FAA 14 CFR PART 249-2011 PRESERVATION OF AIR CARRIER RECORDS《航空公司记录的保存》.pdf

1、188 14 CFR Ch. II (1111 Edition) 248.4 the audit report submitted by such independent public accountants, in-cluding all schedules, exhibits, and cer-tificates 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 no

2、t cause an annual audit to be made of its books, records, and ac-counts for any fiscal year shall, at the close of such fiscal year file with the Boards Office of the Comptroller, as a part of its periodic reports, a state-ment that no such audit has been per-formed. (c) Carriers shall submit their

3、audit reports or their statement that no audit was performed in a format speci-fied in accounting and reporting direc-tives issued by the Bureau of Transpor-tation Statistics Director of Airline Information. (Approved by the Office of Management and Budget under control number 21380004) ER1351, 48 F

4、R 32756, July 19, 1983, as amend-ed by ER1362, 48 FR 46265, Oct. 12, 1983; 60 FR 66725, Dec. 26, 1995; 75 FR 41584, July 16, 2010 248.4 Time for filing reports. The report required by this part shall be filed with the Office of Airline Infor-mation within 15 days after the due date of the appropriat

5、e 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, which-ever is later. ER1351, 48 FR 32756, July 19, 1983, as amend-ed at 60 FR 66725, Dec. 26, 1995 248.5 Withholding from public disclo-su

6、re. 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. ER420, 29 FR 13799, Oct. 7, 1964, as amended at 60 FR 66725, Dec. 26, 1995 PART 249PRESERVATION OF

7、AIR CARRIER RECORDS Subpart AGeneral 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 of records. 2

8、49.9 Carriers going out of business. 249.10 Waiver of requirements. Subpart BPreservation of Records by Carrier 249.20 Preservation of records by certifi-cated air carriers. 249.21 Preservation of records by public charter operators and overseas military personnel charter operators. Subpart CRegulat

9、ions Relating to the Truth-in-Lending Act 249.30 Applicability. 249.31 Preservation and inspection of evi-dence of compliance. AUTHORITY: 49 U.S.C. 329 and chapters 401, 411, 413, 417. SOURCE: ER1214, 46 FR 25415, May 6, 1981, unless otherwise noted. NOTE: The recordkeeping requirements contained in

10、 this part have been approved by the Office of Management and Budget under control number 21380006. Subpart AGeneral Instructions 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 certifi-cates of public convenience and nec

11、es-sity or certificates for all-cargo air service. (b) Public charter operators, as de-fined in part 380 of this chapter. (c) Overseas military personnel char-ter operators, as defined in part 372 of this chapter. ER1214, 46 FR 25415, May 6, 1981, as amend-ed at 60 FR 66725, Dec. 26, 1995 249.2 Defi

12、nitions. For the purposes of this part: VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00198 Fmt 8010 Sfmt 8010 Y:SGML223046.XXX 223046WReier-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-189 Office of t

13、he Secretary, DOT 249.3 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 DOTs authority. Certificated air carrier means the hold-er of a certificate of publi

14、c convenience and necessity issued by the Depart-ment 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 expira-tion date of the last possible period of review or reconsider

15、ation of a given case, by the DOT or by a court, that is provided by applicable statute or regu-lation. Open mail rate period means the time interval between the date of institu-tion of a new mail rate proceeding or the start of service over a new route for which no mail rate has previously been fix

16、ed, 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

17、 facts regarding, financial transactions or physical operations of a particular segment, operating division, or entire system of the carriers operations. The term includes any copy of initially pre-pared documents which bear approvals, comments, or notations which were added and are of significance

18、to a full explanation of recorded facts or infor-mation. The term records means not only accounting records in a limited technical sense but all other evi-dentiary accounts of events such as memoranda, correspondence, working sheets, tabulating equipment listings punched cards, computer-produced lis

19、t-ings, 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 com-ing into the possession of the

20、 air car-rier through merger, consolidation, succession, transfer, or other acquisi-tion. 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. ER1214, 46 FR 254

21、15, May 6, 1981, as amend-ed 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 re-quirements of this p

22、art if the record is initially prepared in a machine-read-able 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 mi

23、crofilm record shall not be destroyed after transfer to a ma-chine-readable medium before expira-tion of the prescribed period: however, a waiver permitting the early destruc-tion of paper or microfilm records transferred to a machine-readable me-dium may be granted by the Director, Office of Airlin

24、e Information, when it is demonstrated by the requesting car-rier that the substantive purpose of the retention requirement will be met by retention of the information in ma-chine-readable form (see 249.10). (b) Each record kept in a machine- readable medium shall be accompanied by a statement clear

25、ly indicating the type of data included in the record and certifying that the information con-tained 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 manne

26、r so that they are easily accessible, and the carrier shall have the facilities available to locate, iden-tify and reproduce the records in read-able form without loss of clarity. Au-thorized representatives of the DOT shall be given immediate access to the carriers facilities upon request. (c) If a

27、ny record which must be re-tained under the provisions of 249.20 VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00199 Fmt 8010 Sfmt 8010 Y:SGML223046.XXX 223046WReier-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license fro

28、m IHS-,-,-190 14 CFR Ch. II (1111 Edition) 249.4 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 sat-isfy these record retention require-ments. In these cases, the carrier shall establish adequate

29、 cross-references to assist in locating the record. (d) The provisions in this part do not excuse noncompliance with require-ments of any other governmental body, Federal or State, prescribing longer re-tention periods for any records. ER1214, 46 FR 25415, May 6, 1981, as amend-ed at 60 FR 66725, De

30、c. 26, 1995 249.4 Photographic copies. (a) Any record may be transferred to nonerasable microfilm (including microfiche, computer output micro-film, and aperture cards) at any time. Records so maintained on microfilm shall satisfy the minimum require-ments listed in paragraphs (b) through (f) of thi

31、s section. (b) The microfilm shall be of a qual-ity 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

32、 retained in such a manner as will render them readily accessible, and the company shall have facilities available to locate, identify and read the micro-film and reproduce in paper form. Au-thorized representatives of the DOT shall be given immediate access to these facilities upon request. (d) Any

33、 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

34、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 ref-erence. (f) Each roll of film or series of microfilm records shall include a microfilm of a cert

35、ificate stating that the photographs are direct and fac-simile reproductions of the original records and they have been made in ac-cordance with prescribed regulations. Such a certificate shall be executed by a person having personal knowledge of these facts. Where the microfilm is computer output,

36、the microfilm certifi-cate shall state that the information is complete and accurate. ER1214, 46 FR 25415, May 6, 1981, as amend-ed 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 subj

37、ect to the provisions of this part. 249.6 Destruction of records. (a) Upon the expiration of the period of preservation prescribed in this regu-lation, records may be destroyed at the option of the carrier. (b) Unless otherwise specified, dupli-cate copies of records may be destroyed at any time if

38、they contain no signifi-cant information not shown on the originals. 249.7 Restrictions on record destruc-tion. (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 occurre

39、nce of one of the following contingencies, whichever is first: (1) Final adjudication of a DOT order fixing the final mail compensation pay-able 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 writt

40、en application filed by the carrier, authorizing the de-struction of specifically identified cat-egories of records. An application should be filed when the carrier be-lieves that certain categories of records are not relevant to the proper processing of a pending mail pro-ceeding. The application s

41、hould list those categories of records which the carrier wants to destroy and its rea-sons for believing that the records are not necessary or useful in determining its satutory mail pay. VerDate Mar2010 13:23 Feb 23, 2011 Jkt 223046 PO 00000 Frm 00200 Fmt 8010 Sfmt 8010 Y:SGML223046.XXX 223046WReie

42、r-Aviles on DSKGBLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-191 Office of the Secretary, DOT 249.20 (b) Each carrier shall preserve records supporting the computation of subsidy mail pay in accordance with the provisions of 249

43、.20 unless the car-rier has been advised that these com-putations are subject to further review and disposition by the Board. When the DOT is still reviewing the compensa-tion amount after expiration of the normal retention period specified in 249.20, these records must be retained until the carrier

44、 is notified by the Di-rector, 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 com-plaint has been filed shall retain all records relating to the case until the receipt of formal

45、 notification from the Director, Office of Airline Information, following a written application from the carrier, which authorizes the de-struction 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 thi

46、s section, shall pre-serve all records according to the pro-visions 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

47、 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 de-struction of these records. ER1214, 46 FR

48、 25415, May 6, 1981, as amend-ed at 60 FR 66725, Dec. 26, 1995 249.8 Premature loss or destruction of records. If records are destroyed or lost before the expiration of the prescribed reten-tion period, a statement shall be pre-pared and submitted to the Director, Office of Airline Information, whic

49、h lists, as accurately as possible, the un-available records and describes the cir-cumstances under which they became unavailable. ER1214, 46 FR 25415, May 6, 1981, as amend-ed at 60 FR 66725, Dec. 26, 1995 249.9 Carriers going out of business. The records referred to in these regu-lations may be destroyed after the business is discontinued and the carrier is completely liquidated. The records may not be d