an air carrier has been authorized to use for purposes of accounting and reporting to the Board. "Subsidy" means that portion of the rate of compensation for the transportation of mail, established pursuant to section 406 of the Act, which is paid by the Board in accordance with the provisions of section 406(c) of the Act. "Supplemental air carrier" shall mean any air carrier holding a certificate issued under section 401(d) (3) of the Federal Aviation Act of 1958, as amended, or a special operating authorization issued under section 417 of the Federal Aviation Act, or operating authority issued pursuant to section 7 or 9 of Public Law 87-528. [ER-328, 26 F.R. 4090, May 12, 1961 as amended by ER-440, 30 F.R. 9579, July 31, 1965] § 249.3 Preservation of records. All records shall be preserved by each air carrier in accordance with the retention requirements respectively prescribed in §§ 249.8 to 249.13. Records not covered by the provisions of such sections may be microfilmed or destroyed at the discretion of the air carrier. Records which are used in lieu of those specified in any of such sections shall be preserved for the periods prescribed with respect to such specified records. Nothing contained in either this part or subchapter shall be construed to excuse noncompliance with requirements of any other governmental body, Federal or State, prescribing longer retention periods for any category of records. [ER-328, 26 F.R. 4090, May 12, 1961] § 249.4 Waivers of requirements of this subpart. A waiver from any provision of this subpart may be made by the Board upon its own initiative or upon submission of a written request therefor by any air carrier or air carriers. Each request for waiver shall demonstrate that unusual circumstances warrant a departure from prescribed retention periods, procedures or techniques or that compliance with such prescribed requirements would impose an unreasonable burden upon the air carrier, and that the granting of the waiver would be in the public interest. [ER-440, 30 F.R. 9579, July 31, 1965] § 249.5 Accidental loss or destruction of records. If, during the prescribed period of preservation, records shall become unavailable through loss, destruction, or otherwise, the air carrier shall promptly submit to the Board a statement listing, as far as may be determined, the records destroyed and describing the circumstances of accidental or other premature destruction. This statement shall be authenticated by an officer or some other responsible employee of the air carrier. [ER-328, 26 F.R. 4091, May 12, 1961 as amended by ER-440, 30 F.R. 9579, July 31, 1965] § 249.6 Permissive destruction of records. Upon the expiration of the period of preservation prescribed in §§ 249.8 to 249.13, records may be destroyed at the option of the air carrier. Provided, however, That each air carrier shall execute a "certified description" before destroying any such records. [ER-328, 26 F.R. 4091, May 12, 1961] § 249.7 Preservation of microfilm. records on Microfilms which are prepared in accordance with the requirements of this section may be substituted for original documents with respect to all categories of records where such substitution has been specifically authorized in this subpart. Microfilms may be substituted for those categories of records required to be retained under § 249.13 where, and to the extent that, such substitution is specifically authorized in the "Schedule of Records" therein contained: Pro vided, however, That all such substitution shall only be made when the records involved are not subject to the retention requirements of § 249.13(e). Microfilms may not be substituted for any category of records required to be retained for the relatively limited time periods prescribed in §§ 249.8 to 249.12 except to the extent that a waiver from this prohibition with respect to any particular category of records is obtained pursuant to § 249.4. (a) Prior to photographing, the original documents shall be so prepared, arranged, classified, and indexed as readily to permit the subsequent location, examination, and reproduction of the photographs thereof. Any significant characteristic, feature, or other attribute of the records which photography would not clearly reflect (e.g., that the record is a copy or that certain figures thereon are red) shall be indicated on the records at the time of such arrangement, classification, and identification. When a number of records to be microfilmed have in common such a characteristic or attribute, an appropriate notation identifying the characteristic or attribute may be indicated in a statement at the beginning of the roll of film instead of on each individual record. Any notations on the face or reverse side of any document shall be photographed and identified as forming an integral part of the original document. (b) Each roll of film shall include a microfilm of a certificate or certificates stating that the photographs are direct and facsimile reproductions of the original records and that they have been made in accordance with prescribed instructions. Such certificate or certificates shall be executed by a person or persons having personal knowledge of the facts covered thereby. (c) The photographic matter on each roll shall begin and end with a statement as to the nature and order of arrangement of the records reproduced, the name of the photographer, and the date. Rolls of film shall not be cut. Supplemental or retaken film, whether of misplaced or omitted documents or of portions of a film found to be spoiled or illegible or of other matter, shall be attached to the beginning of the roll, and in such event the aforementioned certificate or certificates shall cover also such supplemental or retaken film and shall state the reasons for taking such film. (d) All film stock shall be of approved permanent-record microfilm type of 16-mm or 35-mm size, either perforated or unperforated, such as meets the minimum specifications of the National Bureau of Standards. (Such film stock may be identified by a manufacture's mark, a solid triangle after the word "safety" in the edge of the film.) The photographing and processing shall be such that reproductions on photographic paper can be made, similar in size without significant loss in clarity of detail, during the period prescribed in these rules for the retention of the records concerned. The air carrier shall be prepared to furnish, at its own expense, appropriate standard facilities for reading the microfilm. (e) The microfilms shall be indexed and retained in such manner as will render them readily accessible and identifiable. They should be stored in such manner as to provide reasonable protection from hazards such as fire, flood, theft, etc. The films shall be cared for in such manner as to prevent damage such as cracking, breaking or splitting. [ER-328, 26 F.R. 4091, May 12, 1961 as amended by ER 440, 30 F.R. 9579, July 31, 1965] § 249.8 Period of preservation of records by supplemental air carriers. Each supplemental air carrier shall retain its records in accordance with the provisions of this section. All records of the categories set forth in this section shall be preserved, for the duration of the retention periods set forth below, at the carrier's principal office. Category of records 1. All accounts, records and memoranda (including accounts, records and memoranda of the movement of traffic as well as the receipts and expenditures of money), which are needed in order to accomplish full compliance with the reporting requirements of Part 241 of this subchapter: 1 (a) As related to statistical reports (including copies of flight and auditor's coupons). (b) As related to flight reports. 2. Tariffs and rates: (a) Tariffs, classifications, di- (c) Special or reduced-rate (d) Copies of concurrences and di vision sheets, and circulars affecting the transportation of persons and property. 2. Official tariffs and amendments thereto. 3. Maintenance and overhaul records (excluding job expense distribution detail): Period to be retained 3 years. 1 year. 3 years after expiration or cancellation. Until expiration or cancellation. 3 years. 2 years after expiration or cancellation. 3 years after cancellation or expiration of tariff. Permanently. (a) All maintenance performed. 1 year. (b) Last complete overhaul cycle for each aircraft and its components when approved continuous maintenance system is used. (c) Major structural repairs and alterations. Current. Until equipment is sold or, when retired, 1 year from cancellation of registration. Until component is sold or, when retired, 1 year from date of retirement or date of cancellation of registration if registered. Current. 2 months. 1 The requirements of this item are also applicable to those records which were needed in order to accomplish full compliance with the reporting requirements of former Part 242 of this subchaper, which was repealed by Regulation ER-371, effective Dec. 31, 1962, 27 F.R. 12927. In other words, records required by Part 242 of this subchapter to be preserved must be retained until expiration of the retention periods prescribed under item 1 above. [ER-328, 26 F.R. 4091, May 12, 1961, as amended by ER-351, 27 F.R. 1757, Feb. 24, 1962; ER-406, 29 F.R. 6379, May 15, 1964; ER-440, 30 F.R. 9579, July 31, 1965] NOTE: The record-retention requirements contained herein have been approved by the Bureau of the Budget in accordance with the Federal Reports Act of 1942. § 249.11 Period of preservation of records by holders of foreign civil aircraft permits. Each holder of a permit issued by the Board authorizing the navigation in the 1 Pursuant to § 375.43(b) of the Board's special regulations, the holder of a permit authorizing 10 or more flights originating in the United States in a 90-day period shall maintain a place in the United States where such documents may be inspected at any proper time by authorized representatives of the Board or the Federal Aviation Agency. Records of flights terminating in the United States and flights conducted pursuant to a permit authorizing less than 10 flights in any 90-day period need not be maintained in the United States but shall be made available to the Board upon demand. Pursuant to § 375.43 (c) of the special regulations, records covered by this requirement shall be made available to the Board or the Federal Aviation Agency upon demand. [ER-328, 26 F.R. 4092, May 12, 1961] § 249.12 Period of preservation of records by foreign air carriers. Each foreign air carrier, other than those foreign air carriers which are authorized to engage in charter transportation only,' shall retain its records in accordance with the provisions of this section. (a) Each carrier shall, pursuant to Part 221 of this subchapter, maintain at its principal or general office a complete file of all tariffs issued by it and by its agents and those issued by other carriers in which it concurs. Each tariff shall be retained until 3 years after the expiration or cancellation thereof. (b) Each carrier shall, pursuant to Part 223 of this subchapter, maintain for 3 years in its general offices a record of all passes issued by it and used for free or reduced-rate transportation over its routes. [ER-460, 31 F.R. 5352, Apr. 5, 1966] 1 The record-retention requirements governing foreign air carriers authorized to engage in charter transportation only are set forth in Part 214 of the Board's economic regulations. § 249.13 Period of preservation of records by certificated route air carriers. Each certificated route air carrier subject to the reporting requirements of Part 241 of this subchapter shall retain its records in accordance with the provisions of this section. (a) All records of the categories specified in this section shall be preserved for the duration of the retention periods specified in the "Schedule of Records" set forth in paragraph (f) of this section. Those microfilm copies which may be kept in lieu of original records as provided in paragraph (f) of this section, shall be preserved pursuant to the provisions of § 249.7. Records may be destroyed when the otherwise applicable retention period has expired unless, prior thereto, the certificated route air carrier has been named as a party to a pending case. In the latter event, it shall retain all records identified in the "Schedule of Records" in accordance with the applicable provisions of either paragraph (b) or (c) of this section. (b) Each certificated route air carrier shall retain, in accordance with the provisions of this paragraph, all records remaining in its custody as of the beginning of an "open mail rate period," and all records which are subsequently acquired. Each such air carrier shall preserve any records which relate to an accounting year included in an "open mail rate period "" until the occurrence of either of the following specified contingencies, whichever is first: (1) Final adjudication of a Board order fixing the final mail compensation payable for services rendered during an open mail rate period. (2) Receipt of a notice issued by the Board, pursuant to a written application filed by the air carrier,' authorizing the destruction of specifically identified categories of records. As used in the part, an accounting year shall be deemed to be included in an open mail rate period if any portion thereof falls within such period. • Such an application should be filled whenever 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 desires to destroy and its reasons for believing that such records are not necessary or useful in the determination of its statutory mail pay. 66-031-67--18 (c) Each certificated route air carrier which has been joined as a party to a pending case arising under any section of the Act other than section 406 shall continue to preserve all records in accordance with the provisions of this section and subpart as though no such proceeding were pending unless prior to the occurrence of otherwise authorized destruction the air carrier has received a written notice from the Board directing that specific records (identified by category and period covered) be preserved until final adjudication of the pending proceeding. In such event, the air carrier shall continue to preserve such records until final adjudication of the proceeding. (d) The provisions of paragraphs (b) and (c) of this section shall not be construed to prevent the microfilming of original documents, and the preservation of such microfilms of original documents in lieu thereof, in accordance with the provisions of the "Schedule of Records." Upon the expiration of the retention periods set forth in the "Schedule of Records,” the identified categories of records may be microfilmed at the discretion of the air carrier pending satisfaction of the conditions specified in the paragraphs (b) and (c) of this section regarding the destruction of records. (e) Notwithstanding any other provisions of this section or subpart, each air carrier shall preserve original documents set forth below (except those relating to mail compensation for months in which the carrier is not operating under a mail rate including a "subsidy" element) until receipt of a written notice from the Board, which specifically authorizes destruction of such documents: (1) All monthly records of operations, such as tabulations and summaries of miles flown and passenger-miles flown, Category of records which pertain to or are a part of operational records relevant to the computation of "subsidy" mail pay. (2) All basic original documents, such as pilots' flight logs, aircraft weight and balance reports, and passenger manifests, which are relevant to a determination of the validity of the carrier's operational records described in subparagraph (1) of this paragraph. (f) All records of the categories specified in the "Schedule of Records" below, shall be preserved for the duration of the retention periods specified therein. Except as otherwise specified in the "Schedule of Records," the periods stated therein begin with the date the records are created or otherwise come into the possession of the carrier. The following indicators are used to designate in the "Schedule of Records" those records for which microfilms may be substituted for original records provided the procedures prescribed in § 249.7 are observed: In the absence of any "M" indicator, microfilms may not be substituted for any category of original documents unless microfilming is specifically authorized under the provisions of paragraph (a) or (d) of this section. M-Indicates that microfilms may be substituted for retention of the original records at any time. M-1, M-2, etc.-Indicates that microfilms may be substituted for retention of the original records only after the original records have been retained in their original form for the number of years corresponding to the numeral. ME-Indicates records for which microfilms may be substituted for the retention of original records only for the period subsequent to the expiration, cancellation, supersedure, or other condition shown in the column, "Period to be Retained." Thus, for Category 9 (c) microfilms are not acceptable for current leases; however, they are acceptable for leases upon termination thereof, the retention period for which is 3 years after termination. |