER–1214, 46 FR 25415, May 6, 1981, as amended at 60 FR 66725, Dec. 26, 1995]

§ 248.5 Withholding from public disclosure.

§ 249.2 Definitions.
For the purposes of this part:

195

VerDate Nov<24>2008

of

§ 249.1 Applicability.
Subparts A and B of this part apply
to:
(a) Air carriers, as defined in 49
U.S.C. 40102, that hold either certificates of public convenience and necessity or certificates for all-cargo air
service.
(b) Public charter operators, as defined in part 380 of this chapter.
(c) Overseas military personnel charter operators, as defined in part 372 of
this chapter.

[ER–1351, 48 FR 32756, July 19, 1983, as amended at 60 FR 66725, Dec. 26, 1995]

yshivers on PROD1PC62 with CFR

PART 249—PRESERVATION OF AIR
CARRIER RECORDS

Filing of audit reports.

(a) Whenever any air carrier subject
to § 248.1 shall have caused an annual
audit of its books, records, and accounts to be made by independent public accountants, such air carrier shall
file with the Office of Airline Information, in duplicate, a special report consisting of a true and complete copy of
the audit report submitted by such
independent public accountants, including all schedules, exhibits, and certificates included in, attached to, or
submitted with or separately as a part
of, the audit report.
(b) Each air carrier subject to § 248.1
that does not cause an annual audit to
be made of its books, records, and accounts for any fiscal year shall, at the
close of such fiscal year file with the
Board’s Office of the Comptroller, as a
part of its periodic reports, a statement that no such audit has been performed.

11:49 Mar 04, 2009

Jkt 217046

PO 00000

Frm 00205

Fmt 8010

Sfmt 8010

Y:\SGML\217046.XXX

217046

yshivers on PROD1PC62 with CFR

§ 249.3

14 CFR Ch. II (1–1–09 Edition)

Authorized representatives of the DOT
means any persons, including special
agents and auditors, designated by the
DOT to perform inspections, audits, or
examinations within the purview of the
DOT’s authority.
Certificated air carrier means the holder of a certificate of public convenience
and necessity issued by the Department of Transportation under 49 U.S.C.
41102 or a certificate for all-cargo air
service issued by the Department of
Transportation under 49 U.S.C. 41103.
Final adjudication means the expiration date of the last possible period of
review or reconsideration of a given
case, by the DOT or by a court, that is
provided by applicable statute or regulation.
Open mail rate period means the time
interval between the date of institution of a new mail rate proceeding or
the start of service over a new route
for which no mail rate has previously
been fixed, and the date upon which a
DOT order setting the final mail rate
becomes legally effective.
Pending case means any case that the
DOT is empowered to hear before its
final adjudication.
Records include all documents that
are related to, or constitute integral
links in developing the history of, or
facts regarding, financial transactions
or physical operations of a particular
segment, operating division, or entire
system of the carrier’s operations. The
term includes any copy of initially prepared documents which bear approvals,
comments, or notations which were
added and are of significance to a full
explanation of recorded facts or information. The term records means not
only accounting records in a limited
technical sense but all other evidentiary accounts of events such as
memoranda, correspondence, working
sheets, tabulating equipment listings
punched cards, computer-produced listings, microfilm, and magnetic storage
media (i.e., magnetic tapes, disks). The
term records also means microform
and/or tape reproductions of documents
made as authorized by this subpart. In
addition, the term records includes any
of the above-described materials coming into the possession of the air carrier through merger, consolidation,

succession, transfer, or other acquisition.
Supporting papers (records) means any
group of documentary papers, such as
memoranda, correspondence, working
sheets, etc., that assist in upholding
the accuracy or clarity of related
records.
[ER–1214, 46 FR 25415, May 6, 1981, as amended at 60 FR 66725, Dec. 26, 1995]

§ 249.3 Preservation of records.
(a) All records listed in §§ 249.20 and
249.21 may be preserved on either paper
or nonerasable microfilm (see § 249.4).
However, a paper or microfilm record
need not be created to satisfy the requirements of this part if the record is
initially prepared in a machine-readable medium such as punched cards,
magnetic tapes, and disks. The records
maintained in machine-readable media
and the underlying data used in their
preparation shall be preserved for the
periods prescribed in §§ 249.20 and 249.21.
A paper or microfilm record shall not
be destroyed after transfer to a machine-readable medium before expiration of the prescribed period: however,
a waiver permitting the early destruction of paper or microfilm records
transferred to a machine-readable medium may be granted by the Director,
Office of Airline Information, when it
is demonstrated by the requesting carrier that the substantive purpose of the
retention requirement will be met by
retention of the information in machine-readable form (see § 249.10).
(b) Each record kept in a machinereadable medium shall be accompanied
by a statement clearly indicating the
type of data included in the record and
certifying that the information contained in it is complete and accurate.
This statement shall be executed by a
person having personal knowledge of
the facts contained in the records. The
records shall be indexed and retained in
such a manner so that they are easily
accessible, and the carrier shall have
the facilities available to locate, identify and reproduce the records in readable form without loss of clarity. Authorized representatives of the DOT
shall be given immediate access to the
carrier’s facilities upon request.
(c) If any record which must be retained under the provisions of §§ 249.20

196

VerDate Nov<24>2008

11:49 Mar 04, 2009

Jkt 217046

PO 00000

Frm 00206

Fmt 8010

Sfmt 8010

Y:\SGML\217046.XXX

217046

Office of the Secretary, DOT

§ 249.7

and 249.21 is included as an exhibit to
another document which must also be
retained, the carrier need only keep in
its files one copy of the record to satisfy these record retention requirements. In these cases, the carrier shall
establish adequate cross-references to
assist in locating the record.
(d) The provisions in this part do not
excuse noncompliance with requirements of any other governmental body,
Federal or State, prescribing longer retention periods for any records.

yshivers on PROD1PC62 with CFR

[ER–1214, 46 FR 25415, May 6, 1981, as amended at 60 FR 66725, Dec. 26, 1995]

§ 249.4 Photographic copies.
(a) Any record may be transferred to
nonerasable
microfilm
(including
microfiche, computer output microfilm, and aperture cards) at any time.
Records so maintained on microfilm
shall satisfy the minimum requirements listed in paragraphs (b) through
(f) of this section.
(b) The microfilm shall be of a quality that can be easily read and that can
be reproduced in paper similar in size
to an original without loss of clarity or
detail during the periods the records
are required to be retained in §§ 249.20
and 249.21.
(c) Microfilm records shall be indexed
and retained in such a manner as will
render them readily accessible, and the
company shall have facilities available
to locate, identify and read the microfilm and reproduce in paper form. Authorized representatives of the DOT
shall be given immediate access to
these facilities upon request.
(d) Any significant characteristic,
feature, or other attribute which
microfilm will not preserve shall be
clearly indicated at the beginning of
each roll of film or series of microfilm
records if applicable to all records on
the roll or series, or on the individual
record, as appropriate.
(e) The printed side of printed forms
need not be microfilmed for each
record if nothing has been added to the
printed matter common to all such
forms, but an identified specimen of
the form shall be on the film for reference.
(f) Each roll of film or series of
microfilm records shall include a
microfilm of a certificate stating that

the photographs are direct and facsimile reproductions of the original
records and they have been made in accordance with prescribed regulations.
Such a certificate shall be executed by
a person having personal knowledge of
these facts. Where the microfilm is
computer output, the microfilm certificate shall state that the information is
complete and accurate.
[ER–1214, 46 FR 25415, May 6, 1981, as amended at 60 FR 66725, Dec. 26, 1995]

§ 249.5 Storage of records.
Each carrier shall provide reasonable
protection from damage by fire, floods,
and other hazards for records subject
to the provisions of this part.
§ 249.6 Destruction of records.
(a) Upon the expiration of the period
of preservation prescribed in this regulation, records may be destroyed at the
option of the carrier.
(b) Unless otherwise specified, duplicate copies of records may be destroyed
at any time if they contain no significant information not shown on the
originals.
§ 249.7 Restrictions on record destruction.
(a) Each carrier that has been named
a party to a pending mail rate case
shall retain all records remaining in its
custody as of the beginning of an ‘‘open
mail rate period’’ until the occurrence
of one of the following contingencies,
whichever is first:
(1) Final adjudication of a DOT order
fixing the final mail compensation payable for services rendered during an
‘‘open mail rate period.’’
(2) Receipt of a notice issued by the
Director, Office of Airline Information
in response to a written application
filed by the carrier, authorizing the destruction of specifically identified categories of records. An application
should be filed when the carrier believes that certain categories of
records are not relevant to the proper
processing of a pending mail proceeding. The application should list
those categories of records which the
carrier wants to destroy and its reasons for believing that the records are
not necessary or useful in determining
its satutory mail pay.

197

VerDate Nov<24>2008

11:49 Mar 04, 2009

Jkt 217046

PO 00000

Frm 00207

Fmt 8010

Sfmt 8010

Y:\SGML\217046.XXX

217046

§ 249.8

14 CFR Ch. II (1–1–09 Edition)

(b) Each carrier shall preserve
records supporting the computation of
subsidy mail pay in accordance with
the provisions of § 249.20 unless the carrier has been advised that these computations are subject to further review
and disposition by the Board. When the
DOT is still reviewing the compensation amount after expiration of the
normal retention period specified in
§ 249.20, these records must be retained
until the carrier is notified by the Director, Office of Airline Information,
that the records may be destroyed.
(c) Each carrier that has been named
a party to an enforcement proceeding
or against whom a third-party complaint has been filed shall retain all
records relating to the case until the
receipt of formal notification from the
Director, Office of Airline Information,
following a written application from
the carrier, which authorizes the destruction of these records.
(d) Each carrier that has been named
a party to a pending case which is not
of a type discussed in paragraphs (a),
(b), and (c) of this section, shall preserve all records according to the provisions of § 249.20 unless the Director,
Office of Airline Information, notifies
the carrier in writing that specific
records shall be preserved until final
adjudication of the pending case.
(e) Each carrier that is a party to
litigation in a Federal court of which
the DOT is also a party shall retain all
records relating to the case until the
receipt of formal notification from the
Director, Office of Airline Information,
following a written application from
the carrier, which authorizes the destruction of these records.
[ER–1214, 46 FR 25415, May 6, 1981, as amended at 60 FR 66725, Dec. 26, 1995]

yshivers on PROD1PC62 with CFR

§ 249.8 Premature loss or destruction
of records.
If records are destroyed or lost before
the expiration of the prescribed retention period, a statement shall be prepared and submitted to the Director,
Office of Airline Information, which
lists, as accurately as possible, the unavailable records and describes the cir-

cumstances under which they became
unavailable.
[ER–1214, 46 FR 25415, May 6, 1981, as amended at 60 FR 66725, Dec. 26, 1995]

§ 249.9

Carriers going out of business.

The records referred to in these regulations may be destroyed after the
business is discontinued and the carrier
is completely liquidated. The records
may not be destroyed until dissolution
is final and all transactions and litigations are completed. When a carrier is
merged with another company which is
regulated by the DOT, the successor
company shall preserve records of the
merged company in accordance with
these regulations.
[ER–1214, 46 FR 25415, May 6, 1981, as amended at 60 FR 66725, Dec. 26, 1995]

§ 249.10

Waiver of requirements.

A waiver from any provision of this
regulation may be made by the Director, Office of Airline Information, upon
the Director’s own initiative or upon
submission of a written request by a
carrier or group of carriers. Each request for waiver shall demonstrate
that unusual circumstances warrant a
departure from prescribed retention periods, procedures, or techniques, or
that compliance with the prescribed requirements would impose an unreasonable burden on the carrier, and that
granting the waiver would be in the
public interest.
[ER–1214, 46 FR 25415, May 6, 1981, as amended at 60 FR 66726, Dec. 26, 1995]

Subpart B—Preservation of
Records by Carrier
§ 249.20 Preservation of records
certificated air carriers.

Each certificated air carrier shall retain its records according to the provisions of this section. Unless otherwise
specified in the ‘‘Schedule of Records,’’
each retention period shall begin on
the date when the records are created
or otherwise come into the possession
of the carrier.

198

VerDate Nov<24>2008

11:49 Mar 04, 2009

Jkt 217046

PO 00000

Frm 00208

Fmt 8010

by

Sfmt 8010

Y:\SGML\217046.XXX

217046

Office of the Secretary, DOT

§ 249.20
SCHEDULE OF RECORDS
[See footnote at end of table]
Retention
period

yshivers on PROD1PC62 with CFR

Category of records

1. General and subsidiary ledgers or their equivalents:
(a) General ledgers; subsidiary or auxiliary ledgers ....................................................................
(b) Indexes to general and subsidiary ledgers ............................................................................
2. Journals and journal vouchers:
(a) General and subsidiary journals, and journal vouchers .........................................................
(b) Papers forming a part of, or necessary to explain, journal entries; entry numbers ..............
3. Voucher distribution registers or their equivalent ...........................................................................
4. Accounts receivables and payables:
(a) Traffic accounts receivable or payable, detailed journals and ledgers or their equivalents,
together with supporting papers.
(b) General accounts receivable or payable, detailed journals and ledgers or their equivalents, together with supporting papers.
(c) Copies of invoices issued by the carrier which have been settled and all supporting papers.
(d) Copies of Postal Service Forms: Weekly Summary of Airmail Dispatch (No. 2729) and
POD Airmail Exemption Record (No. 2734) supporting mail pay claims which have been
settled.
5. Subsidy records:
(a) For each calendar year, all monthly records of operations, such as tabulations and summaries 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 passenger 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.
These should include among others the following specific records: Internal administrative or operating reports; system reports of aircraft movements by trip number, showing arrivals, departures, 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 agreements; 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 ............................................................................................
8. Consumer complaints:
(a) Initial correspondence and record of action taken .................................................................
(b) Initial trip reports:
(1) Traffic Data: Basic documents showing the number of passengers, and pounds of
mail and property carried.
(c) Reservations reports and records:
(1) Cards and charts constituting original source of passengers’ names, telephone numbers, etc.
(2) Telegrams and radio messages relating to the clearance of space, passenger dispatching, etc.
(d) System report of airplane movements by trip number showing arrivals, departures, delays
and related information.
(e) Sales reports:
(1) Sales ticket or other similar reports from stations, offices and agents ...........................
(f) Auditors’ coupons ....................................................................................................................
(g) Air waybills ..............................................................................................................................
(h) Flight coupons ........................................................................................................................
(i) Ticket refund claims records and reports ................................................................................
(j) Records and reports relating to errors, oversales, irregularities and delays in handling passengers.
9. All documents which relate to the furnishing of transportation to candidates for political office or
persons acting on their behalf which are required to be maintained following § 374a.7 of the
subchapter.

199

VerDate Nov<24>2008

11:49 Mar 04, 2009

Jkt 217046

PO 00000

Frm 00209

Fmt 8010

Sfmt 8010

Y:\SGML\217046.XXX

217046

3 years.
Do.
3 years.
Do.
Do.
Do.
Do.
1 year.
30 days.

3 years.
Do.
Do.

1 year.
3 years.
(1).
2 months.
1 month.
3 years.
2 years.
1 year.
Do.
Do.
Do.
Do.
2 years.

§ 249.21

14 CFR Ch. II (1–1–09 Edition)
SCHEDULE OF RECORDS—Continued
[See footnote at end of table]
Retention
period

Category of records

10. Correspondence and working papers relating to rate and route proceedings .............................
1 One

3 years.

year-mail-property; 2 years-passengers.

[ER–1214, 46 FR 25415, May 6, 1981, as amended at 60 FR 66726, Dec. 26, 1995]

§ 249.21 Preservation of records by
public charter operators and overseas military personnel charter operators.
Each operator authorized under parts
372 and 380 of this chapter shall retain
the following records for 6 months
after completion or cancellation of the
flight or series of flights. The records
shall be made available upon request of
an authorized representative of the
DOT.
(a) All receipts and statements of
travel agents and all other documents
which show deposits made by each
charter participant or which show refunds to charter participants.
(b) All receipts and statements of
travel agents and all other documents
which show or reflect commissions received, paid to, or deducted by travel
agents in connection with the flight or
series of flights.
(c) All statements, invoices, bills,
and receipts from suppliers for furnishing of goods or services in connection with the tour or series of tours.
(d) All customer reservations records
for each flight.
(e) All contracts with individual tour
participants.
(f) All bank statements and reconciliations for escrow bank accounts opened
and maintained in accordance with
DOT regulations.
[ER–1214, 46 FR 25415, May 6, 1981, as amended at 60 FR 66726, Dec. 26, 1995]

yshivers on PROD1PC62 with CFR

Subpart C—Regulations Relating
to the Truth-in-Lending Act
§ 249.30 Applicability.
This subpart is applicable to all air
carriers and foreign air carriers as defined in 49 U.S.C. 40102, including, without limitation, direct carriers, air taxi
operators registered under part 298 of

this chapter, indirect air carriers registered under part 296 of this chapter,
charter operators authorized under
parts 372 and 380 of this chapter, and
foreign air carriers holding permits to
engage in indirect foreign air transportation issued under 49 U.S.C. 41302.
[ER–1214, 46 FR 25415, May 6, 1981, as amended at 60 FR 66726, Dec. 26, 1995]

§ 249.31 Preservation and inspection of
evidence of compliance.
Air carriers and foreign air carriers
shall preserve evidence of compliance
with the requirements imposed under
Regulation Z of the Board of Governors
of the Federal Reserve System (12 CFR
part 226), implementing the provisions
of Title I (Truth in Lending) and Title
V (General Provisions) of the Consumer
Credit Protection Act, as amended (15
U.S.C. 1601 et seq.) other than the advertising requirements under § 226.10 of
regulation Z. This evidence shall be
preserved for no less than 2 years after
the date each disclosure is required to
be made and shall be made available
for inspection by authorized representatives of the DOT.
[ER–1214, 46 FR 25415, May 6, 1981, as amended at 60 FR 66726, Dec. 26, 1995]

PART 250—OVERSALES
Sec.
250.1 Definitions.
250.2 Applicability.
250.2a Policy regarding denied boarding.
250.2b Carriers to request volunteers for denied boarding.
250.3 Boarding priority rules.
250.5 Amount of denied boarding compensation for passengers denied boarding involuntarily.
250.6 Exceptions to eligibility for denied
boarding compensation.
250.7 [Reserved]
250.8 Denied boarding compensation.

200

VerDate Nov<24>2008

11:49 Mar 04, 2009

Jkt 217046

PO 00000

Frm 00210

Fmt 8010

Sfmt 8010

Y:\SGML\217046.XXX

217046