4/21/16

 

8900.1 CHG 145

VOLUME 12  International Aviation

CHAPTER 5  International Field Office Recordkeeping—Foreign Air Carriers

Section 1  Recordkeeping

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12-453    GENERAL. Each responsible Federal Aviation Administration (FAA) International Field Office (IFO) or Flight Standards District Office (FSDO) ensures that appropriate records on each Title 14 of the Code of Federal Regulations (14 CFR) part 129 foreign air carrier are maintained in accordance with this section and that they contain at least the documents listed in paragraph 12-454 or 12-455, as appropriate. These records should be maintained in accordance with the current edition of FAA Order 1350.14, Records Management. Managers should develop checklists or other documentation to reflect their review/acknowledgement of missing or unrecoverable documents. For issues regarding accidental destruction of records, refer to Order 1350.14.

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12-454    FOREIGN AIR CARRIER WITH FAA-ISSUED PART 129 OPERATIONS SPECIFICATIONS (OPSPECS) CONDUCTING OPERATIONS WITHIN THE UNITED STATES. The IFO responsible for the foreign air carrier’s OpSpecs maintains the following records, as appropriate, for each foreign air carrier that operates aircraft of U.S. registry or foreign registry, or both. Records may be maintained either in paper form or electronically, provided that, for electronically maintained records, adequate electronic backup is maintained to prevent loss of required records.

A.    Permanent Record.

1)    Copy of current foreign Air Operator Certificate (AOC).
2)    Copy of current foreign OpSpecs and/or other special provisions.
3)    Current economic authority (permit, exemption, or registration, as appropriate).
4)    Current FAA-approved minimum equipment list (MEL) (U.S.-registered aircraft only).
5)    Current FAA-approved maintenance program (U.S.-registered aircraft only).
6)    Copy of current lease agreement or written memorandum (conveyance) of the terms of a lease for U.S.-registered aircraft, including amendments.
7)    Copy of current lease agreement or written memorandum (conveyance) required for aircraft wet lease or interchange operations, including amendments.
8)    Copy of current application package for each Special Purpose Pilot Authorization (SPPA) (foreign air carriers using U.S.-registered aircraft).

NOTE:  For subparagraphs 12-454A9)–13), destroy any 5-year-old superseded or canceled case files.

9)    Original application package resulting in the issuance of FAA OpSpecs.
10)    Copy of original or superseded economic authority (permit, exemption, or registration, as appropriate).
11)    Copy of original FAA-issued OpSpecs, unless electronically maintained (e.g., in the Web‑based Operations Safety System (WebOPSS)).
12)    Copy of amended FAA-issued OpSpecs, unless electronically maintained (e.g., in WebOPSS).
13)    Subsequent requests for amendment of FAA OpSpecs.

B.    General Correspondence Files. Destroy any 2-year-old routine correspondence, reports, and safety‑related documents pertaining to the administration of programs for the safety of flight of civil aircraft by assuring the airworthiness of aircraft, the competence of airmen, the adequacy of flight operations and maintenance activities, and the evaluation of in-flight facility performance, but excluding files described elsewhere listed below.

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C.    Legal Enforcement Case Files. These are case files relating to legal actions taken with respect to alleged violations of 14 CFR, consisting of violation reports, technical analyses, evidentiary materials, sanction documents, and related correspondence. Transfer these to the Federal Records Center (FRC) 2 years after the case is closed in the Enforcement Information System (EIS). (Refer to Order 1350.14.)

1)    For cases resulting in no action, destroy 30 days after (or no more than 90 days after) the case is closed in the EIS.
2)    For cases resulting in administrative enforcement action, destroy information that identifies the individual 2 years after the case is closed in the EIS.
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12-455    FOREIGN PERSON OR FOREIGN AIR CARRIER WITH FAA-ISSUED PART 129 OPSPECS CONDUCTING OPERATIONS WITH U.S.-REGISTERED AIRCRAFT SOLELY OUTSIDE THE UNITED STATES. The IFO responsible for the foreign air carrier or operator’s OpSpecs maintains the following records, as appropriate, for each foreign air carrier or operator that operates aircraft of U.S. registry. Records may be maintained either in paper form or electronically, provided that for electronically maintained records adequate electronic backup is maintained to prevent the loss of any required records.

A.    Permanent Record.

1)    Copy of current foreign AOC.
2)    Copy of current foreign OpSpecs and/or other special provisions.
3)    Current FAA-approved MEL.
4)    Current FAA-approved maintenance program.
5)    A copy of current lease agreement or written memorandum (conveyance) of the terms of a lease.
6)    A copy of current lease agreement or written memorandum (conveyance) required for aircraft wet lease or interchange operations.
7)    Copy of current application and renewal (or computerized list) for each SPPA.

NOTE:  For subparagraphs 12-455A8)–11), destroy 5-year-old superseded or canceled case files.

8)    Original application resulting in issuance of FAA OpSpecs (all forms and documents submitted).
9)    Copy of current foreign-issued OpSpecs or special provisions, kept until superseded.
10)    Copy of original FAA-issued OpSpecs, unless electronically maintained (e.g., in WebOPSS).
11)    Subsequent requests for amendment of FAA OpSpecs.

B.    General Correspondence Files. Destroy any 2-year-old routine correspondence, reports, and safety‑related documents pertaining to the administration of programs for the safety of flight of civil aircraft by assuring the airworthiness of aircraft, the competence of airmen, the adequacy of flight operations and maintenance activities, and the evaluation of in-flight facility performance, but excluding files described elsewhere listed below.

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C.    Legal Enforcement Case Files. These are case files relating to legal actions taken with respect to alleged violations of 14 CFR, consisting of violation reports, technical analyses, evidentiary materials, sanction documents, and related correspondence. Transfer these files to the FRC 2 years after the case is closed in the EIS. (Refer to Order 1350.14.)

1)    For cases resulting in no action, destroy 30 days after (or no more than 90 days after) the case is closed in the EIS.
2)    For cases resulting in administrative enforcement action, destroy information that identifies the individual 2 years after the case is closed in the EIS.

12-456    RECORD RETENTION REQUIREMENTS.

A.    Hand-Signed OpSpecs.

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1)    Once both the IFO and the foreign air carrier or operator agree on the proposed OpSpecs, the IFO puts the authorizing document in “Signed”status, moves it to “Active,”prints two copies, and signs both. Both copies are then delivered to the foreign air carrier or operator for signature. When the foreign air carrier or operator has signed both copies, the IFO retains one copy and the foreign air carrier or operator retains the other. When the foreign air carrier or operator signs the OpSpec as received, it is acknowledging that it has reviewed the OpSpecs and agrees to comply with the specifications appearing in the authorizing document.
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2)    Principal inspectors (PI) will keep a current, signed copy of all OpSpec documents, including the table of contents, on file in the IFO. The signed OpSpec authorizing documents that are currently in effect for the foreign air carrier or operator will be filed together. Superseded, surrendered, or revoked OpSpec-authorizing documents and tables of contents will be retained in the IFO office for at least 5 years. If a foreign air carrier or operator’s OpSpecs are surrendered or revoked, the OpSpecs will be retained in the IFO files for at least 5 years. The electronic version of the OpSpecs will remain in effect within WebOPSS until amended. When amended, the previous active OpSpecs will be electronically archived.

B.    Electronically Signed OpSpecs (e.g., WebOPSS).

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1)    After the foreign air carrier or operator has completed a new or amended OpSpec authorizing document and placed it in “Draft”status in WebOPSS, the IFO reviews the proposed authorizing document in the workspace area and makes or suggests any proposed changes. Once both the IFO and foreign air carrier or operator agree on the proposal, the foreign air carrier or operator electronically signs the authorizing document and advises the IFO that the “Industry Signature”has been accomplished. When the “Industry Signature”has been accomplished, the foreign air carrier or operator is acknowledging that it agrees to comply with the specifications appearing in the authorizing document. The IFO then electronically signs the authorizing document and moves the authorizing document to the “Cert. Holder”area in WebOPSS.
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2)    Once the OpSpec authorizing document is in the “Cert. Holder”area, the IFO may wish to print a paper copy of the authorizing document for data retention purposes. However, a printed copy is not required, as the active OpSpecs will be retained in the WebOPSS database. When an OpSpec is amended, the previous active OpSpec will be electronically archived.

Figure 12-11.  Recordkeeping Job Aid

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Each responsible FAA International Field Office (IFO) or Flight Standards District Office (FSDO) ensures that appropriate records on each foreign air carrier are maintained in accordance with the current editions of FAA Order 8900.1, Volume 12, Chapter 5, Section 1. These records should be maintained in accordance with the current edition of FAA Order 1350.14, Records Management.

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Managers should develop checklists or other documentation to reflect their review/acknowledgement of missing or unrecoverable documents. For accidental destruction of records, refer to Order 1350.14.

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Name of Foreign Air Carrier

FAA Designator

State of Operator

 

 

 

IFO/FSDO Manager

 

 

 

 

 

Principal Operations Inspector (POI)

Principal Maintenance Inspector (PMI)

Principal Avionics Inspector (PAI)

 

 

 

Part A: Foreign Air Carrier with FAA-Issued 14 CFR Part 129 Operations Specifications (OpSpecs) Conducting Operations Within the United States

PERMANENT RECORD

(KEPT UNTIL SUPERSEDED OR CANCELED)

FILE LOCATION HARDCOPY/ELECTRONIC/CD

1. Copy of current foreign Air Operator Certificate (AOC).

 

2. Copy of current foreign OpSpecs or other foreign AOC special provisions.

 

3. Current economic authority (permit, exemption, or registration, as appropriate).

 

4. Current FAA-approved minimum equipment list (MEL) (U.S.-registered aircraft only).

 

5. Current FAA-approved maintenance program (U.S.-registered aircraft only).

 

6. Copy of current lease agreement or written memorandum (conveyance) of the terms of a lease for U.S.-registered aircraft, including amendments.

 

7. Copy of current lease agreement or written memorandum (conveyance) required for aircraft wet lease or interchange operations, including amendments.

 

8. Copy of application and/or renewal (package or computerized list) for each current Special Purpose Pilot Authorization (SPPA) or Special Purpose Airman Certificate—foreign air carriers using U.S.-registered aircraft.

 

CASE FILES—KEPT FOR AT LEAST 5 YEARS

FILE LOCATION HARDCOPY/ELECTRONIC/CD

9. Original application package resulting in issuance of FAA OpSpecs.

 

10. Copy of original or superseded economic authority (permit, exemption, or registration, as appropriate).

 

11. Copy of original FAA-issued OpSpecs (unless electronically maintained in the Web‑based Operations Safety System (WebOPSS)).

 

12. Copy of amended FAA-issued OpSpecs (unless electronically maintained in WebOPSS).

 

13. Subsequent applications for amendment of FAA WebOPSS.

 

CASE FILES—KEPT FOR AT LEAST 2 YEARS

FILE LOCATION HARDCOPY/ELECTRONIC/CD

General Correspondence Files.

Routine correspondence, reports, and safety‑related documents pertaining to the administration of programs for the safety of flight of civil aircraft by assuring the airworthiness of aircraft, the competence of airmen, the adequacy of flight operations and maintenance activities, and the evaluation of in-flight facility performance.

 

Indicates new/changed information.

LEGAL ENFORCEMENT CASE FILES

FILE LOCATION HARDCOPY/ELECTRONIC/CD

Legal Enforcement Case Files.

Case files relating to legal actions taken with respect to alleged violations of 14 CFR, consisting of violation reports, technical analyses, evidentiary materials, sanction documents, and related correspondence. Transfer to Federal Records Center (FRC) 2 years after case is closed in the Enforcement Information System (EIS). (Refer to Order 1350.14.)

For cases resulting in no action, destroy 30 days after (or no more than 90 days after) the case is closed in the EIS.

For cases resulting in administrative enforcement action, destroy information that identifies the individual 2 years after the case is closed in the EIS.

 

Part B: Foreign Person or Foreign Air Carrier with FAA-Issued Part 129 OpSpecs Conducting Operations with U.S.-Registered Aircraft Operated Solely Outside the United States in Common Carriage

PERMANENT RECORD (KEPT UNTIL SUPERSEDED OR CANCELED)

FILE LOCATION HARDCOPY/ELECTRONIC/CD

1. Copy of current foreign AOC.

 

2. Copy of current foreign OpSpecs or other foreign AOC special provisions.

 

3. Current FAA-approved MEL.

 

4. Current FAA-approved maintenance program.

 

5. Copy of current lease agreement or written memorandum (conveyance) of the terms of a lease for U.S.-registered aircraft, including amendments.

 

6. Copy of current lease agreement or written memorandum (conveyance) required for aircraft wet lease or interchange operations.

 

7. Copy of application and/or renewal (package or computerized list) for each current SPPA.

 

8. Original application package resulting in issuance of FAA OpSpecs.

 

Indicates new/changed information.

CASE FILES—KEPT FOR AT LEAST 5 YEARS

FILE LOCATION HARDCOPY/ELECTRONIC/CD

9. Copy of original FAA-issued OpSpecs (unless electronically maintained in WebOPSS).

 

10. Copy of amended FAA-issued OpSpecs (unless electronically maintained in WebOPSS).

 

11. Subsequent applications for amendment of FAA OpSpecs.

 

CASE FILES—KEPT FOR AT LEAST 2 YEARS

FILE LOCATION HARDCOPY/ELECTRONIC/CD

General Correspondence Files.

Routine correspondence, reports, and safety-related documents pertaining to the administration of programs for the safety of flight of civil aircraft by assuring the airworthiness of aircraft, the competence of airmen, the adequacy of flight operations and maintenance activities, and the evaluation of in-flight facility performance.

 

LEGAL ENFORCEMENT CASE FILES

FILE LOCATION HARDCOPY/ELECTRONIC/CD

Law Enforcement Case Files.

Case files relating to legal actions taken with respect to alleged violations of 14 CFR, consisting of violation reports, technical analyses, evidentiary materials, sanction documents, and related correspondence. Transfer to the FRC 2 years after case is closed in the EIS. (Refer to Order 1350.14.)

For cases resulting in no action, destroy 30 days after (or no more than 90 days after) the case is closed in the EIS.

For cases resulting in administrative enforcement action, destroy information that identifies the individual 2 years after the case is closed in the EIS.

 

RESERVED. Paragraphs 12-457 through 12-471.