# AC 120-68J: Pilot Records Database and Pilot Records Improvement Act - Type: Advisory circular (guidance, not mandatory unless a rule or AD requires it) - Status: Current - Approved: June 28, 2021 - Last reviewed: August 15, 2024 - Family: AC 120-68 - Cancels: [AC 120-68H](https://openairdocs.org/ac/120-68H) - 14 CFR parts: 111, 119, 91, 125, 61, 107, 120, 121, 135, 110 - 14 CFR sections: [111.1](https://www.ecfr.gov/current/title-14/section-111.1), [111.10](https://www.ecfr.gov/current/title-14/section-111.10), [111.15](https://www.ecfr.gov/current/title-14/section-111.15), [111.25](https://www.ecfr.gov/current/title-14/section-111.25), [111.30](https://www.ecfr.gov/current/title-14/section-111.30), [119.65](https://www.ecfr.gov/current/title-14/section-119.65), [119.69](https://www.ecfr.gov/current/title-14/section-119.69), [119.59](https://www.ecfr.gov/current/title-14/section-119.59), [91.147](https://www.ecfr.gov/current/title-14/section-91.147), [125.3](https://www.ecfr.gov/current/title-14/section-125.3), [61.31](https://www.ecfr.gov/current/title-14/section-61.31), [61.58](https://www.ecfr.gov/current/title-14/section-61.58), [61.57](https://www.ecfr.gov/current/title-14/section-61.57), [120.7](https://www.ecfr.gov/current/title-14/section-120.7), [121.683](https://www.ecfr.gov/current/title-14/section-121.683), [135.63](https://www.ecfr.gov/current/title-14/section-135.63), [135.73](https://www.ecfr.gov/current/title-14/section-135.73), [91.1051](https://www.ecfr.gov/current/title-14/section-91.1051), [91.1065](https://www.ecfr.gov/current/title-14/section-91.1065), [91.1107](https://www.ecfr.gov/current/title-14/section-91.1107), [91.1027](https://www.ecfr.gov/current/title-14/section-91.1027), [91.1081](https://www.ecfr.gov/current/title-14/section-91.1081), [91.1101](https://www.ecfr.gov/current/title-14/section-91.1101), [91.1103](https://www.ecfr.gov/current/title-14/section-91.1103), [91.1097](https://www.ecfr.gov/current/title-14/section-91.1097), [91.1063](https://www.ecfr.gov/current/title-14/section-91.1063), [91.1069](https://www.ecfr.gov/current/title-14/section-91.1069), [91.1083](https://www.ecfr.gov/current/title-14/section-91.1083), [111.100](https://www.ecfr.gov/current/title-14/section-111.100), [111.105](https://www.ecfr.gov/current/title-14/section-111.105), [111.120](https://www.ecfr.gov/current/title-14/section-111.120), [111.110](https://www.ecfr.gov/current/title-14/section-111.110), [111.200](https://www.ecfr.gov/current/title-14/section-111.200), [111.255](https://www.ecfr.gov/current/title-14/section-111.255), [111.215](https://www.ecfr.gov/current/title-14/section-111.215), [111.230](https://www.ecfr.gov/current/title-14/section-111.230), [111.235](https://www.ecfr.gov/current/title-14/section-111.235), [111.240](https://www.ecfr.gov/current/title-14/section-111.240), [111.225](https://www.ecfr.gov/current/title-14/section-111.225), [111.245](https://www.ecfr.gov/current/title-14/section-111.245), [111.220](https://www.ecfr.gov/current/title-14/section-111.220), [125.25](https://www.ecfr.gov/current/title-14/section-125.25), [111.315](https://www.ecfr.gov/current/title-14/section-111.315), [111.310](https://www.ecfr.gov/current/title-14/section-111.310), [111.320](https://www.ecfr.gov/current/title-14/section-111.320), [125.401](https://www.ecfr.gov/current/title-14/section-125.401), [121.415](https://www.ecfr.gov/current/title-14/section-121.415), [121.417](https://www.ecfr.gov/current/title-14/section-121.417), [121.419](https://www.ecfr.gov/current/title-14/section-121.419), [121.424](https://www.ecfr.gov/current/title-14/section-121.424), [121.418](https://www.ecfr.gov/current/title-14/section-121.418), [121.427](https://www.ecfr.gov/current/title-14/section-121.427), [121.423](https://www.ecfr.gov/current/title-14/section-121.423), [121.429](https://www.ecfr.gov/current/title-14/section-121.429), [121.441](https://www.ecfr.gov/current/title-14/section-121.441), [121.434](https://www.ecfr.gov/current/title-14/section-121.434), [121.439](https://www.ecfr.gov/current/title-14/section-121.439), [121.440](https://www.ecfr.gov/current/title-14/section-121.440), [121.911](https://www.ecfr.gov/current/title-14/section-121.911), [121.913](https://www.ecfr.gov/current/title-14/section-121.913), [121.915](https://www.ecfr.gov/current/title-14/section-121.915), [125.291](https://www.ecfr.gov/current/title-14/section-125.291), [125.287](https://www.ecfr.gov/current/title-14/section-125.287), [135.297](https://www.ecfr.gov/current/title-14/section-135.297), [135.293](https://www.ecfr.gov/current/title-14/section-135.293), [135.299](https://www.ecfr.gov/current/title-14/section-135.299), [135.345](https://www.ecfr.gov/current/title-14/section-135.345), [135.347](https://www.ecfr.gov/current/title-14/section-135.347), [135.351](https://www.ecfr.gov/current/title-14/section-135.351), [135.321](https://www.ecfr.gov/current/title-14/section-135.321), [135.330](https://www.ecfr.gov/current/title-14/section-135.330), [135.331](https://www.ecfr.gov/current/title-14/section-135.331), [135.329](https://www.ecfr.gov/current/title-14/section-135.329), [120.111](https://www.ecfr.gov/current/title-14/section-120.111), [120.113](https://www.ecfr.gov/current/title-14/section-120.113), [120.109](https://www.ecfr.gov/current/title-14/section-120.109), [120.219](https://www.ecfr.gov/current/title-14/section-120.219), [120.221](https://www.ecfr.gov/current/title-14/section-120.221), [120.217](https://www.ecfr.gov/current/title-14/section-120.217), [110.2](https://www.ecfr.gov/current/title-14/section-110.2), [120.37](https://www.ecfr.gov/current/title-14/section-120.37), [119.1](https://www.ecfr.gov/current/title-14/section-119.1) - Pages: 136 - PDF: https://openairdocs.org/files/sha256/61/88/6188e03c5e27921d14d340f968c5cb13d2874c094884385218ed9bb21c300257 - FAA DRS: https://drs.faa.gov/browse/excelExternalWindow/0A53500A2E3EBBA78625870500563D1E.0001 - DRS record last changed: November 21, 2025 - Page: https://openairdocs.org/ac/120-68 ## Versions - [AC 120-68J](https://openairdocs.org/ac/120-68) (Current), approved Jun 28, 2021, 136 pages - [AC 120-68H](https://openairdocs.org/ac/120-68H) (Historical), approved Apr 21, 2017, 70 pages - [AC 120-68G](https://openairdocs.org/ac/120-68G) (Historical), approved Jun 21, 2016, 61 pages - [AC 120-68F](https://openairdocs.org/ac/120-68F) (Historical), approved May 31, 2012, 54 pages - [AC 120-68E](https://openairdocs.org/ac/120-68E) (Historical), approved Jul 2, 2010, 52 pages - [AC 120-68D](https://openairdocs.org/ac/120-68D) (Historical), approved Nov 7, 2007, 57 pages - [AC 120-68C](https://openairdocs.org/ac/120-68C) (Historical), approved Jan 28, 2004, 36 pages - [AC 120-68B](https://openairdocs.org/ac/120-68B) (Historical), approved Mar 2, 2002, 30 pages - [AC 120-68A](https://openairdocs.org/ac/120-68A) (Historical), approved Sep 20, 2001, 28 pages - [AC 120-68](https://openairdocs.org/ac/120-68?v=DRSDOCID100483817920240816140735) (Historical), approved May 8, 1997, 16 pages ## Text Each page's text from the PDF; open the PDF at a page with #page=N. ### Page 1 U.S. Department of Transportation Federal Aviation Administration Advisory Circular Subject: Pilot Records Database and Pilot Records Improvement Act Date: 6/28/21 AC No: 120-68J Initiated by: AFS-600 Change: This advisory circular (AC) provides operators and pilots with guidance regarding Title 14 of the Code of Federal Regulations (14 CFR) part 111: the Pilot Records Database (PRD) and the Pilot Records Improvement Act of 1996 (PRIA). The PRD facilitates the sharing of pilot records among pilot employers in a clearinghouse managed by the Federal Aviation Administration (FAA). In accordance with part 111, all 14 CFR part 119 certificate holders, operators that conduct operations in accordance with a fractional ownership program (fractional ownerships), and air tour operators holding a Letter of Authorization (LOA) issued in accordance with 14 CFR part 91, § 91.147 are required to access the PRD and evaluate the available data for each individual pilot candidate prior to making a hiring decision. Also in accordance with part 111, part 119 certificate holders, entities conducting public aircraft operations (PAO), air tour operators, fractional ownerships, and other specific entities operating under part 91 or 14 CFR part 125 are required to report records on individuals employed as pilots into the PRD. The PRD contains employer and FAA records on an individual’s performance as a pilot for the life of the individual. Records contained within the database would only be permitted to be used as a hiring aid in an operator’s decision-making process for pilot employment. This AC should be used in combination with the appropriate PRD user guides. ORIGINAL SIGNED by /s/ Robert C. Carty Deputy Executive Director, Flight Standards Service ### Page 2 ii CONTENTS Paragraph Page Chapter 1. General … 1-1 1.1 Purpose of This Advisory Circular (AC) … 1-1 1.2 Audience … 1-1 1.3 Where You Can Find This AC … 1-2 1.4 What This AC Cancels … 1-2 1.5 Related 14 CFR Parts … 1-2 1.6 Applicability … 1-2 Chapter 2. Pilot Records Database … 2-1 2.1 Definitions … 2-1 2.2 Applicability … 2-2 2.3 Background … 2-3 2.4 Records Contained in the PRD … 2-4 2.5 Accessing the PRD … 2-7 2.6 Review and Evaluation of Records … 2-16 2.7 Special Circumstances Involving Few or No Records to Evaluate … 2-22 2.8 Entering Company Records in the PRD … 2-24 2.9 Using a Proxy to Meet the Requirements of Part 111 … 2-45 2.10 Transitioning From PRIA to the PRD … 2-45 2.11 FAA Inspectors’ Access to PRD Records … 2-48 Chapter 3. Pilot Records Improvement Act of 1996 … 3-1 3.1 Purpose of This Chapter … 3-1 3.2 How to Use This Chapter … 3-1 3.3 P RIA Background … 3-1 3.4 Applicability … 3-2 3.5 Company Records vs. PRIA Records … 3-3 3.6 The Request Process … 3-4 3.7 Designated Agent (DA) … 3-5 3.8 Best Practices … 3-5 3.9 Information for the Pilot-Applicant … 3-5 3.10 Information for the Hiring Employer on PRIA Procedural Considerations … 3-9 ### Page 3 iii 3.11 Information for Previous Employers Responding to PRIA Records Requests … 3-17 3.12 PRIA Considerations for the Hiring Employer … 3-22 Chapter 4. Administrative Information … 4-1 4.1 PRIA-Related Regulations … 4-1 4.2 Definitions … 4-1 4.3 Commonly Used Acronyms and Abbreviations … 4-2 4.4 Other PRIA Resources … 4-3 4.5 PRIA Contact Information … 4-3 4.6 AC Feedback Form … 4-3 Appendix A. Training, Qualification, and Proficiency Records … A-1 Appendix B. Drug and Alcohol Records … B-1 Appendix C. Final Disciplinary Action Records … C-1 Appendix D. Employment History Records … D-1 Appendix E. V erification of Motor Vehicle Driving Record Search and Evaluation … E-1 Appendix F. Example PRD Output of Records Report … F-1 Appendix G. Forms … G-1 List of Tables Table 2-1. PRD Overview of Record Reporting by Population … 2-7 Table 2-2. Record Reporting by Operator … 2-25 Table A-1. Data Fields … A-1 Table A-2. Part 121 Subparts N and O Training Record Options … A-3 Table A-3. Part 121 Subpart Y Training Record Options … A-6 Table A-4. Part 135 Training Record Options … A-9 Table A-5. Part 125 Testing Record Options … A-11 T able A-6. Part 91 Subpart K Fractional Ownership Operator’s Training Record Options ... A-12 Table A-7. Public Use, Air Tour, and Corporate Operators Record Options … A-14 Table B-1. Data Fields … B-1 Table B-2. Report Type Options … B-2 Table C-1. Data Fields (all required) … C-1 Table D-1. Data Fields … D-1 Table D-2. Assignment to Duty (entry of this record is optional) … D-2 Table E-1. Data Fields … E-1 ### Page 4 **1-1 CHAPTER 1. GENERAL** 1.1 Purpose of This Advisory Circular (AC). This AC provides operators and pilots with guidance regarding Title 14 of the Code of Federal Regulations (14 CFR) part 111: the Pilot Records Database (PRD) and the Pilot Records Improvement Act of 1996 (PRIA). The PRD facilitates the sharing of pilot records among pilot employers in a clearinghouse managed by the Federal Aviation Administration (FAA). In accordance with part 111, all 14 CFR part 119 certificate holders, operators that conduct operations in accordance with a fractional ownership program (fractional ownerships), and air tour operators holding a Letter of Authorization (LOA) issued in accordance with 14 CFR part 91, § 91.147 are required to access the PRD and evaluate the available data for each individual pilot candidate prior to making a hiring decision. Also in accordance with part 111, part 119 certificate holders, entities conducting public aircraft operations (PAO), air tour operators, fractional ownerships, and other specific entities operating under part 91 or 14 CFR part 125 are required to report records on individuals employed as pilots into the PRD. The PRD contains employer and FAA records on an individual’s performance as a pilot for the life of the individual. Records contained within the database would only be permitted to be used as a hiring aid in an operator’s decision-making process for pilot employment. This AC should be used in combination with the appropriate PRD user guides.1 1.1.1 Effects of Guidance. This guidance is not legally binding in its own right and will not be relied upon by the FAA as a separate basis for affirmative enforcement action or other administrative penalty. Conformity with the guidance is voluntary only, and nonconformity will not affect rights and obligations under existing statutes and regulations. 1.2 Audience. This AC is intended for use by pilots and operators who are required by PRIA and part 111 to share or review pilot records. Specifically, it applies to the following: • Each operator that holds an Air Carrier or Operating Certificate issued in accordance with part 119 and is authorized to conduct operations under 14 CFR part 121, 125, or 135. • Each operator that holds management specifications (MSpecs) for a fractional ownership program issued in accordance with part 91 subpart K (part 91K). • Each operator that holds an LOA issued in accordance with § 91.147. • Each operator that operates two or more aircraft described in part 111, § 111.1, in furtherance of or incidental to a business, solely pursuant to the general operating and flight rules in part 91, or that operates aircraft pursuant to a Letter of Deviation Authority (LODA) issued under part 125, § 125.3. • Each entity that conducts PAO as defined in Title 49 of the United States Code (49 U.S.C.) § 40102(a)(41) on a flight that meets the qualification criteria for public 1 The FAA expects to publish further PRD user guides for reporting records to the PRD within one year. ### Page 5 1-2 aircraft status in 49 U.S.C. § 40125, unless the entity is any branch of the United States Armed Forces, National Guard, or reserve component of the Armed Forces. • Each trustee in bankruptcy of any operator or entity described in § 111.1. • Each person that submits or is identified on the application described in § 111.15 and is approved by the Administrator to access the PRD. • Each person who is employed as a pilot by, or is seeking employment as a pilot with, an operator subject to the applicability of part 111. 1.3 Where You Can Find This AC. You can find this AC on the FAA’s website at https://www.faa.gov/regulations_policies/advisory_circulars. 1.4 What This AC Cancels. AC 120-68H, Pilot Records Improvement Act and the Pilot Records Database, dated April 21, 2017, is canceled. 1.5 Related 14 CFR Parts. Title 14 CFR parts 61, 91, 107, 111, 120, 121, 125, and 135. 1.6 Applicability. This AC explains how to comply with both part 111 as well as PRIA. Chapter 2 is specific to the PRD and Chapter 3 is specific to PRIA. The requirement to review a pilot’s records under PRIA will remain in effect until 3 years and 90 days after publication of part 111. Part 111 and the PRIA will run as parallel processes until PRIA is sunset. Operators subject to PRIA will find that compliance with part 111 will facilitate compliance with portions of PRIA during the transition period. The PRIA information in this AC has been updated to reflect where integration with the PRD is possible. ### Page 6 **2-1 CHAPTER 2. PILOT RECORDS DATABASE** 2.1 Definitions. Definitions annotated with an asterisk (*) are also regulatory definitions captured in 14 CFR part 111, § 111.10. 2.1.1 Authorized User. An individual who is employed by an operator, entity, or trustee and who is designated by a responsible person (RP) to access the PRD on behalf of that employer for purposes of reporting and evaluating records that pertain to an individual pilot applicant.* 2.1.2 Begin Service as a Pilot. The earliest date on which a pilot serves as a pilot flightcrew member or is assigned duties as a pilot in flight for an operator or entity that is subject to the applicability of part 111.* 2.1.3 Corporate Flight Department. For the purpose of this AC, this term refers to an operator meeting the applicability of § 111.1 which means they operate two or more aircraft which are standard airworthiness airplanes that require a type rating under 14 CFR part 61, § 61.31(a) and/or turbine-powered rotorcraft in furtherance of or incidental to a business, solely pursuant to the general operating and flight rules in 14 CFR part 91, or that operates aircraft pursuant to a Letter of Deviation Authority (LODA) issued under 14 CFR part 125, § 125.3. 2.1.4 Final Disciplinary Action Record. A last-in-time record of corrective or punitive action taken by an operator or entity who is subject to applicability of this part in response to an event pertaining to pilot performance. No disciplinary action is considered final until the operator determines the action is not subject to any pending dispute.* 2.1.5 Final Separation from Employment Record. A last-in-time record of any action ending the employment relationship between a pilot and an operator or entity who is subject to the applicability of this part. No separation from employment is considered final until the operator determines the separation is not subject to any pending dispute.* 2.1.6 Historical Record. A record that an operator subject to the applicability of part 111 subpart C must generate and maintain in accordance with Title 49 of the United States Code (49 U.S.C.) § 44703(h)(4) and must report to the PRD in accordance with § 44703(i)(15)(C)(iii).* 2.1.7 Operator. Any operator subject to part 111 as described in § 111.1. 2.1.8 Pilot. An individual certificated by the FAA at the airline transport, commercial, or remote pilot level that is the subject of a record in the PRD. 2.1.9 PRD Administrator. The individual who manages the PRD on behalf of the FAA. 2.1.10 PRD Date of Hire. The earliest date on which an individual begins any form of required training in preparation for that individual’s service as a pilot on behalf of an operator or entity subject to the applicability of part 111 or performs any duty as a pilot for an operator or entity subject to the applicability of part 111. This definition includes both ### Page 7 2-2 direct employment and employment that occurs on a contract basis for any form of compensation. The PRD date of hire has a different regulatory definition than “hire” as defined under the drug and alcohol testing regulations (14 CFR part 120, § 120.7(j)).* 2.1.11 Proxy. A person who is designated by an RP to access the PRD on behalf of an operator, entity, or trustee subject to the applicability of this part for purposes of reporting or retrieving records.* 2.1.12 Record Pertaining to Pilot Performance. A record of an activity or event directly related to a pilot’s responsibilities or completion of the core duties in conducting safe aircraft operations, as assigned by the operator employing that pilot.* 2.1.13 Responsible Person (RP). The individual identified on the application required by § 111.15 and who meets at least one of the criteria in § 111.15(e). The individual should be serving in a required management position listed under 14 CFR part 119, § 119.65(a) or other applicable regulation. These positions may include the following positions: Director of Safety, Director of Operations, Chief Pilot, Director of Maintenance, or Chief Inspector.* 2.1.14 Reporting Entity. An operator, entity, or trustee who is subject to the applicability of part 111 subpart C, including its RP, authorized users, and proxies.* 2.1.15 Reviewing Entity. An operator that is subject to the applicability of part 111 subpart B, including its RP, authorized users, and proxies.* 2.2 Applicability. 2.2.1 Access and Evaluate Records. The following operators are required to access and evaluate a pilot’s records in the PRD prior to making a hiring decision in accordance with § 111.100: 2.2.1.1 Part 119 Certificate Holders. All certificate holders operating in accordance with 14 CFR part 121, 125, or 135 are required to access and evaluate an individual’s records in the PRD prior to making a hiring decision. 2.2.1.2 Fractional Ownerships. Any person who has been issued management specifications to operate in accordance with part 91 subpart K (part 91K) is required to access and evaluate an individual’s records in the PRD prior to making a hiring decision. Compliance with § 111.105 satisfies the pilot safety background check specified in part 91, § 91.1051 until that provision sunsets. 2.2.1.3 Air Tour Operators. An air tour operator that has been issued a Letter of Authorization (LOA) in accordance with § 91.147 is required to access and evaluate an individual’s records in the PRD prior to making a hiring decision. 2.2.1.4 Optional Record Review. Corporate flight departments and public aircraft operations (PAO) may also elect to review records in accordance with part 111 subpart B, as set forth in § 111.100. If reviewing records in the PRD, ### Page 8 2-3 the operator must comply with § 111.120, which requires receipt of a pilot’s consent to access records. Note: Regardless of how an operator obtains pilot services from an individual (e.g., direct employment, contractor, temp agency, or other means of compensation), a part 119 certificate holder, fractional ownership, or air tour operator as defined in § 91.147 is responsible for accessing and evaluating the individual’s records in the PRD prior to making a hiring decision to operate the approved aircraft. 2.2.2 Requirement to Enter Records. The following operators are required to enter pilot records into the PRD in accordance with § 111.200. Paragraph 2.8 and Appendices A through E provide an explanation of the types of records to be entered into the PRD by each reporting entity in order to meet the requirements of part 111 subpart C. 2.2.2.1 Part 119 Certificate Holders. All certificate holders operating in accordance with parts 121, 125, and 135 are required to enter pilot records as set forth in § 111.200 on all pilots they have employed since 2005 for air carriers and 2010 for operators. 2.2.2.2 Fractional Ownerships. Operators conducting operations as fractional ownerships are required to enter pilot records as set forth in § 111.200 for all pilots it employs. 2.2.2.3 PAC Operators. This group of operators, which includes PAO, air tour operators, and corporate flight departments, has identical reporting requirements. 2.2.2.3.1 Air Tour Operators. Air tour operators conducting operations in accordance with § 91.147 are required to enter pilot records as set forth in § 111.200 for all pilots it employs. 2.2.2.3.2 Corporate Flight Departments. Corporate flight departments are required to enter pilot records as set forth in § 111.200 for all pilots it employs. 2.2.2.3.3 Entities Conducting PAO. PAO are required to enter pilot records as set forth in § 111.200 for all pilots it employs. 2.2.2.4 Trustee in Bankruptcy. A trustee in bankruptcy is required to continue to comply with the reporting requirements for the PRD in accordance with the reporting entity’s obligations in part 111, as set forth in § 111.200. 2.3 Background. The Airline Safety and Federal Aviation Administration Extension Act of 2010 (Public Law (PL) 111-216, Section 203) (the PRD Act) replaces PRIA by requiring the FAA to create a PRD that contains pilot records. The PRD Act requires the PRD to contain pilot records dating from August 1, 2005 for FAA certification events, enforcement records, pilot employment history, training data, and drug and alcohol testing records. The PRD Act also requires that the PRD replace PRIA after a period of ### Page 9 2-4 transition. Until the PRD is fully implemented, PRIA remains in effect. Therefore, air carriers and certain other operators must continue to provide pilot records to an air carrier or air operator seeking information on an individual pilot in accordance with PRIA. As established by PRIA, air carriers are required to evaluate all available pilot records prior to making a hiring decision. To effectuate the requirements of the PRD Act, the FAA promulgated part 111, which implements the PRD. Compliance with part 111 will ensure that operators have a full picture of an individual’s aviation background before permitting that individual to begin service as a pilot. 2.4 Records Contained in the PRD. 2.4.1 FAA Records. In accordance with the PRD Act, the FAA must include certain certification records and enforcement records in the PRD. The PRD is also populated with accident and incident information. Any other records maintained by the FAA that are not included in the PRD may be accessed and evaluated, with the consent of the subject, through a Privacy Act request. The requirements for accessing and evaluating FAA records are contained in § 111.140. 2.4.1.1 Airmen Certification Information. Reviewing entities should use airmen certification information the FAA maintains to validate a pilot’s qualifications. The PRD provides an individual’s current airman certificates, associated ratings, and any limitations to the certificate or ratings. The date and certificate grade sought for any failed attempt to pass a practical test required to obtain a certificate or type rating under part 61 (since August 2010) is included in the airman certification information. Also, the PRD contains a pilot’s latest medical certificate, including its class and any limitations. Note: The PRD does not contain any medical data history (e.g., responses to medical history questions on the medical application). 2.4.1.1.1 Correcting Inaccuracies. The certificate and medical information displayed in the PRD is reported by the Airman Certification Branch. If a pilot discovers inaccuracies in the pilot certificate or medical information contained in the PRD, they should contact the Airman Certification Branch at 866-878-2498. The Privacy Act provides a process to correct records in FAA systems. The PRD does not actually contain these records so they cannot be corrected in the PRD. The records can only be corrected at the original source of the information. 2.4.1.2 Accident and Incident Information. Summaries of accidents and incidents that occurred on or after October 1, 2015, are included in the PRD to provide a reviewing entity the opportunity to review any negative data or helpful information that displays a pilot’s decision-making skills. Records will be shown when the pilot was listed as either first pilot (pilot in command (PIC)) or second pilot (second in command (SIC)). It is important to note that the ### Page 10 2-5 pilot may not have been acting as PIC even though there is a report is associated with that pilot. Note: A report provided in the PRD is not the same as what may be shown in a National Transportation Safety Board (NTSB) investigation of the same event. The FAA and the NTSB often perform parallel investigations. Only the NTSB determines the probable cause of an accident. It is possible a pilot will be associated with an accident or incident in the PRD but found not to be involved in the actual cause of the event by the NTSB. Reviewing entities should also review the NTSB report for an accident found in the PRD by visiting its website, available at https://data.ntsb.gov/carol-main-public/keyword-search. 2.4.1.2.1 Correcting Inaccuracies. The accident and incident information displayed in the PRD comes from the Accident and Incident Database System (AIDS). If a pilot discovers inaccuracies in the information contained in the PRD, the pilot should contact the original FAA office which investigated the accident or incident, likely the same FAA office from which the inspector-in-charge (IIC) was assigned. The Privacy Act provides a process to correct records in FAA systems. The PRD does not actually contain these records so the records cannot be corrected in the PRD. The records can only be corrected at the original source of the information. 2.4.1.3 Enforcement Information. The PRD includes summaries of legal enforcement actions resulting in a finding by the Administrator of a violation of 49 U.S.C. or a regulation prescribed or order issued under 49 U.S.C. that was not subsequently overturned dated on or after August 1, 2010. These records are limited to enforcement action resulting in a suspension, revocation, or civil penalty. 2.4.1.3.1 Correcting Inaccuracies. The enforcement information displayed in the PRD comes from the Enforcement Information System (EIS). If a pilot discovers inaccuracies in the information contained in the PRD, the pilot should contact the original FAA office which investigated the enforcement case. This will most likely be the same FAA office from which the IIC was assigned. The Privacy Act provides a process to correct records in FAA systems. The PRD does not actually contain these records so the records cannot be corrected in the PRD. The records can only be corrected at the original source of the information. 2.4.1.4 Relevant Drug and Alcohol Testing Information. The PRD includes records related to pre-employment drug or alcohol testing violations for a pilot that was not hired, and records of drug or alcohol testing violations with an employer regulated by another Department of Transportation (DOT) agency where the individual was employed as a pilot. These records are uploaded by the FAA on behalf of the regulated employer or employer regulated under another DOT agency. ### Page 11 2-6 2.4.1.4.1 Correcting Inaccuracies. The drug and alcohol testing information entered into the PRD by the FAA comes from the employer or potential employer that reported the result to the FAA. If a pilot discovers inaccuracies in the information contained in the PRD, the pilot should contact the employer or potential employer that reported the drug or alcohol violation to the FAA to confirm whether the information in the PRD is accurate. If the pilot still believes that the information is inaccurate, the employer should contact the FAA’s Drug Abatement Division at drugabatement@faa.gov to update the PRD. Note: If the record was entered by a reporting entity, not the FAA, then a pilot can mark a record as inaccurate using the process described in paragraph 2.6.2.3. 2.4.2 Operator, Entity, and Trustee Records. Operators, entities, and trustees as described in paragraph 2.7.4 are required to report certain records to the PRD in accordance with part 111 subpart C. These records, memorialized by reporting entity, include training, qualification and proficiency records, final disciplinary actions, drug and alcohol records, and records concerning separation of employment. The specific data points that operators must enter into the PRD in accordance with the recordkeeping requirements part 111 are described in Appendices A through E. All operators, entities, and trustees subject to the applicability of part 111 subpart C are required to comply with the contemporaneous record reporting provision after the implementation date prescribed in § 111.200. Air carriers and certain other operators are required to comply with the historical record reporting provision of § 111.255. Table 2-1 below shows compliance information for the historical record reporting provision of part 111. ### Page 12 2-7 Table 2-1. PRD Overview of Record Reporting by Population Records Required to be Entered into the PRD Record Documentation Date Part 121 and 135 Air Carriers Parts 121, 125, and 135 Operators and Part 91K Fractional Ownerships Corporate Operators, Air Tour Operators Under § 91.147, and Public Aircraft Operations Historical Records Records predating 8/1/2005 N/A N/A N/A Historical Records Records dating from 8/1/2005 through 7/31/2010 Must Report2 N/A N/ A Historical Records Records dating from 8/1/2010 through 1 year after publication of part 111 Must Report3 Must Report4 Voluntary Reporting New Records Records created 1 year after publication of part 111 Must Report5 Must Report6 Must Report7 Note: Table 2-1 is only intended to be an overview of PRD reporting requirements. PRIA reporting is not included. 2.4.3 Pilot Records Removal from the PRD. Pilot records are maintained in the PRD until the pilot reaches 99 years of age or if the FAA receives a certified copy of a death certificate. Certified copies of death certificates may be mailed to the Aviation Data Systems Branch at the following address: Federal Aviation Administration ATTN: Aviation Data Systems Branch (PRD) P.O. Box 25082 Oklahoma City, OK 73125 2.5 Accessing the PRD. The FAA controls accessibility to the PRD by managing user access to the database and the activity within the PRD. The following individuals are eligible to request access to the PRD by following the procedures in the PRD User Guide: 2 § 111.255(a) 3 § 111.255(b) 4 § 111.255(b) 5 § 111.200(a)(1) 6 § 111.200(a)(2) 7 § 111.200(a)(3)–(5) ### Page 13 2-8 2.5.1 Responsible Person (RP). The PRD administrator approves the RP in accordance with § 111.15. All other user roles and accounts, excluding pilot accounts, are approved by each operator’s RP or user manager. Only certain individuals can qualify as the RP depending on the type of operator. 2.5.1.1 When a registration request is received, the PRD administrator determines if the request can be approved by comparing the applicant against individuals listed in various FAA databases or documents. The following guidelines apply regarding who can be approved as the RP:8 • For operations under part 121, the RP should be a person serving in a management position required by § 119.65(a). • For operations under part 125, the RP should be a person serving in a management position required by § 125.25(a). • For operations under part 135, the RP should be a person serving in a management position required by § 119.69(a). • For operations under § 91.147, the RP should be a person designated as the RP on the operator’s LOA. • For operations under part 91K, the RP should be a person designated by the fractional ownership program manager and who is employed by the fractional ownership program. • For all other operators, the RP should be employed by the operator. 2.5.1.2 The PRD administrator will reference various FAA databases and documents to determine who is eligible, such as the Safety Assurance System (SAS), operations specifications (OpSpecs), and management specifications (MSpecs), as appropriate. Because the PRD administrator is verifying information by these sources, it is important that the information contained in these sources is current. Operators are responsible for notifying their FAA office promptly if this information has changed and needs to be updated in the FAA records. 2.5.1.3 Characteristics of the RP: 1. Operators are accountable for the RP. 2. The operator and RP are jointly responsible for entering, accessing, editing, and monitoring all activity by the reporting entity in the PRD, subject to the limitations of use. 3. The eligibility requirements described in § 111.15 ensure that the individual is certificated, or otherwise known, by the FAA. 4. The RP may delegate PRD access to an authorized user or proxy. 8 See § 111.215 for specific RP requirements. ### Page 14 2-9 5. The PRD administrator will approve or reject each application to be an RP submitted via the PRD. 6. The RP will automatically have the authorized consumer, authorized contributor, and user manager roles. The RP does not need to register for any additional roles. 2.5.2 Authorized Users. An individual who is employed by the operator that has been assigned access rights to the PRD on behalf of that individual’s employer by the RP to perform specific functions within the PRD. These access rights are conferred by various user roles. 2.5.2.1 Authorized Consumer. An individual who is employed by the operator that has been assigned access rights to the PRD on behalf of his/her employer by the RP. The following points describe the responsibilities and authority of each authorized consumer. 1. An authorized consumer can only view or download pilot records via the PRD. 2. An authorized consumer may not delegate access to the PRD to any other person. 3. The RP can generate additional internal requirements for authorized consumer prior to granting PRD access. 2.5.2.2 Authorized Contributor. An individual who is employed by the operator who has been assigned access rights to the PRD on behalf of that employer by the RP. The following points describe the responsibilities and authority of each authorized contributor. 1. An authorized contributor can upload airman records to the PRD and can also edit records in the PRD which are currently under the control of the same reporting entity. 2. An authorized contributor may not delegate access to the PRD to any other person. 3. The RP can generate additional internal requirements for authorized contributors prior to granting PRD access. 2.5.2.3 User Manager. An individual who is employed by the operator that has been assigned access rights to the PRD on behalf of that employer by the RP. The following points describe the responsibilities and authority of each user manager. 1. A user manager may delegate, remove, and otherwise manage users within the PRD on behalf of a RP. 2. A user manager may not access or enter PRD records. This does not prohibit a user manager from also being given other roles by the RP. ### Page 15 2-10 3. The RP can generate additional internal requirements for user managers prior to granting PRD access. 2.5.2.4 Proxy. An organization or individual that is not directly employed by an operator that has been assigned access rights to the PRD on behalf of that operator by the RP. The following points describe the responsibilities, authority, and eligibility of each proxy. 1. A proxy will designate a Proxy RP which will be approved by the reporting/reviewing entities’ RP. 2. The Proxy RP may then delegate additional proxy roles as needed to perform the required functions within the PRD. 3. Proxies have limited use of the PRD based on the authority delegated by RP. 4. Operators that elect to use a proxy should ensure that procedures exist to validate that the proxy is able to comply with the regulations in part 111 and any additional requirements imposed by an RP. These procedures could include the proxy’s authority to access the database, requirements for the proxy’s facilities, prohibitions against using the operator’s user ID during periods of inactivity with the operator, any sanctions that could be administered against the proxy if the agreement was not followed, and any other details that an operator determines as reasonable. 5. The RP is responsible for all actions which occur in the PRD by other users the RP has approved. 2.5.2.5 Pilot. The PRD is prepopulated with information about pilots who hold specific FAA certificates and meet other criteria. This preloading of pilot information allows the PRD to register pilots in the PRD and also ensure valid pilot certificate numbers are being used when reporting entities are entering records. However, not all individuals who hold FAA pilot certificates are prepopulated into the PRD. Because the PRD is intended to be used in the hiring process for certain operators, pilots who do not meet basic eligibility for those positions are not prepopulated. For example, pilots who hold a private pilot certificate would not be eligible to act as a pilot for an air carrier, so the PRD does not contain any pilot information for individuals who only hold a private pilot certificate. The PRD populates with pilots who hold a: • Commercial pilot certificate and FAA medical, • Airline transport pilot (ATP) certificate and FAA medical, or • Remote pilot certificate and FAA medical. 2.5.2.5.1 The following points describe the responsibilities and authority under the PRD for each pilot. ### Page 16 2-11 1. All pilots have certain protections concerning the request, transfer, receipt, evaluation, and maintenance of their PRD records. The confidentiality of the PRD records will be protected in the following manner pursuant to part 111: • A hiring employer receiving the PRD records may use them only in making a hiring determination. • Only company personnel directly involved in the hiring process may view and evaluate the records. 2. The FAA encourages all individual pilots to review their PRD records for accuracy and to submit correction requests, if necessary, to the originator of the record. 3. Pilots will be able to grant consent in accordance with the PRD User Guide and part 111 subpart D. 4. Refusal to hire and release from liability. As set forth in 49 U.S.C. § 44703(j)(4), an air carrier may refuse to hire a pilot who does not provide the necessary consent for an air carrier to view that pilot’s PRD Airman Record (PAR) or who does not execute a release from liability for any claim arising from access to the individual’s records in the database or use of records in the PRD by the reviewing entity in accordance with the requirements of part 111. However, in accordance with 49 U.S.C. § 44703(j)(3), no air carrier may require a pilot to execute a release from liability for any claim arising from furnishing fraudulent or intentionally false information or known omissions maintained in violation of a criminal statute. 5. Records from the National Driver Register (NDR). Upon obtaining a pilot’s written consent, the operator will perform an NDR search using the pilot’s name and other data and request copies of any state records that come up as a result of that search. The pilot may request a copy of the state records the operator receives under § 111.120(c). 2.5.3 Creating Accounts for Access to the PRD. Electronic access to the PRD has two separate registration steps: creation of an account in MyAccess, if the user does not already have one, and PRD account registration.9 Each PRD account can have multiple user roles as needed. The available PRD user roles are described in paragraph 2.5.2. 2.5.3.1 Creating an Account in MyAccess. The FAA uses MyAccess to validate users for login into several FAA web applications, including the PRD. Although identity validation through MyAccess is a separate service from the PRD, successful verification of identity is a prerequisite for access to the PRD. The PRD support team cannot assist with MyAccess issues, as it is a completely separate system. When a user attempts to access the PRD website 9 https://www7.transportation.gov/individuals/privacy/myaccess-electronic-identity-authentication-service- %E2%80%93-may-31-2017 ### Page 17 2-12 at prd.faa.gov, the user will be prompted to log in via MyAccess. If the user is an FAA employee or contractor with a Personal Identity Verification (PIV) card and personal identification number (PIN), the user may log in using their PIV card and PIN. If the user needs to create an account, the user will see a link on the login screen which will help them create a new MyAccess account. As part of the new account creation process in MyAccess, the user will verify their identity by providing identifying information. If the user is unable to successfully complete the identity verification process, that person may not be able to create an account in MyAccess. Contact the FAA Help Desk at 844-322-6948 for assistance with MyAccess. To ensure the user contacts the correct support staff, users should specify that they are having trouble creating an account in MyAccess. If the caller tells them the trouble is with the PRD, the Help Desk will send the user to the PRD support staff who cannot assist with MyAccess concerns. See paragraph 2.5.4 for information about alternatives which may be available to a user who cannot create an account in MyAccess. 2.5.3.1.1 During the MyAccess registration process, the user will be asked to provide an email address. This email address will become an important part of the user’s MyAccess account. The FAA recommends users do not use employer-based email addresses, but rather personal email addresses. The MyAccess account is intended to be used by a person irrespective of where that person is employed. It will stay with the user even after a change in employers in the future. Access to various FAA applications which use MyAccess may change; however, MyAccess identity validation remains valid even if the user changes employers. If a user registers in MyAccess with an employer-based email address, that user may lose access to that email address in the future if they change employers. This could cause the user to lose access to the MyAccess account as well. 2.5.3.1.2 Each user should not create multiple MyAccess accounts with different email addresses. Because a user’s permissions in the various applications which use MyAccess are directly controlled by the user’s unique MyAccess account, if a user creates multiple MyAccess accounts, the user may be locked out of various applications or have restricted access to applications. Note: Every user who accesses the PRD must have their own valid MyAccess account. Inappropriate use or sharing of MyAccess credentials may result in denial of access to the PRD in accordance with § 111.25. 2.5.3.2 Creating User Accounts and Roles in the PRD. Although each individual should have only one MyAccess account, consistent with the guidance in paragraph 2.5.3.1, a person may register for various user roles in the PRD, as appropriate. If a user has several different roles, the user will be asked which roles and/or companies for which they intend to perform actions during that session. ### Page 18 2-13 2.5.3.2.1 Importance of Selecting the Correct Operator when Registering. During the registration process for certain user accounts and roles in the PRD, a person will be asked to indicate for which operator that individual is registering. It is important that the correct company entry be selected. The available operators are loaded from one of the FAA’s databases. The database contains a directory entry for every operator known to the FAA. This includes all the types of operators from corporate operators to air carriers that are eligible to use the PRD. Take care to select the correct company; there are a wide range of operators listed in this directory. Some operators use a “doing business as” (DBA) name which is different from the official operator name recognized by the FAA. The PRD does not support DBAs so it is important to use the primary company name as entered in the FAA’s database. 2.5.3.2.1.1 Many operators have very similar names so the PRD also displays a unique code alongside the operator name to help users determine which entry the user should use. If an operator has been issued a “designator” by the FAA, then the designator will be displayed with the operator name. For example, “Sample Airlines (SAM1)”. If a user does not know the appropriate designator, this information is often printed on OpSpecs, MSpecs, and on the Air Carrier or Operating Certificate. 2.5.3.2.1.2 Many operators may not have been issued a designator by the FAA. In these cases, the PRD generates a unique key which is displayed in place of a designator. These are much longer in length. For example, “Sample Operator (NM00RNTECODSF TEST)”. 2.5.3.2.1.3 Cases might exist in which an operator appears to be listed twice in the selection box, once with a designator, and once with a unique key. This is due to the way the FAA creates entries in its database and is considered normal. In these cases, always use the entry with the four character designator. 2.5.3.2.1.4 It is also possible that an operator is not known to the FAA and thus does not appear in the selection list. If the appropriate operator name cannot be found when registering in the PRD, email 9-AMC-AVS-PrdSupport@faa.gov for assistance. 2.5.3.2.2 Registering as an RP. RP registrations are approved by the PRD administrator. After a registration request is received, the PRD administrator will ensure that the person registering as the RP meets the requirements of § 111.15 by comparing the submitted information with information the FAA has stored about each operator, such as in the SAS or in the OpSpecs. The PRD administrator may contact you or other company personnel to verify your eligibility. For specific instructions on how to submit a registration application, review the Resources section found at prd.faa.gov. ### Page 19 2-14 2.5.3.2.3 Registering as an Authorized Consumer, Contributor, or User Manager. These roles are approved, edited, or rejected by the operator’s RP. After a registration request is submitted for one of these roles, the RP, or a user manager, approves or rejects the request. For specific instructions on how to submit a registration application, review the Resources section found at prd.faa.gov. 2.5.3.2.4 Registering as a Pilot. Pilot registrations are an automated process completed by the PRD. After a pilot logs in via MyAccess, the pilot will arrive at the PRD pilot registration screen unless they have already created a pilot role in the PRD. The pilot will be prompted to enter various information from their pilot certificate, which will be verified by the PRD. For specific instructions on how to register as a pilot, review the Resources section found at prd.faa.gov. 2.5.3.2.5 Registering as a Proxy. Proxies who wish to access the PRD on behalf of an operator will create a Proxy RP account. Additional proxy roles are available and those roles generally work the same as non-proxy accounts. The biggest difference is that a Proxy RP account is always a specific combination between an operator and a proxy company. When a Proxy RP wishes to register for access to an operator’s records, the operator RP must approve the request. Once approved, the Proxy RP has access to the same records as the operator RP. The Proxy RP can also approve other proxy users, such as proxy consumers, to have access to the same records for that specific operator. The operator RP or PRD administrator can revoke access at any time. For specific instructions how to register as a Proxy RP or other proxy role, review the Resources section found at prd.faa.gov. 2.5.4 Denial of Database Access. Electronic access to the PRD may be denied for various reasons set forth in § 111.25. Denial might result from violations of part 111, identity verification failures, ineligibility to access the PRD, or other reasons. In some cases, alternate procedures might be available to you that will still allow you to participate in the PRD process. 2.5.4.1 Pilots Who Cannot Create an Account in MyAccess. If a pilot who needs to access the PRD cannot create an account in MyAccess, the pilot will not be able to access the PRD electronically. The FAA has developed alternate procedures which will allow the pilot to access their records contained in the PRD, grant consent to employers, and dispute records as inaccurate. 2.5.4.1.1 Reviewing Your Records Contained in the PRD. If a pilot cannot access the PRD directly to review that pilot’s records, the pilot may request their records be provided by submitting FAA Form 8060-14, Pilot Consent/Revocation for Air Carrier Access to Pilot Records Database, in accordance with § 111.315(c). The PAR will be mailed to the pilot’s address on file. PARs will only be provided for pilots who are eligible to participate in the PRD. See paragraph 2.5.2.5 for eligibility requirements. ### Page 20 2-15 2.5.4.1.2 Granting or Revoking Consent to Your PAR. Normally, pilots will access the PRD directly to grant or revoke consent electronically in accordance with § 111.310. If a pilot is unable to access the PRD directly, the pilot may submit FAA Form 8060-14 to grant consent to one or more aviation employers to see their PAR. When consent is granted, the FAA will email a copy of the PAR to the pilot if an email address is provided. Otherwise, the FAA will mail a copy of the PAR to the pilot’s address on file. Pilots may also update their employment history for the previous 5 years using the same form. Pilots are required to ensure their employment history for the previous 5 years is accurate when granting consent, in accordance with § 111.310(b). A pilot consent always has an expiration date, but a pilot may revoke consent early by submitting another FAA Form 8060-14. 2.5.4.1.3 Report Records as Inaccurate or Disputed. If a pilot determines his or her PAR has an inaccurate or missing record and they cannot access the PRD directly, that pilot may submit FAA Form 8060-15, Pilot Records Database Pilot Record Dispute, to mark records as inaccurate or missing. This will initiate the record dispute process as though the pilot had accessed the PRD directly. Records can only be disputed for pilots who are eligible to participate in the PRD. See paragraph 2.5.2.5 for eligibility requirements. The record dispute process is described in paragraph 2.6.2.3. 2.5.4.2 Pilots Who Cannot Register in the PRD. The PRD is prepopulated with pilots who hold an FAA commercial pilot, ATP, or remote pilot certificate who have a current FAA medical certificate. If the pilot does not hold one of those certificates, that pilot will not be able register in the PRD even if they have created an account in MyAccess without additional assistance. If the pilot meets these criteria, has created an account in MyAccess, but cannot register as a pilot in the PRD, he or she should: 1. Ensure their first name is entered in the registration form exactly as it appears on the pilot certificate. If their last name, which is prefilled from MyAccess, is not exactly the same as printed on the pilot certificate, they will not be able to register. 2. Verify that the pilot holds a commercial pilot, ATP, or remote pilot certificate issued by the FAA and a current FAA medical. Only these types of airman certificates are prepopulated into the PRD. It may take up to 30 days for new pilot certificates to be loaded into the PRD. 3. Check that the certificate number and date of issuance is entered exactly as displayed on the most recent pilot certificate. Temporary pilot certificates are not supported by the PRD. 4. If the trouble persists, email the PRD support account at 9-AMC-AVS-PRDSupport@faa.gov for assistance. 2.5.4.3 Reporting or Reviewing Entity Personnel Who Cannot Create an Account in MyAccess. All users must first create an account in MyAccess ### Page 21 2-16 before the user can create an account in the PRD. If you need access to the PRD as a reporting or reviewing entity, but cannot pass the identity verification process of MyAccess, you may be able to have your identity verified via an alternate process. Contact 9-AMC-AVS-PRDSupport@faa.gov or your Certificate Management Office (CMO) for assistance. 2.5.4.4 Requesting Reconsideration when Access is Denied. If the Administrator has denied a user access to the PRD in accordance with § 111.25, that person may submit a request for reconsideration. The person requesting reconsideration may submit a statement to the address below including the following items: • Full name and email address, • Date access was denied, • An explanation of the facts and circumstances involved in the denial of access, • Reasons why the Administrator should reconsider the denial, and • Signature of the person who was denied access. Mail the request for reconsideration to: Federal Aviation Administration ATTN: Aviation Data Systems Branch (PRD) P.O. Box 25082 Oklahoma City, OK 73125-0082 2.6 Review and Evaluation of Records. 2.6.1 The PRD Process. 2.6.1.1 The PRD Act and part 111 require reviewing entities to use the PRD to assess the qualifications of an individual in determining whether to hire the individual as a pilot. The records available in the PRD are intended to assist reviewing entities in making informed hiring decisions. The records may indicate areas of concern where additional review may be appropriate. The PRD is not intended to be the only information source considered when evaluating a pilot as a new employee. The PRD is a starting point from which additional investigation may be warranted. Reviewing entities should involve flight operations subject matter experts (SME) early in the records review process to ensure that any perceived training issues are identified and fully evaluated. SMEs may be able to better interpret the collection of records in a holistic manner, which will provide more useful indicators than any single record can provide. 2.6.1.2 As required by § 111.30, company personnel must take appropriate action to protect the privacy of the pilot and the confidentiality of the records, as well ### Page 22 2-17 as ensure that the information contained in the database is not divulged to anyone not directly involved in the hiring decision, with the exception of an FAA inspector. The core activities and subprocesses in the PRD process includes the following: 1. The pilot logs into the PRD system to view that pilot’s PAR and update employment history. 2. The PRD application retrieves and displays the pilot’s current PAR assembled from various sources with a date and time stamp. 3. The PRD application permits the pilot to provide consent to release the pilot’s PAR to one or more reviewing entities. 4. The PRD application stores the pilot’s consent and the PAR at the time the pilot provides his or her consent. 5. The PRD application receives a reviewing entity’s request for a PAR. 6. The PRD application verifies if the pilot has granted consent to the reviewing entity to retrieve the PAR and if the consent is still valid. If the consent has expired or been revoked, the PRD system returns a notification to the reviewing entity stating that the pilot’s records are unavailable. 7. The PRD system retrieves and presents the pilot’s PAR to the reviewing entity as it existed when consent was granted by the pilot. The record can be downloaded for review and storage by the reviewing entity. The PRD system also notifies the pilot that the reviewing entity has received a copy of the pilot’s PAR. Note: The FAA will conduct random audits of the application and its usage by air carriers and operators to ensure the PRD is being used in accordance with part 111. 2.6.2 The Pilot’s Role in the PRD Process. The pilot is responsible for ensuring his or her employment history is accurate and for granting consent to reviewing entities. The pilot also controls the PRD accuracy and dispute function regarding employer-generated records in their PAR. 2.6.2.1 Employment History. Before granting consent to a reviewing entity, pilots must ensure their employment history is accurate and lists all operators who employed them as a pilot for the last 5 years in accordance with § 111.310. This includes employers where a pilot may have begun training, but did not finish. Keep in mind that previous employers may have entered records related to a pilot regardless if the pilot listed them in their history. 2.6.2.2 Granting Consent. Reviewing entities are not able to view a pilot’s records in the PRD unless the pilot grants consent to that specific operator in accordance with § 111.120. The pilot is also given an opportunity to see the records exactly as they will be displayed to the reviewing entity. The pilot can ### Page 23 2-18 decide how many days (30, 45, or 60) the PAR is available and can revoke access to the PAR at any time. It is important for pilots to understand that when consent is granted for a reviewing entity to view a PAR, the information in that PAR will not change even if other information in the PRD changes. The PAR acts as a snapshot in time and reflects the records at the moment consent was granted. Information in the PRD changes. For example, a previous employer might add more records, and the pilot could want the new information to be shown to a reviewing entity. The pilot can refresh the PAR with new information by granting consent again to that reviewing entity. Consequentially, reviewing entities may ask the pilot to grant consent again if they believe too much time has passed from initial consent, even though the consent has not yet expired. 2.6.2.2.1 Importance of Selecting the Correct Operator when Granting Consent. When granting consent for a reviewing entity to see a pilot’s PAR, the pilot will be asked to indicate which specific operator for which they are granting consent. It is important for the pilot to select the correct company entry. The available operators which are displayed are loaded from one of the FAA’s databases. Take care not to select the wrong company; some operators use a “doing business as” (DBA) name which is different from the official operator name recognized by the FAA. The PRD does not support DBAs so it is important to use the primary company name as entered in the FAA’s database. 2.6.2.2.1.1 Many operators have very similar names so the PRD also displays a unique code alongside the operator name to help users determine which entry they should use, called a designator. If an operator has been issued a designator by the FAA, then the designator will be displayed with the operator name. For example, “Sample Airlines (SAM1)”. If a user does not know the appropriate designator, they can often find this information printed on OpSpecs, MSpecs, and on the Air Carrier or Operating Certificate. 2.6.2.2.1.2 For operators that have not been issued a designator by the FAA, the PRD generates a unique key which is displayed in place of a designator. These are much longer in length. For example, “Sample Operator (NM00RNTECODSF TEST)”. 2.6.2.2.1.3 An operator might appear to be listed twice in the selection box, once with a designator, and once with a unique key. This is due to the way the FAA creates entries in its database and is considered normal. 2.6.2.2.1.4 If a pilot grants consent to the wrong operator, then the intended reviewing entity will not be able to see the PAR. The reviewing entity, when they ask the pilot to grant consent to the PAR, should clearly instruct the pilot which company name to select in the ### Page 24 2-19 PRD. If a pilot accidentally selects the wrong company when granting consent, the company selected by mistake will not be able to see any of the pilot records because the company would not also have the pilot’s name and pilot certificate number with which to retrieve the PAR. 2.6.2.2.1.5 If a pilot is not sure which company name to select when granting consent, the pilot should ask the reviewing entity that is requesting the records what company name to select. 2.6.2.3 Inaccurate Records. Pilots should carefully review the records provided in the PRD before granting consent to a reviewing entity. Because the PRD is not the authoritative record source of the information and displays key information from the original records, pilots should initiate corrections or disputes to have the records corrected in the original sources. If a pilot discovers inaccuracies in FAA records, the pilot initiates the correction processes described in paragraph 2.6.2.4. If a pilot finds inaccuracies or wishes to dispute a record entered by a source other than the FAA, that pilot initiates the PRD correction request process described in paragraph 2.6.3.1. 2.6.2.4 Corrections. If the pilot finds an error, the pilot can use the PRD inaccuracy and dispute process to request the record be corrected in accordance with § 111.320. See paragraph 2.6.3.1 for more information about how to have records corrected. 2.6.2.5 User Guides. Various user guides that explain how to perform pilot functions in the PRD are available in the Resources section at prd.faa.gov. 2.6.3 Record Inaccuracies and Disputes. For FAA record sources, the information displayed in the PRD will be updated once the original record source is updated, normally within 24 hours. In the event of non-FAA records, the reporting entity, or current record owner, is responsible for updating the records in the PRD so that the PRD accurately reflects the information in the authoritative record source. Pilots need to be aware that any previously granted consent will need to be refreshed to include any updated information. PARs which a pilot has consented to release are snapshots of the records at that instant and will not automatically update if the information available to the PRD changes. 2.6.3.1 Initiate the Inaccuracy and Dispute Function in the PRD. The PRD includes an inaccuracy and dispute function, which is used by the pilot if they discover an employer-generated record is inaccurate in accordance with § 111.320. When a pilot reports a record as inaccurate, the PRD will notify the record owner that the pilot requested a correction. The PRD will also provide contact information to the record owner if the pilot provides the information to facilitate communication between the record owner and the pilot. If the record owner makes the correction to the pilot’s satisfaction, then the process is complete. If the record owner does not resolve the matter to the pilot’s satisfaction, then the record can be marked as in dispute. When a record is ### Page 25 2-20 marked in dispute in the PRD, it will still be displayed to reviewing entities as any other record would. However, it will be flagged as “disputed” in the PAR. This is intended to indicate to the reviewing entity that the pilot has indicated the record is inaccurate. This will provide an opportunity for the reviewing entity and pilot to discuss the matter. For specific direction on how to use the inaccuracy and dispute process, see the Resources section at prd.faa.gov. 2.6.4 Records Provided to a Reviewing Entity by the NDR or Department of Motor Vehicles (DMV). To obtain records from the NDR or the appropriate chief driver licensing official of a state, a request must be made to the state which issued the airman’s driver’s license in accordance with § 111.110. Most states will use a unique form to request the driving history of the airman. The proper form for each state should be used. While the FAA does provide FAA Form 8060-13, National Driver Register Records Request (PRIA), to request driving records, it should only be used in cases when the state of issuance does not provide a state-specific form. The NDR will provide a report that indicates if a negative record (one with an action taken against the individual’s driver license) is located. If a negative record is located, the reviewing entity air carrier or operator must obtain the individual’s record from the state reporting the negative record as required by § 111.110(a)(3). A negative report would include: 1. A record of any suspension or revocation of the pilot’s driver’s license from the previous 5-year period, including the state where the offense occurred; and/or 2. A record of any convictions of driving under the influence (DUI) from the previous 5-year period, including the state where the offense occurred. Note: Not all states will forward the DMV records request to the NDR. In these cases, reviewing the record of the state which issued the airman’s driver’s license is sufficient. Other states may also be willing to process your NDR request as well. 2.6.5 Requesting Additional Records Not Yet Entered into the PRD. Some situations might exist in which a reporting entity may have additional pilot records to enter. During the transition period from PRIA, this may be because the reporting entity is still loading historical records. After the transition period, while most reporting entities will enter records contemporaneously, exceptions exist. Some reporting entities may only enter records after it was asked to enter the records by a reviewing entity, in accordance with § 111.215. There are three data fields that assist in determining whether a reviewing entity needs to request additional records. Table D-1 includes these three fields, which are the “PRD records complete date,” “No additional records to report to PRD date,” and “Relevant documents” fields. 2.6.5.1 The “PRD records complete date” field indicates when all the pilot records to the date listed have been entered into the PRD. If the operator is the pilot’s current employer and the date is older than 30 days, or the reporting entity is a PAO, air tour operator, or corporate flight department, you may assume additional records are available and should use the Records Request function provided in the PRD. Using this function will notify the reporting entity that ### Page 26 2-21 any additional records must be entered. The reporting entity may simply update the date if there are no additional records to report. Keep in mind that if additional records are added, the pilot will need to grant a fresh consent for the new records to be visible in the PAR. 2.6.5.2 The “No additional records to report to PRD date” is used to indicate that the records have all been reported to the PRD and no additional records are expected. If there is a date populated in this field, you can assume the pilot no longer works for this reporting entity and the records in PRD are complete. A related separation of employment record will also exist. A pilot may use the Records Request function to verify there are no more records available if there are conflicting indicators such as subsequent records reported by the former employer after that date. 2.6.5.3 In accordance with §§ 111.230 and 111.235, a reviewing entity or a pilot may request documents relevant to final disciplinary action records and separation from employment records reported by a reporting entity. The PAR display will indicate if relevant documents exist. The PRD does not contain these relevant documents, but a reviewing entity can request them from the reporting entity for up to 5 years from the record date. The reporting entity, upon being notified of the request via the PRD, must provide the relevant documents directly to the requester within 14 days. “Relevant” means that the documents form the basis for the record reported to the PRD. Additional information about requesting these relevant documents will be available in the PRD User Guide. Note: For specific instructions for using the PRD Records Request function, see the Resources section at prd.faa.gov. 2.6.6 Allow Pilot Applicants an Opportunity to Respond. Before making a final hiring decision, the reviewing entity should provide the pilot with a reasonable opportunity to discuss the records provided in the database as well as any documents relevant to a final disciplinary or separation from employment action which the reporting entity may have provided to the reviewing entity. This would typically be completed during the company’s interview process in order to fully evaluate the individual for a pilot position. The PRD is not intended to be the final source of information that a hiring air carrier or operator should consider. It is intended to highlight where additional information and review would be appropriate. 2.6.7 Compliance with Title 49 of the Code of Federal Regulations (49 CFR) Part 40. 2.6.7.1 Air carriers and operators regulated under part 120 must continue to comply with the drug and alcohol records check under 49 CFR part 40, § 40.25 if there is a violation in PRD or the pilot worked in a different safety-sensitive position with a former DOT-regulated employer within two years. The hiring employer may use FAA Form 8060-12 or the FAA’s sample written release form under 49 CFR § 40.25 to obtain these records, keeping in mind the ### Page 27 2-22 recordkeeping requirements are different for non-pilots. In accordance with 49 CFR § 40.25(j), a hiring operator must ask the airman whether he or she has tested positive or refused to test on any pre-employment drug or alcohol test administered by an employer that the airman sought, but did not obtain, employment (for safety-sensitive transportation work covered by DOT drug and alcohol testing rules) during the past two years. 2.6.7.2 Keep in mind that PRD (and the use of FAA Form 8060-12) is only required for newly hired pilots. In a situation where a pilot returns from a break in performing flightcrew member duties (either as a result of a furlough or extended absence), an additional PRD request would not be required by part 111. In this situation, an employer may check the PRD to see if there was a reported violation during the break, or request drug and alcohol records from any DOT-regulated employer where the pilot worked during their extended leave, in accordance with 49 CFR § 40.25. 2.6.8 Showing Evidence of Compliance with Part 111. 2.6.8.1 In order to show compliance with part 111, reporting entities may be asked to demonstrate they have entered records as appropriate into the PRD. An aviation safety inspector (ASI) may ask that you show that a given pilot record has been entered into the PRD by accessing the PRD and locating records matching the official recordkeeping source. 2.6.8.2 Reviewing entities should download or otherwise retain the PAR retrieved from the PRD as part of reviewing the pilot records. As with PRIA, the PAR should be kept separate from your other pilot records, and information from a PAR should never be entered again into the PRD or provided to another entity. An ASI may ask you to show the PAR obtained from the PRD. You may also be asked to show evidence that you requested and evaluated any records from the NDR. 2.7 Special Circumstances Involving Few or No Records to Evaluate. An air carrier or operator employing pilots may encounter special circumstances that result in an individual’s records related to the performance as a pilot not being entered into the PRD. Therefore, a hiring air carrier or operator will not be able to review such records in the PRD. When a record is not viewable in the PRD, the air carrier or operator may apply the good faith exception as set forth in § 111.115 and described in paragraph 2.7.6. However, in circumstances when the individual being considered for a pilot position has been employed by operators that are not required to report records to the PRD, the reviewing entity should request the individual’s records related to the performance as a pilot from the previous employers directly to be able to make a more informed hiring decision. 2.7.1 Pilots Seeking Employment after Completing Military Duty. PRD will not contain prior employment records from the U.S. Armed Forces for a pilot who has been an active member of any branch of the U.S. Armed Forces, the National Guard, or a Reserve component of the U.S. Armed Forces. However, the individual’s FAA records and other ### Page 28 2-23 industry records will be available in the PRD. The NDR must also be queried in accordance with § 111.110. 2.7.2 Pilots Formerly Employed by a Foreign Air Carrier or Operator. Foreign air carriers and operators are not required to comply with part 111. Therefore, if a pilot was previously employed by a foreign air carrier or operator, no industry records from that foreign air carrier or operator will be maintained in the database. However, the individual’s FAA records will be available in the PRD as well as any other records provided to the PRD by reporting entities. The reviewing entity must also query the NDR in accordance with § 111.110. 2.7.3 Foreign Civil Aviation Authority Records. Records maintained by a foreign civil aviation authority will not be included in the PRD. 2.7.4 PRD Records after Cessation of Business, Liquidation, or Bankruptcy. 2.7.4.1 Cessation of Business. If a reporting entity ceases business or surrenders its part 119 certificate (as applicable) for any reason, the reviewing entity should follow the provisions of the good faith exception described in paragraph 2.7.6. 2.7.4.2 Liquidation or Bankruptcy. If an air carrier or operator ceases business and goes into liquidation or bankruptcy, a trustee is generally appointed by the court for the protection of the property and disbursement of certain assets for a designated period of time. This may include reporting all PRD-related records in accordance with part 111. 2.7.4.3 Request for Outstanding Records. A reviewing entity making a request for PRD-related records to a reporting entity that is currently being liquidated or known to be in bankruptcy should still request any outstanding records be entered in the PRD. 2.7.5 Suppressed Records. There are special circumstances when records contained in the PRD may need to be suppressed or otherwise made unavailable for display in a PAR. For example, this could be due to a court order. When records are suppressed, they are not displayed in the PAR and there is no indication to the reviewing entity that a record is being suppressed. 2.7.5.1 Suppressed FAA Records. If the PRD administrator must suppress one or more FAA records for a pilot, then the PRD will not display any FAA records in the pilot’s PAR. In place of the FAA records, a statement will appear that the FAA records are suppressed. Because a suppression order can be specific to a single record or perhaps a type of record, a reviewing entity should submit an FAA Form 8060-10, FAA Records Request (PRIA), to request access to any FAA records which may be releasable. The FAA will determine which, if any, FAA records may be released and provide those records. 2.7.5.2 Suppressed Industry Records. Reporting entities have the ability to suppress and unsuppress records they own in the PRD. There may be various reasons to ### Page 29 2-24 suppress a record, such as when required by a legal order. When a record is suppressed, it is invisible to all but the record owner. The PAR does not display an external indication when an industry record is suppressed. For specific information about using the record suppress function as a reporting entity, see the Resources section at prd.faa.gov. 2.7.6 Good Faith Exception. The “good faith exception,” as set forth in § 111.115, permits hiring air carriers or operators to employ pilots who have been previously employed by defunct air carriers or operators that did not enter records in the PRD. If an individual was employed by an air carrier after August 1, 2005, all of the pilot’s records are included in the PRD once the transition period is complete and if the air carrier was still in operation at the time of PRD implementation. Additionally, if an individual was employed by a part 121, 125, or 135 operator after August 1, 2010, all of the pilot’s records are included in the PRD if the operator was still in operation at the time of PRD implementation. However, if a pilot’s former employer was no longer in business prior to PRD implementation, that pilot’s records may not be included in the PRD. In that circumstance, the hiring employer must still attempt to view the pilot’s records in the PRD and evaluate the available records in their entirety in accordance with § 111.115. Records not reported to the PRD on an individual’s performance as a pilot by an air carrier or operator that is no longer in operation are not required to be considered for hiring purposes and is considered to meet the “good faith exception.” 2.7.6.1 The reviewing entity’s following activities would suffice to fulfill the reviewing entity’s obligation under the PRD: query of the PRD, completion of the NDR check (if applicable), review of the pilot’s employment history, submission of requests to any employers listed on the pilot’s employment history that have not indicated that all records for that pilot are already in the PRD, and submission of PRIA requests to all the employers listed on the pilot’s employment history either in the PRD or with FAA Form 8060-11, Air Carrier and Other Records Request (PRIA), until PRIA is sunset. When the reviewing entity waits at least 30 calendar-days to receive those records, it can exercise the good faith exception. 2.8 Entering Company Records in the PRD. Part 111 requires reporting entities to report certain records to the PRD. These records are divided into two categories based on when the records were created. Records dated before one year after publication of part 111 are considered historical records and any records created on or after one year after publication of part 111 are considered new records. Additionally, five types of records are included in the PRD. These include drug and alcohol records; training, qualification, and proficiency records; final disciplinary action records; records concerning separation of employment; and verification of motor vehicle driving record search and evaluation. There are also records collected, such as when a pilot was assigned to duty for a particular aircraft, or when a reporting entity has completed the transition from PRIA to PRD and has entered all the records for a particular pilot. Not all record types in the PRD apply to all types of reporting entities. Table 2-2 summarizes which record types apply to which reporting entities. There may be additional records to report that are not listed in the table. Refer to part 111 subpart C. ### Page 30 2-25 Table 2-2. Record Reporting by Operator Drug and Alcohol Records in Accordance with Part 12010 Training, Qualification and Proficiency Records11 Final Disciplinary Action Records12 R ecords Concerning Separation of Employment13 Verification of Motor Vehicle Driving Record Search and Evaluation14 Parts 121 and 135: § 111.200(a)(1) Yes Yes Yes Yes Yes Part 125: § 111.200(a)(1) No Yes Yes Yes Yes Part 91K: § 111.200(a)(2) No Yes Yes Yes No Air tour § 91.147: § 111.200(a)(3) Yes Yes (may be reported on request) Yes (may be reported on request, exceptions apply, see § 111.215(b)(1)) Yes (may be reported on request, exceptions apply, see § 111.215(b)(1)) No Operators described in § 111.1(b)(4): § 111.200(a)(4) No Yes (may be reported on request) Yes (may be reported on request, exceptions apply, see § 111.215(b)(1)) Yes (may be reported on request, exceptions apply, see § 111.215(b)(1)) No Public aircraft operators:15 § 111.200(a)(5) No Yes (may be reported on request) Yes (may be reported on request, exceptions apply, see § 111.215(b)(1)) Yes (may be reported on request, exceptions apply, see § 111.215(b)(1)) No Trustee in bankruptcy: § 111.200(a)(6) As required by operator circumstances As required by operator circumstances As required by operator circumstances As required by operator circumstances As required by operator circumstances 10 § 111.220(a) 11 § 111.225 12 § 111.230 13 § 111.235 14 § 111.240 15 § 111.1(b)(5) ### Page 31 2-26 2.8.1 Company Records. Part 111 requires reporting entities to promptly report certain records to the FAA for inclusion in the database in accordance with § 111.205. Operators must maintain some of these records independent of part 111, including those kept pursuant to §§ 121.683, 125.401, and 135.63(a)(4)16, which show compliance with applicable flightcrew member requirements for training, qualification, proficiency, and continued training and qualifications. These records are also required to be reported to the PRD in accordance with § 111.225. In accordance with § 111.235, operators must report records concerning release from employment due to physical or professional disqualification of any flightcrew member. Additionally, § 111.220 requires operators to report certain drug and alcohol testing records maintained in accordance with part 120 and 49 CFR part 40 for inclusion in the database. Not every pilot record that a reporting entity might maintain is required to be entered into the PRD. An operator must review the requirements of part 111 subpart C and utilizing the data elements in Appendices A through E. An operator must report an event to the PRD if the event memorialized in the reporting entities’ official recordkeeping system meets the criteria contained in part 111 and is listed or described in the appendices. Some appendices include an “other” record type. This does not imply that all pilot records not specifically listed are to be entered as “other.” The FAA will provide detailed instructions in future user guides regarding when to use the “other” reporting option. In absence of such direction, reporting entities should not enter records using this option and should instead use the appropriate selection methods to specify the type of record being entered. 2.8.1.1 Training, Qualification, and Proficiency Records. To specifically identify the training records that a reporting entity must enter into the PRD in accordance with § 111.225, the FAA has provided a list of regulations and data elements in Appendix A. Some operating rule parts, such as part 121, have many possible entries due to varying regulatory pilot training requirements. Certain elements in an air carrier or operator’s training program that may be unusual or occur at irregular intervals. Common data points apply to all training records, as described in Table A-1. Specific training programs are detailed in Tables A-2 through A-7. For specific direction on how to enter records into the PRD, see the Resources section at prd.faa.gov. Note: As set forth in § 111.245, Aviation Safety Action Program (ASAP) records must not be entered into the PRD. For example, training conducted as part of an ASAP recommendation is often in addition to training normally required by the regulations. Thus, this additional training under ASAP would not be reported to the PRD. In accordance with AC 120-66, Aviation Safety Action Program, official 16 These provisions also require certain records to be kept concerning compliance with flight and duty rules , as well as requirements for physical examinations. However, consistent with the statutory mandate, records regarding flight time, duty time, and rest time are not required to be reported for inclusion in the PRD. In addition, while certain medical certification information is reported by the FAA to the PRD, the reporting of records demonstrating an air carrier’s or operator’s compliance with medical qualification requirements are reported through categorical options in the database as provided further in this AC. ### Page 32 2-27 training records and personnel files should not reflect correction actions associated with ASAP. 2.8.1.1.1 Data Fields. The PRD will include all data fields listed below, most of which must contain an entry. 1. Reporting Entity Designator: This is the designator or other reporting entity identifier as established by the FAA. This will be prefilled based on the logged-in user. 2. Reporting Entity Name: This is the name as established by the FAA and recorded in the official FAA data sources. This will be prefilled based on the logged-in user. 3. Pilot Certificate Number: This is the pilot’s FAA certificate number related to the activity being entered. The PRD will ensure that the certificate number and last name are valid and match a known pilot who holds an appropriate FAA pilot certificate. 4. Pilot Last Name: This is the pilot’s last name. The PRD will ensure that the certificate number and last name are valid and match a known pilot who holds an appropriate FAA pilot certificate. 5. Start Date: This is the date the event began. 6. End Date: This is the date the event was completed. 7. Aircraft Make/Model: This is the applicable make and model of aircraft related to the event. For Unmanned Aircraft Systems (UAS), specific make and model may not be available in the list. You may use the “UAS-NONCERT-SMALL<55” or “UAS-NONCERT-LARGE≥55” entries. 8. Duty Position: This will be either PIC or SIC as appropriate. 9. Training/Testing Program: This is the type of training program applicable to the record being entered. This selection will determine what training events are available. 10. Training Event: This is the specific event being entered into the PRD. 11. Results: Enter if the event was completed as satisfactory or unsatisfactory. This is synonymous with complete or incomplete. 12. Evaluator Comments: Some events will allow evaluator comments to be reported if such comments are included in the official record. Not all events will allow comments to be entered. If the PRD allows comments for an event, the contributor entering the record cannot deviate from the text provided by the evaluator if the evaluator provided any comments. The contributor should not enter any comments here unless the evaluator entered comments of the official record. 13. Other Event Description: This is used in special circumstances in which the FAA directs reporting entities to use the “other” event type. ### Page 33 2-28 Contributors should not use this event type to enter events in the PRD that are not specifically listed in the Training Event list unless the FAA specifically directs this option be used. 14. Unsatisfactory Tasks or Maneuvers: Some events, if marked as unsatisfactory, will require the contributor to enter a list of what tasks or maneuvers were not completed satisfactorily, in accordance with § 111.225(c)(6) and (7). On most forms used to record checking events, these will be marked as “Unsatisfactory.” List all of the tasks or maneuvers marked as unsatisfactory or equivalent. 15. Incomplete Tasks or Maneuvers: Some events, if marked as unsatisfactory, will require the contributor to enter a list of what tasks or maneuvers were not attempted, in accordance with § 111.225(c)(6) and (7). On most forms used to record checking events, these will be marked as “Incomplete.” List all of the tasks or maneuvers marked as incomplete or equivalent. 2.8.1.1.2 Part 121 Air Carrier Training Programs Approved in Accordance with Part 121 Subparts N and O. Training programs are developed to meet prescribed regulatory requirements, such as crewmember qualification requirements, flight training and checking tasks, and the requirements for the use of airplane simulators and other training devices. Training programs may also include operator specific elements beyond the minimum required training events prescribed in part 121 subparts N and O. Both the prescribed regulatory requirements and the additional elements are included in a certificate holder’s training program curriculum. 2.8.1.1.2.1 A standard data input for a certificate holder’s training program curriculum will stem from the pilot training categories and curriculum segments. Examples of categories are initial new hire, upgrade, and recurrent training. Examples of curriculum segments would be emergency training, differences training, and systems training. Thus, the FAA requires a certificate holder to enter the category of pilot training and curriculum segment in which a pilot participated. The results of each specific curriculum segment would be reflected in the database as satisfactory (complete) or unsatisfactory (incomplete).17 2.8.1.1.2.2 F or example, an individual participating in a certificate holder’s initial SIC new hire training could complete basic indoctrination and emergency training as required by §§ 121.415(a) and 121.417 prior to entering into initial ground training as a SIC for a specific aircraft type as required by § 121.419(c)(1) or (2), as appropriate. 17 A satisfactory or unsatisfactory result may also be submitted to the PRD as a pass or fail, or complete or incomplete, since these terms are used synonymously by certificate holders with approved training programs. ### Page 34 2-29 Once the individual has successfully completed the certificate holder’s initial ground training as a SIC for a specific aircraft type, the individual will participate in the certificate holder’s approved initial flight training as required by § 121.424(a). The individual will complete the initial flight training following an initial proficiency check in accordance with § 121.441. The SIC will then complete the required operating experience on the specific aircraft type as prescribed in § 121.434(a) prior to serving as a fully trained and qualified pilot for the certificate holder. Of all the events completed by the pilot, only some are reportable to the PRD. Table A-2 specifies which records fulfill the regulatory requirement in § 111.225 and must be entered in the PRD. 2.8.1.1.3 Determining Which Records to Enter and When to Enter Them. Appendix A contains several tables used to determine which records should be reported. Records related to pilots trained under part 121 subparts N and O are listed in Table A-2. New records must be entered within 30 days of creation18 and historical records must be entered as described in paragraph 2.10.3 and § 111.255. 2.8.1.1.4 Training Programs Approved in Accordance with Part 121 Subpart Y, Advanced Qualification Program. Advanced Qualification Program (AQP) is an alternative method for training and evaluating pilots based on instructional systems design, advanced simulation equipment, and comprehensive data analysis to continuously validate curriculums. Requirements of part 121 subparts N and O that are not specifically addressed in the certificate holder’s AQP continue to apply to the certificate holder and to the individuals being trained and qualified by the certificate holder. It incorporates data-driven quality control processes for validating and maintaining the effectiveness of curriculum content.19 The goal of AQP is to achieve the highest possible standard of individual and crew performance through effective training that will enhance professional qualifications. For more information on AQP, refer to AC 120-54, Advanced Qualification Program. 2.8.1.1.5 AQP Recordkeeping. AQP recordkeeping is identical to that required under traditional parts 121 and 135 training programs. However, for AQP, records should clearly indicate that the training used to qualify pilots, other flightcrew members, instructors, or evaluators was accomplished under an AQP curriculum. One noted difference from part 121 subparts N and O training programs is that initial operating experience (IOE) is part of the qualification curriculum. Because IOE is part of the qualification curriculum for AQP, the associated PRD records must include comments from evaluators and any unsatisfactory tasks from the IOE. The FAA notes that a pilot being trained in 18 § 111.215 19 Data is collected by each air carrier, de-identified, and submitted to the FAA on a monthly basis, in electronic format, for analysis. However, each air carrier is required to maintain records on pilots that have been trained through AQP similar to those required by other parts of 14 CFR. ### Page 35 2-30 accordance with part 121 subpart Y will compile training records for the indoctrination curriculum, qualification curriculum, and continuing qualification curriculum; however, some comments related to those events may not directly reflect the performance of either or both pilots. Comments related to those events will not be included in the PRD. Comments on the performance of a pilot that were documented by an individual acting in a capacity other than a check pilot or evaluator will not be accepted in the database, as previously discussed. For example, any comments recorded by an instructor, other than an instructor acting in the capacity of a check pilot or evaluator, are not permitted to be reported to the PRD. 2.8.1.1.6 Determining Which Records to Enter and When to Enter Them. Appendix A contains several tables used to determine which records should be reported. Records related to pilots trained under part 121 subpart Y are listed in Table A-3. New records must be entered within 30 days of creation20 and historical records must be entered as described in paragraph 2.10.3 and § 111.255. 2.8.1.1.7 Part 125 Operator’s Training Records to be Reported to the PRD. In accordance with part 111 subpart C, certain pilot records documented in accordance with § 125.401 are to be entered into the PRD. In addition to identifying records, § 125.401 also requires specific training records to be maintained that verify compliance with other regulations. Specifically, the records should display whether or not that crewmember complies with the required proficiency checks and qualification requirements. 2.8.1.1.8 Recording Required Part 125 Pilot Qualifications Events. The FAA requires all part 125 operators to keep records on an individual’s performance as a pilot that satisfies recent flight experience and the applicable qualification regulations in accordance with § 125.401. For example, a certificate holder is required to document and maintain records on specific pilot testing and qualification events under part 125 including the initial and recurrent pilot testing requirements and instrument proficiency checks (IPC). In accordance with § 125.291(a), each pilot in command (PIC) must pass a written or oral test on specific knowledge of the aircraft and operation. Additionally, a PIC must pass an IPC in accordance with § 125.291(a) and complete an approach procedure in accordance to § 125.291(b). The satisfactory completion of these required testing and qualification events as well as the date accomplished, aircraft type, duty position, testing and qualification part, regulation requiring the action (event), and the result of the action would be required to be reported to the PRD when the event is listed in Table A-5. 2.8.1.1.9 Determining Which Records to Enter and When to Enter Them. Appendix A contains several tables used to determine which records should be reported. Records related to pilots tested under part 125 are listed in Table A-5. New 20 § 111.215 ### Page 36 2-31 records must be entered within 30 days of creation21 and historical records must be entered as described in paragraph 2.10.3 and in accordance with § 111.255. 2.8.1.1.10 Part 135 Air Carrier and Operator Training Records to be Reported to the PRD. In accordance with part 111 subpart C, the FAA requires certain pilot records documented in accordance with § 135.63(a)(4) to be entered into the PRD, subject to the limitations in § 111.225(b). Some of the records maintained in accordance with § 135.63(a)(4) are identifying, such as a pilot’s name, FAA pilot certificate type, ratings held, and duties. Other records kept pursuant to § 135.63(a)(4) require maintenance of training and proficiency records, including: (1) the date and result of each of the initial and recurrent competency tests and proficiency and route checks required by part 135 and the type of aircraft flown during that test or check; and (2) the date and completion of the initial phase and each recurrent phase of the training required by part 135. Additionally, § 135.63(a)(4) requires a certificate holder to maintain a pilot’s aeronautical experience, flight time, authorizations to act as a check pilot, and any action taken concerning the pilot’s release from employment for physical or professional disqualification. 2.8.1.1.11 Variations Among Part 135 Training Programs. Similar to part 121 pilot training programs, part 135 training programs are approved for a specific air carrier or operator. Therefore, one part 135 training program will vary significantly from one air carrier/operator to another. Additionally, the differences among the approved training programs compound since certificate holders may seek FAA approval for a training program through various subparts of parts 121 and 135. 2.8.1.1.12 Records for Specific Pilot Training and Checking Events. Some areas that require a certificate holder to record and maintain records on specific pilot training and checking events under part 135 are the initial and recurrent pilot testing requirements, IPCs, and line checks. In accordance with § 135.293(a), each pilot must pass a written or oral test on specific knowledge of the aircraft and operation. Additionally, a pilot must pass a competency check in accordance with § 135.293(b). Some pilots are required to complete an IPC in accordance with § 135.297. Finally, all PICs are required to complete a line check in accordance with § 135.299. An operator must report the satisfactory completion of these required training and checking events as well as the date accomplished, aircraft type, duty position, training program approval part and subpart, regulation requiring the action (event), and the result of the action in accordance with § 111.225. Additionally, § 111.225 requires an operator to report check pilot comments.22 The FAA notes that many certificate holders and FAA inspectors utilize FAA Form 8410-1, Airman Proficiency/Qualification Check, as a job aid to ensure all required tasks are 21 § 111.215 22 As previously indicated, instructor comments will not be accepted into the database. ### Page 37 2-32 completed during an evaluation in an aircraft or flight simulation training device. This form, as well as other job aids, could be used in documenting a training or checking event and recorded into the PRD after the event has taken place and the certificate holder could maintain the FAA form for demonstration of compliance. 2.8.1.1.13 Meeting Recordkeeping Requirements. All training must meet the recordkeeping requirements of § 135.63(a)(4). Thus, a pilot training record maintained by a part 135 air carrier or operator that displays compliance with a pilot training program approval would be required to be entered into the PRD when included in Table A-4. Similar to the part 121 pilot training records to be reported to the PRD, the varying degrees of data maintained by a certificate holder noted in part 121 subparts N, O, and Y, as well as part 135 subparts E, G, and H, will be entered into the PRD as the example for record entry previously described in the method of record entry section. 2.8.1.1.14 Using Distinct Qualifiers for Training Fields in the PRD. In order to differentiate the regulations under which training program approval was granted, the PRD will use distinct qualifiers in the training fields. For example, if an individual completes a training program approved for a part 135 certificate holder in accordance with part 121 subparts N and O, the certificate holder would enter the training program approval part and subpart as “135NO” in the PRD to note the certificate holder’s operating rule part and the subpart the certificate holder conducted the pilot training. This permits a reviewing entity to fully understand the type of training that an individual has participated in. Indicating the regulations governing the training program approval allows reviewing entities the opportunity to review the robustness and similarities of its pilot training program compared to the individual’s previous experience with other pilot training programs. 2.8.1.1.15 Determining Which Records to Enter and When to Enter Them. Appendix A contains several tables used to determine which records should be reported. Records related to pilots trained under part 135 are listed in Table A-4. New records must be entered within 30 days of creation23 and historical records must be entered as described in paragraph 2.10.3 and § 111.255. 2.8.1.1.16 Part 91 Subpart K Fractional Ownership’s Training Program Records. All fractional ownerships must have an approved training program for their pilots and may seek approval for that training program in accordance with §§ 91.1065 through 91.1107; part 135 subparts E, G, and H; or part 121 subparts N and O.24 Regardless of which pilot training program is used, compliance with the regulation requires provision of all applicable records. The fractional ownership’s program manager must keep training records of 23 § 111.215 24 A training program approved in this manner for a fractional ownership will be able to input a value for the training program that differs slightly from that of a traditional part 91K training program. ### Page 38 2-33 each pilot used in accordance with § 91.1027(a)(3). The records include the pilot’s current duties (e.g., PIC or SIC) and the date of the pilot’s assignment to those duties, the date and result of each of the initial and recurrent competency tests and proficiency checks required and the type of aircraft flown during that test or check, any action taken concerning the pilot’s release from employment for physical or professional disqualification, and the date of the satisfactory completion of initial, transition, upgrade, and differences training and each recurrent training phase. Each program manager for a fractional ownership program is required to enter these records to the PRD. 2.8.1.1.17 Determining Which Records to Enter and When to Enter Them. Appendix A contains several tables used to determine which records should be reported. Records related to pilots trained under part 91K are listed in Table A-6. New records must be entered within 30 days of creation25 and historical records must be entered as described in paragraph 2.10.3 and § 111.255. 2.8.1.1.18 Pilot Training Records that Commercial Air Tour Operators, Corporate Flight Departments, and Public Aircraft Operators Maintain (PAC Group). Commercial air tour operators, corporate flight departments, and public aircraft operators conduct operations with minimal oversight from the FAA, including in the area of pilot training. These operators are not required to maintain an approved pilot training program or maintain a recordkeeping system of a pilot’s training events. However, all pilots must record certain events in their pilot logbooks to document their currency as an FAA pilot certificate holder. While these events must be recorded by pilots in their logbooks, the FAA presumes that operators employing pilots are maintaining similar pilot training and currency records to ensure their pilots are current for operational safety purposes. Operators have also established customized training programs that are tailored to an individual operation and have documented training and qualification events in various formats. Considering that certain part 61 regulations require data elements to be recorded during an event, the FAA is requiring operators to enter an individual’s performance as a pilot in the database that documents the minimum training and qualification26 requirements when the operator is maintaining such records. 2.8.1.1.19 Determining Which Records to Enter and When to Enter Them. Appendix A contains several tables used to determine which records should be reported. Records related to pilots operating under part 91 are listed in Table A-7. PAC operators have an option of entering new records within 30 days of generating or otherwise collecting the record, or, for certain records, those operators may maintain the record outside of the PRD for 5 years and enter the records only when notified by the PRD a reviewing entity is requesting the records, in 25 § 111.215 26 The FAA views qualification requirements broadly as any certificate, rating, training, checking, testing, and experience required to be qualified or maintain qualification for a position (e.g., PIC) in a particular operation (e.g., part 121). Not all qualification requirements must be reported to the PRD. Refer to § 111.225(b). ### Page 39 2-34 accordance with § 111.215. See paragraph 2.8.1.6 for PAC group reporting options. 2.8.1.2 Drug and Alcohol Records. In accordance with § 111.220, operators regulated under part 120 and 49 CFR part 40 must maintain certain drug and alcohol records of pre-employment, reasonable cause, reasonable suspicion, random, post-accident, return-to-duty, and follow-up testing. An operator is prohibited from knowingly using an individual to perform, and an individual is prohibited from performing any safety-sensitive function (including flightcrew member duties) if that individual has violated the drug and alcohol testing regulations under part 120 and has not met the requirements under part 120 or 49 CFR part 40 to return to duty. The FAA is requiring air carriers and operators to enter specific records provided in §§ 120.111 and 120.219(a) as well as 49 CFR § 40.333(a) into the PRD in accordance with § 111.220. This includes records of verified positive drug test results, alcohol misuse violations (including confirmed breath alcohol results of a concentration of 0.04 or greater, on-duty and pre-duty use conduct, and alcohol use following an accident), refusals to submit to required drug or alcohol testing, all return-to-duty drug and alcohol test results, and all follow-up drug and alcohol test results. 2.8.1.2.1 Data Fields. The PRD will include all data fields listed below, most of which must contain an entry. 1. Reporting Entity Designator: This is the designator or other reporting entity identifier as established by the FAA. This will be prefilled based on the logged-in user. 2. Reporting Entity Name: This is the name as established by the FAA and recorded in the official FAA data sources. This will be prefilled based on the logged-in user. 3. Other DOT Agency Entity Name: FAA use only. This is the source of records which are reported to the FAA by employers regulated under another DOT agency where an individual worked as a pilot. 4. Other DOT Agency Entity Contact Information: FAA use only. This is the address, contact name, contact phone number, and contact email for records reported to the FAA by employers regulated under another DOT agency where an individual worked as a pilot. 5. Regulating Agency (Non-FAA): FAA use only. When entering a report from an entity regulated under another DOT agency, this is the regulating agency (e.g., Pipeline and Hazardous Materials Safety Administration (PHMSA)). 6. Pilot Certificate Number: This is the pilot’s FAA certificate number. The PRD will ensure that the certificate number and last name are valid and match a known pilot who holds an appropriate FAA pilot certificate. ### Page 40 2-35 7. Pilot Last Name: This is the pilot’s last name. The PRD will ensure that the certificate number and last name are valid and match a known pilot who holds an appropriate FAA pilot certificate. 8. Date of Test or Occurrence: This is the date the test or event occurred. 9. Record Type: The user will select whether they are entering a drug test record or an alcohol misuse record. 10. Report Type: Based on the record type selected, the user will select the report type (e.g., Verified Positive Drug Test Result, Confirmed Breath Alcohol Concentration of 0.04 or greater, Refusal, etc.). 11. Type of Test: Based on the report type selected, the user will select the type of test (e.g., Random, Post-accident, Reasonable Cause Drug or Suspicion Alcohol, Follow-up, Return-to-duty). Pre-employment testing is only available to FAA users. 2.8.1.2.2 Who Must Enter Records? Any reporting entity that is required to comply with part 120 and 49 CFR part 40 must report drug and alcohol records to the PRD in accordance with § 111.220. This includes part 121 and 135 air carriers and operators, and air tour operators as defined under § 91.147. 2.8.1.2.3 Determining Which Records to Enter and When to Enter Them. Records related to drug and alcohol testing and events are listed in Table B-2. These records must be entered within 30 days of the test or occurrence.27 This requirement does not relieve an employer or its Medical Review Officer from reporting pilot violations to the FAA’s Federal Air Surgeon within two days in accordance with §§ 120.113(d)(1) and 120.221(c)(1).28 2.8.1.3 Final Disciplinary Action Records. In accordance with § 111.230, disciplinary actions that are considered final must be entered into the PRD within 30 days of being considered final. As provided in Appendix C, the specific data fields include identifying pilot information (e.g., pilot’s last name and FAA pilot certificate number), whether the disciplinary action resulted in permanent or temporary removal of the pilot from aircraft operations, and the type of action taken by the operator in response to the event (i.e., written warning, suspension, or termination). 2.8.1.3.1 Disciplinary Records that are Subsequently Overturned. The FAA recognizes that data may be entered incorrectly or a disciplinary action may be overturned through a number of informal and formal processes. Some records may be overturned after an employee succeeds in an internal dispute made directly with the employer, while other actions may be overturned by a court or other legal forum for adjudication. Moreover, the time period for an informal or formal dispute to be resolved could vary significantly. Therefore, § 111.230 requires reporting of disciplinary action records within 30 days 27 § 111.215 28 § 111.215 ### Page 41 2-36 after the action is final so long as there is no pending dispute between the individual pilot and the employer or once the record is realized to be incorrect. However, if a dispute develops after the disciplinary action is entered into the PRD and the action is subsequently overturned by the employer, then the reporting entity would be required to remove or correct the data entered into the PRD through the process discussed later in the document within 10 days of the disciplinary action being overturned as described in § 111.230(c). The FAA only considers a final disciplinary action to be subsequently overturned by an agreement if the agreement indicates the underlying action did not occur or was not the pilot’s fault. A record may not be entered into the PRD until the disciplinary action is finalized. The record must be entered in the PRD within 30 days after the dispute is considered resolved or closed by the employer in accordance with § 111.230(f)(1).)29. An air carrier or operator should not report any disciplinary action to the PRD that is not considered final. 2.8.1.3.2 Determining Which Disciplinary Actions to Report. A disciplinary record is created only for discipline or termination imposed by an operator or carrier involving the pilot’s performance that is related to the individual’s performance as a pilot, as set forth in § 111.230. A disciplinary action is entered into the PRD when the action: (1) was taken by an employer; (2) imposed an adverse penalty on the pilot, such as a suspension, termination, or written warning; (3) directly involved the individual’s performance as a pilot, which means the record captures an activity or event directly related to a pilot’s responsibilities or completion of the core duties in conducting safe aircraft operations, as assigned by the operator employing the pilot; and (4) has not been subsequently overturned, as specified in § 111.230. Inappropriate or wrongful conduct in the workplace for which the employee is penalized by the employer but which does not involve the pilot’s aeronautical duties, is not considered “disciplinary action” and shall not be entered into the PRD. However, if an employer determines the inappropriate or wrongful conduct relates to a pilot’s responsibilities or completion of the core duties in conducting safe aircraft operations, it must be included in the PRD in accordance with § 111.230. 2.8.1.3.3 Data Fields. The PRD will include all data fields listed below, most of which must contain an entry. 1. Reporting Entity Designator: This is the designator or other reporting entity identifier as established by the FAA. This will be prefilled based on the logged-in user. 2. Reporting Entity Name: This is the name as established by the FAA and recorded in the official FAA data sources. This will be prefilled based on the logged-in user. 29 Some final disciplinary actions may be entered on request. See paragraph 2.8.1.6.2 for more information. ### Page 42 2-37 3. Pilot Certificate Number: This is the pilot’s FAA certificate number related to the activity being entered. The PRD will ensure that the certificate number and last name are valid and match a known pilot who holds an appropriate FAA pilot certificate. 4. Pilot Last Name: This is the pilot’s last name. The PRD will ensure that the certificate number and last name are valid and match a known pilot who holds an appropriate FAA pilot certificate. 5. Date of Action: This is the date the action was considered final by the reporting entity. 6. Action Type: The record must be entered only if the disciplinary action was either a written warning, suspension, or termination related to pilot performance. Other types of disciplinary actions are not to be entered. 7. Removal from Aircraft Operations: If the action included a temporary or permanent removal from flying duties, this field must be marked “yes”. 8. Relevant Documents: Indicate whether other relevant documents exist. 2.8.1.3.4 Who Must Enter Records? Final disciplinary records must be reported to the PRD by all of the reporting entities specified in § 111.230. This includes parts 121, 125, and 135 air carriers and operators, air tour operators under § 91.147, fractional operators under part 91K, as well as those in the PAC group. 2.8.1.3.5 Determining Which Records to Enter and When to Enter Them. Records of disciplinary actions must be reported within 30 days of being considered final.30 Actions that are a written warning, suspension, or termination must be reported. If the disciplinary action does not involve removal from aircraft operations, PAC operators may elect to not enter these records into the PRD contemporaneously and may instead maintain these records for 5 years and enter them within 14 days when notified that a reviewing entity wishes to see the records, as set forth in § 111.215. This option to report the records upon request does not apply when a disciplinary action results in permanent or temporary removal of the pilot from aircraft operations. These events must be reported to the PRD contemporaneously.31 2.8.1.3.6 Relevant Documents. In accordance with § 111.230(g), each reporting entity must retain any documents that are relevant to a final disciplinary action reported to the PRD for 5 years and provide those documents to a reviewing entity on request. If a reporting entity receives a request for relevant documents, they must provide those records directly to the requester within 14 days. The relevant documents can be provided in any legible form, to include mail or email, and will not be entered directly into the PRD. More 30 § 111.215 31 § 111.215(b)(1)(i) ### Page 43 2-38 information about this functionality will be provided in the PRD User Guide, including directions on how to confirm receipt of the request within the PRD. 2.8.1.4 Records Concerning Separation of Employment. In accordance with § 111.235, the FAA requires relevant records concerning release from employment, resignation, termination, or disqualification with respect to employment be reported to the PRD. Air carriers and other operators are required to enter limited, specific information into the PRD pertaining to relevant separation of employment records. The information would include the following fields: (1) the final date of employment and (2) a multiple-option category field to indicate the nature of the separation of employment that would require the employer to indicate the type of separation such as resignation, termination, physical (medical) disqualification, or retirement. An “other” option will also be available if none of the listed choices apply. 2.8.1.4.1 Release from Employment Due to Performance or Extended Leave. If a pilot has been released from employment due to his or her performance as a pilot during training, qualification, proficiency, or during the period of time when a pilot is trained and qualified, the operator must enter the previously mentioned data elements as well as any record supporting the individual’s release of employment as a result of unsatisfactory pilot performance through a termination entry. Any other record pertaining to a pilot’s release from employment will be reported to the database through a similar standardized method. The FAA acknowledges that many situations could exist that result in a pilot being released from employment unrelated to his or her performance as a pilot. If a pilot is released from employment as a result of being furloughed or extended leave, the air carrier or operator must enter the individual’s final date of employment and the reason for being released from employment. 2.8.1.4.2 Pilot Resignation. Similarly, if a pilot employee resigns from his or her position with an operator for reasons that are unrelated to the pilot’s performance of the core duties and responsibilities associated with operating an aircraft safely, the air carrier or operator must enter the final date of employment with the employer and indicate that the pilot resigned. For instance, if a pilot resigned his or her position with an operator to return to school full time, the record need not explain that the pilot was returning to school; only dates must be entered into the PRD in this situation. No additional information would be permitted to be reported for inclusion in the PRD. 2.8.1.4.3 Unsatisfactory Performance as a Pilot or Disciplinary Action. However, if a pilot were terminated due to unsatisfactory performance as a pilot or as a result of disciplinary action, the operator that terminated the individual must input the final date of employment of the pilot and indicate that the individual was terminated. This type of termination of employment is required to be reported to the PRD in accordance with § 111.235. The FAA understands that ### Page 44 2-39 most disciplinary actions do not result in termination of employment; however, as previously indicated, some actions or events involving a pilot’s performance (e.g., removal from duty as a result of a drug or alcohol-related violation) could lead the employer to take disciplinary action in the form of termination of employment. In such a case, part 111 requires the employer to complete PRD entries for both the record concerning the disciplinary action as well as the record concerning termination, so long as the underlying action or event was related to the individual’s performance as a pilot. For example, if a pilot resigned from a position as a result of a disciplinary action, any associated disciplinary action would still be reported to the PRD and a reviewing entity should consider both entries when evaluating that pilot. 2.8.1.4.4 Disqualification from Employment. A pilot may also separate from an employer as a result of being disqualified from employment as a pilot. The reasons could stem from no longer holding the appropriate pilot or medical certificate32 or no longer meeting the requisite eligibility terms of employment as a pilot (e.g., maintaining a valid passport or other terms listed in a company’s general operations manual). These examples of disqualification are generally unrelated to a pilot’s performance; however, they greatly affect the individual’s legal obligations related to the operation of an aircraft for an air carrier or operator. The air carrier or operator must enter the final date of employment with the employer and indicate that the pilot was disqualified through the appropriate category selection. 2.8.1.4.5 Data Fields. The PRD will include all data fields listed below, most of which must contain an entry. 1. Reporting Entity Designator: This is the designator or other reporting entity identifier as established by the FAA. This will be prefilled based on the logged-in user. 2. Reporting Entity Name: This is the name as established by the FAA and recorded in the official FAA data sources. This will be prefilled based on the logged-in user. 3. Pilot Certificate Number: This is the pilot’s FAA certificate number related to the activity being entered. The PRD will ensure that the certificate number and last name are valid and match a known pilot who holds an appropriate FAA pilot certificate. 4. Pilot Last Name: This is the pilot’s last name. The PRD will ensure that the certificate number and last name are valid and match a known pilot who holds an appropriate FAA pilot certificate. 32 If an individual were no longer able to hold a first-class medical certificate and as a result could no longer act as a PIC but was able to hold a second-class medical certificate and act as an SIC, an operator would input that the individual was physically disqualified as a PIC. A final date of employment would not be entered into the database in this situation because the pilot continues to be employed as an SIC. ### Page 45 2-40 5. Separation of Employment Date: This is the last-in-time record of any action ending the employment relationship between a pilot and the reporting entity which is not subject to any pending formal or informal dispute initiated by the pilot. No separation from employment may be considered final until 30 days after the action. 6. Separation Type: Table D-1 lists the available options. Select the most appropriate choice. An “other” option may also be. 7. Relevant Documents: Indicate whether relevant documents exist. 2.8.1.4.6 Who Must Enter Records? Records concerning separation of employment must be reported to the PRD by all of the reporting entities specified in part 111. This includes parts 121, 125, and 135 air carriers and operators, air tour operators under § 91.147, fractional operators under part 91K, as well as PAC operators. 2.8.1.4.7 Determining Which Records to Enter and When to Enter Them. Records concerning separation of employment must be reported within 30 days of being considered final.33 If the separation from employment is not a termination, PAC operators may elect to not enter these records into the PRD contemporaneously and may instead maintain these records for 5 years and enter them within 14 days when notified that a reviewing entity wishes to see the records. 2.8.1.4.8 Relevant Documents. In accordance with § 111.235(g), each reporting entity must retain any documents which are relevant to a separation from employment action reported to the PRD for 5 years and provide those documents to a reviewing entity on request. If a reporting entity receives a request for relevant documents, they must provide those records directly to the requester within 14 days. The relevant documents can be provided in any legible form, to include mail or email, and will not be entered directly into the PRD. More information about this functionality will be provided in the PRD User Guide, including directions on how to confirm receipt of the request within the PRD. 2.8.1.5 Verification of Motor Vehicle Driving Record Search and Evaluation. Each operator that holds an Air Carrier or Operating Certificate issued in accordance with part 119 and is authorized to conduct operations under part 121, 125, or 135 is required to request and review all relevant information identified through a NDR search set forth in 49 U.S.C. Chapter 303 concerning the individual’s motor vehicle driving history before allowing that person to begin service as a pilot in accordance with § 111.110. 2.8.1.5.1 Data Fields. The PRD will include all data fields listed below, most of which must contain an entry. 33 § 111.215 ### Page 46 2-41 1. Reporting Entity Designator: This is the designator or other reporting entity identifier as established by the FAA. This will be prefilled based on the logged-in user. 2. Reporting Entity Name: This is the name of the operator as recorded in the official FAA data sources. This will be prefilled based on the logged-in user. 3. Pilot Certificate Number: This is the pilot’s FAA certificate number. The PRD will ensure that the certificate number and last name are valid and match a known pilot who holds an appropriate FAA pilot certificate. 4. Pilot Last Name: This is the pilot’s last name. The PRD will ensure that the certificate number and last name are valid and match a known pilot who holds an appropriate FAA pilot certificate. 5. Date When NDR Search and Evaluation Was Completed: This is the date the NDR record was received and evaluated. 2.8.1.5.2 Who Must Enter Records? Records concerning the NDR search and evaluation must be reported to the PRD by parts 121, 125, and 135 air carriers and operators in accordance with § 111.110. 2.8.1.5.3 Determining Which Records to Enter and When to Enter Them. A record of the NDR search and evaluation must be entered into the PRD with 45 days of the PRD date of hire.34 Table E-1 shows which data fields are available for reporting. 2.8.1.6 PAC Operator Reporting Options. PAC operators have an option of reporting all new records contemporaneously, within 30 days of creation or being considered final, or they may wait until a request is received for certain records. This option does not apply to all record types but can substantially reduce the burden of entering pilot records into the PRD. 2.8.1.6.1 Records That Must Always be Reported Contemporaneously. Within 30 days of becoming final, the following records must always be reported to the PRD in accordance with § 111.215(b). Prompt reporting of these specific record types ensures that a reviewing entity will be provided the critical information even before requesting any additional records be provided by the pilot’s current or previous employers. • Any final separation of employment record which resulted from a termination. • Any final disciplinary action record which resulted in permanent or temporary removal of the pilot from aircraft operations. 34 § 111.240 ### Page 47 2-42 2.8.1.6.2 Reporting Records on Request. For records other than those described in paragraph 2.8.1.6.1, PAC operators may elect to not enter the records contemporaneously. PAC operators may instead maintain the records for 5 years and report the records to the PRD when requested to do so by a reviewing entity in accordance with § 111.215(b). When a reviewing entity requests any outstanding records be reported, the RP registered in the PRD for the previous employer will be notified by email that they must now enter any outstanding pilot records within 14 days to comply with § 111.215(b). Once the records have been entered, the reporting entity should enter either the “PRD records complete date” or, if no additional records are necessary, the reporting entity should select the “No additional records to report to PRD date” into the PRD. This will trigger the PRD system to notify the pilot and the reviewing entity that all of the appropriate records are now available for review. 2.8.1.7 Additional Administrative Entries in the PRD. A reporting entity may enter other information into the PRD. 2.8.1.7.1 Assignment to Duty. This optional entry may be used by a reporting entity to indicate when a pilot was assigned to a specific duty position for a specific aircraft make and model. Table D-2 indicates the available fields for use when entering a pilot’s assignments to duty positions. 2.8.1.7.2 PRD Records Complete Date. During the transition period between PRIA and the PRD, a pilot’s historical records in the PRD may be incomplete because reporting entities have approximately two years to enter historical records into the PRD. Reviewing entities need a way to determine if they should request additional records from previous employers or if all of the historical records have been entered. 2.8.1.7.2.1 If there is no date entered in this field for the pilot, then the reviewing entity must assume more records are available from that reporting entity that are not yet entered in the PRD. The reviewing entity can request the additional records be entered via the request function in the PRD. When a reporting entity receives the request, they must enter any outstanding records within 14 days in accordance with § 111.215(b). When a reporting entity has entered all of the appropriate records, they should enter a date in this field to indicate they have completed the process. 2.8.1.7.2.2 If there is a date in this field, it indicates that the reporting entity has entered all records for this pilot as of the date indicated. If a PAC operator is not reporting all records contemporaneously, the operator should not enter a date indicating all records are current. If this date is more than 30 days old and the employer is the pilot’s current employer, the reviewing entity should still request any additional records via the PRD. This will notify the employer ### Page 48 2-43 to ensure any records which have been generated since the date entered in the field are entered. They must report any outstanding records within 14 days and update the date to indicate it is complete. 2.8.1.7.3 No Additional Records to Report to PRD Date. This date field is used to indicate when a reporting entity has entered all available records for a pilot into the PRD and no additional records are expected. This would be appropriate in cases when a pilot no longer works for the reporting entity. As a reviewing entity, if there is a date in this field, the reporting entity entered all appropriate records and nothing more is available. 2.8.2 Historical Records. In accordance with § 111.255, the FAA requires all air carriers authorized to conduct operations in accordance with part 121 and/or 135 to provide PRIA records created and maintained by the air carrier on or after August 1, 2005. The FAA also requires operators authorized to conduct operations in accordance with parts 125 and 135 as well as part 91K fractional ownerships to provide specific records created and maintained by the operator or fractional ownership on and after August 1, 2010. PAC operators are not required to comply with these historical records reporting requirements, which only apply to part 119 certificate holders, but may voluntarily enter historical records into the PRD. Note: All air carriers and operators required to report historical records in accordance with § 111.255(e) must continue to maintain pilot records documented as of August 1, 2005 or August 1, 2010 through the present for 5 years after reporting those records to the PRD. 2.8.2.1 Determining Which Types of Historical Records to Report. A reporting entity that is required by § 111.255 to enter historical records will report the same record information for both historical and contemporaneous records. See Table 2-2 for an overview of what record types are to be reported. Paragraph 2.8.1 also describes the record types in more detail. 2.8.2.2 Determining Which Records Based on Age to Report. Historical records are any records dated before one year after publication of part 111. Historical records may date back to August 1, 2005 or August 1, 2010 depending on the type of reporting entity. Table 2-1 provides an overview of historical records reporting. See paragraph 2.10.3 for more information about reporting historical records during the transition between PRIA and the PRD. 2.8.3 Distinguishing Between Company Records and PRD Records. Air carriers and operators typically maintain records that are separate and in addition to records they may have obtained from the PRD or otherwise received as required by part 111. Such records are referred to as “company records” whereas the records obtained in accordance with part 111 are referred to as “PRD records.” ### Page 49 2-44 2.8.3.1 Company records are events or actions memorialized by an air carrier or operator to document compliance with a statute or regulation, or maintained through a company’s own initiative. These records typically are comprised of documented training and qualification events, performance, and employment-related activities during the period that an individual is employed by a company as a pilot. 2.8.3.2 PRD records are those obtained through the PRD or otherwise as required by part 111. These records are used to assist a reviewing entity in making a hiring determination. PRD records are not forwarded to another reviewing entity through a future request made in accordance with part 111. 2.8.3.3 PRD records will be archived and maintained completely separate from the reviewing entities “company” records. PRD records should never be actively used again, other than for inspection and review by that company’s FAA Principal Operations Inspector (POI) in order to verify compliance with part 111. 2.8.3.4 A PAR is never to be considered as a reviewing entity’s own “company” records. Companies must only enter records they generate about the pilot into the PRD. 2.8.4 Method of Entry for Pilot Records.35 Initially, the FAA will offer two acceptable methods for reporting entities to report data elements to the PRD. Each reporting entity could opt to use either of the methods described below. A reporting entity may also use both methods but must never report the same record using both methods as this will result in duplicative records in the PRD. Note: The two reporting options described below are expected to be deployed on different development schedules. Option 2 is expected to be available one year after publication of part 111 which coincides with the initial reporting requirements of part 111 subpart C. Option 1 is expected to be available between one and two years after publication of the part 111. 2.8.4.1 Reporting Method Option 1: Data Transfer Using an Automated Utility. 2.8.4.1.1 The first option is transmitting data electronically using an automated utility. In order to use this method, the employer would encode the relevant data using an automated utility using Extensible Markup Language (XML) or similar process, so it can be read by both the user and the PRD. The data is transmitted through the PRD application, and the PRD application would be able to extract the relevant information for each pilot and input the information into the appropriate fields in the PRD. Use of an automated utility 35 The PRD complies with federal information security requirements and the FAA has published a PIA for the system, available at https://www.transportation.gov/privacy. ### Page 50 2-45 would minimize the amount of time and effort necessary for an employer to transmit data to the PRD. 2.8.4.1.2 The amount of time an air carrier or other operator employing pilots will spend transmitting data to the PRD using such an automated utility will depend on the user’s internet connection, and volume of data being sent to the PRD. All data is transferred in XML via the automated utility by automatically populating the specified data fields. This requires that the automated utility’s data fields correspond correctly with the PRD’s data fields. Refer to the Resources section at prd.faa.gov for instructions on setting up the automated utility. 2.8.4.2 Reporting Method Option 2: Manual Data Entry. The second method for air carriers and others employing pilots to transmit data to the PRD is through direct manual data entry, using the same pre-established data field forms for each record type. An air carrier or other operator employing pilots would use manual data entry to report the requisite information from its existing records, regardless of the format in which the records have been stored. The FAA expects that this method would only be used by those operators without the technical capability to use an automated utility using XML. Refer to the Resources section at prd.faa.gov for manual data entry instructions.36 2.8.5 Record Ownership. When a reporting entity enters a record into the PRD, the reporting entity becomes the owner of that record. The record owner is the only entity that can edit the record after it has been created. The PRD allows the transfer of record ownership from one entity to another upon acceptance of responsibility for the record content. For example, this might occur due to a merger of two airlines. Or, in the event of a business closure, the reporting entity might elect to transfer ownership of the records to a third party. Changes of record ownership are a special function. Contact the PRD administrator for assistance. 2.9 Using a Proxy to Meet the Requirements of Part 111. An air carrier or operator may choose to utilize a proxy to meet the requirements of part 111. However, an air carrier or operator maintains the responsibility to ensure compliance with part 111. Certain documentation is necessary from the FAA for a proxy to gain access to the PRD. Refer to the Resources section at prd.faa.gov for further proxy instructions. 2.10 Transitioning From PRIA to the PRD. 2.10.1 Overview. Although the PRD will replace PRIA, for 3 years and 90 days after part 111 publication PRIA is still in effect. However, part 111 has requirements which overlap with PRIA and can often be met concurrently. The overlap exists to ensure that pilot records remain available to hiring employers before they can be entered into the PRD. During the transition period, hiring employers will need to check both PRIA and the PRD to make sure they have reviewed all of the records. This section of the AC will describe 36 The manual data entry method is expected to be available one year after publication of part 111, and concurrently the Resource guide will also become available. ### Page 51 2-46 how those affected by PRIA as well as part 111 can navigate this transition period. The easiest way for an operator to understand the transition is to break it into three main parts: continued compliance with PRIA, historical record reporting, and new record reporting. 2.10.2 Continued Compliance with PRIA. Until the expiration of 3 years and 90 days after publication of part 111, certain hiring operators must continue to make PRIA requests for pilot records as part of the hiring process. The effected operators have not changed in this respect. If an effected operator is required to request records under PRIA, that operator must continue to comply with PRIA for 3 years and 90 days after part 111 is published. The way the operator requests and views those records, however, might change. If the operator receives a PRIA records request, the operator must respond under PRIA until PRIA is sunset. Part 111 uses a phased in compliance schedule to allow plenty of time for employers and pilots to become accustomed to using the PRD and for the system to be loaded with the appropriate records. 2.10.2.1 1–179 Days After Publication. During this period, no changes concerning how a hiring employer will request records under PRIA or how a previous employer will provide those records will take effect. Prior to 90 days after publication of the final rule, all operators, entities, and bankruptcy trustees (if applicable) subject to part 111 must create an RP account in the PRD in accordance with § 111.15. This allows plenty of time for industry and the FAA to ensure everyone is ready for the next big milestone which occurs at 180 days after publication. 2.10.2.2 180 Days After Publication. Any operator that is required under PRIA to review FAA records will now review those records via the PRD in accordance with § 111.100(b). Instead of asking the pilot to complete FAA Form 8060-10 and sending that form to the FAA, you will now use the PRD. The process is detailed in paragraph 2.6.2.2, but the general process involves two basic steps. First, the pilot logs into the PRD and grants consent to the hiring operator to see the FAA records. Second, the hiring operator logs into the PRD and views the FAA records. 2.10.2.3 One Year After Publication. One year after publication of part 111 operators defined as “reviewing entities” must begin to review any pilot records in the PRD in accordance with § 111.100(b). At the same time, reporting entities must start entering new pilot records as well as historical records into the PRD in accordance with § 111.200. If PRIA requires an operator to review records, the operator will review the FAA records and any industry records available in the PRD. If additional records are available and not yet reported to the PRD, the operator will need to request those previous employer records by sending FAA Form 8060-11 or making the request via the PRD system itself. The PRD system offers an easy function to request records about a pilot if the previous employer has not yet entered them into the PRD. If an operator is a previous employer and receives a request for records, the operator can either provide those records via the mail, email, etc. or enter those records into the PRD. ### Page 52 2-47 2.10.2.4 Two Years After Publication. Operators will notice many more pilot records are available in the PRD now because reporting entities described in part 111 must complete entering pilot records from January 1, 2015 to the present. Reporting entities are also continuing to report new records contemporaneously. Operators required by PRIA to review records will still check records in the PRD and request any additional records which are still outstanding. Those responding to requests can either enter the records at that time or return the records to the requester as they have done for years under PRIA. It does make sense for the previous employer to just enter the records when asked because that means any future requests would be pre-resolved. 2.10.2.5 Three Years and 90 Days After Publication. PRIA ceases to be effective. Reviewing entities must only comply with the PRD to review pilot records. They may also still need to request additional records via the PRD system as there are still some situations where additional records may be available. However, the option to send FAA Form 8060-11 will end and pilot records must be entered into the PRD in response to a records request. Under part 111, employers now enter records into the PRD within 30 days of creation and the records wait until a reviewing entity needs them, subject to certain exceptions. 2.10.3 Historical Record Reporting. Part 111 allows two years for each reporting entity to enter their historical records dating from January 1, 2015. During the transition from PRIA to the PRD, only some pilot records will be in the PRD. As a result, beginning one year after publication, operators must continue to comply with PRIA as well as review all records in the PRD. 2.10.3.1 Historical Records Dated On or After January 1, 2015. Certain reporting entities have been required by the PRD Act to maintain their historical pilot records since 2010 for reporting into the PRD. Air carriers are required to enter pilot records from 2005. The FAA recognizes that this is a significant effort and it also realizes that more recent records tend to have more value to a reviewing entity. With this in mind, § 111.255(d) requires that those required to report historical records must start entering these more recent records one year after publication of part 111 and complete entering these more recent records by two years after publication. 2.10.3.2 Historical Records Dated Before January 1, 2015. Also in accordance with § 111.255, these older historical records are required to be entered into the PRD beginning one year after publication and finishing by 3 years and 90 days after publication of part 111. 2.10.4 New Record Reporting. Beginning one year after publication of part 111, reporting entities must begin entering any records generated after that date into the PRD within 30 days in accordance with § 111.205. Certain exceptions exist for PAC operators, as described in paragraph 2.8.1.6. ### Page 53 2-48 2.11 FAA Inspectors’ Access to PRD Records. 2.11.1 Employer. An air carrier or air operator cannot deny an FAA inspector access to PRD-related records for audit or surveillance. 2.11.2 Authority. Title 49 U.S.C. § 41709 provides authority for the FAA inspector assigned to that company to see those records. As a result, the inspector must always have unrestricted access to a company’s PRD-related records at any time during the course of that inspector’s normal surveillance or inspection duties. 2.11.3 Record Denial. Section 119.59(e) states that the failure by any certificate holder to make available to the Administrator upon request, the certificate, OpSpecs, or any required record, document, or report is grounds for suspension of all or any part of the certificate holder’s certificate and OpSpecs, to include PRD records. 2.11.4 Privacy. Each FAA inspector, however, having viewed such records, is also subject to the privacy protection requirements as outlined in 49 U.S.C. § 44703(i)(9). The FAA inspector must make every effort to protect the privacy of the pilot and the confidentiality of the PRD-related records of that pilot. ### Page 54 3-1 CHAPTER 3. PILOT RECORDS IMPROVEMENT ACT OF 1996 Note: The information provided in Chapter 3 is specific to PRIA and may not be the same as described in Chapter 2 for the PRD. 3.1 Purpose of This Chapter. This chapter provides information to facilitate compliance with the provisions of Title 49 of the United States Code (49 U.S.C.) § 44703(h), the Pilot Records Improvement Act of 1996 (PRIA). PRIA requires air carriers and other operators to gather and share information relating to a pilot-applicant’s qualification and safety background. An air carrier or air operator must request those records so it can make an informed decision before an individual is placed into service as a pilot. PRIA applies to any hiring air carrier or air operator, whether they hire pilots directly or by contract. Part 111 specifies that PRIA remains in effect for 3 years and 90 days after part 111 is published. 3.2 How to Use This Chapter. The FAA wrote this chapter for three audiences: the pilot-applicant, hiring employers that request PRIA records, and former employers that respond to PRIA records requests. You do not have to read the entire document to find the information you need. Paragraph 3.4 describes the applicability of PRIA. Pilots applying for a job with an air carrier or air operator that will have to request PRIA records should read paragraph 3.9. Hiring employers should read paragraphs 3.10 and 3.12; and those employers responding to PRIA records requests should read paragraph 3.11. Chapter 4 is for all affected parties, as it contains some PRIA specific definitions, resources, and PRIA contact information. See paragraph 2.10 for information about how the PRD can be used to comply with PRIA during the transition in which both PRIA and PRD are in effect. 3.3 PRIA Background. On October 9, 1996, the President approved the Federal Aviation Reauthorization Act of 1996 (the Act). The Act amended 49 U.S.C. to reauthorize programs of the FAA and to effect certain changes, including pilot records. The law is commonly referred to as PRIA and is contained in Section 502 of Public Law (PL) 104-264, Federal Aviation Reauthorization Act of 1996. PRIA was enacted primarily as a result of certain accidents attributable to pilot error. In some of those cases, the subsequent employer found that the pilots had previous histories of poor performance, but the background of these pilots had not been checked. PRIA was amended to make clarifications and relieve air carriers of unnecessary burdens. These amendments to PRIA are in 49 U.S.C. § 44703(h), (i), and (j). 3.3.1 PRIA Review. A pilot may begin training with the new employer before the PRIA check has been completed. However, all PRIA checks must be completed, evaluated, and approved before the individual can begin service as a pilot for that hiring employer, in accordance with 49 U.S.C. § 44703(h)(1). 3.3.2 Pilot Records Database (PRD). The Airline Safety and Federal Aviation Administration Extension Act of 2010 (the Act) amended PRIA and required the FAA to create the PRD. The PRD is required to contain pilot records dating from August 1, 2005 for FAA certification events, enforcement records, pilot employment history, training data, and ### Page 55 3-2 drug and alcohol testing records. Once the transition period is complete, the PRD will replace PRIA. Until full implementation of the PRD, PRIA remains in effect. Therefore, air carriers and other operators who employ pilots must continue to provide pilot records to an air carrier or air operator seeking information on an individual pilot in accordance with PRIA. PRIA requires air carriers to evaluate all available pilot records prior to making a hiring decision. See paragraph 2.10 for information about how the PRD can be used to comply with portions of PRIA. 3.4 Applicability. 3.4.1 Affected Parties. PRIA specifically applies to the following: 3.4.1.1 Any U.S. air carrier operating under 14 CFR part 121 or 135, or any U.S. air operator under 14 CFR part 125 or 135 for the purpose of requesting records. 3.4.1.2 Any U.S. air carrier operating under part 121 or 135, any U.S. air operator operating under part 125 or 135, other person, or trustee in bankruptcy for an operator that employed the individual as the pilot of a civil or public aircraft at any time during the 5-year period before the date of the individual’s employment application for the purpose of furnishing records. 3.4.1.3 Any individual who is applying for a position as a pilot with a U.S. air carrier or operator, and has been employed as a pilot of a civil or public aircraft at any time during the 5-year period before the date of the individual’s employment application for the purpose of employment. 3.4.1.4 Single pilot operators are subject to the provisions of PRIA. Complete the PRIA forms as both the air carrier representative and the pilot (as subject of the request). In the margin of the request, enter the statement “SINGLE PILOT OPERATOR” in large letters to identify yourself as such. 3.4.1.5 Operators not required to request records when hiring pilots should still respond to requests for PRIA-related records by forwarding such records that the operator may have accumulated concerning the pilot-applicant within the previous 5-year period or a statement to the effect that there are no records available to be forwarded. 3.4.2 Determining Whether PRIA Applies to You When Hiring a Pilot. Use the following checklist to determine whether PRIA requires you to request records for a pilot. You must request records concerning a pilot-applicant if you answer “yes” to either of the two questions below. 3.4.2.1 Are you an air carrier or operator conducting operations in accordance with 14 CFR part 91 subpart K (part 91K), 121, 125, or 135? 3.4.2.2 Do you engage in air transportation, as defined in 49 U.S.C. § 40102(a)(5)? You engage in air transportation if you provide: ### Page 56 3-3 • Foreign air transportation (flag operation), • Air transportation on an interstate basis, or • Transportation of U.S. mail. Note: Notwithstanding the above comments, all operators should consider voluntarily requesting PRIA records and any other records that may be available. 3.4.3 Contract or Shared Pilots Concerning PRIA. Before allowing an individual to begin service as a pilot, PRIA requires an air carrier or air operator to request and receive PRIA-related records, regardless of whether they hire the pilot directly or by contract. In all cases, the PRIA burden is on the air carrier or air operator, not the company providing the pilot under a contract, or the individual pilot. Therefore, if an air carrier or air operator is going to utilize the temporary services of a contract or shared pilot provided by a staffing type agency or other concern, the burden remains with the utilizing air carrier or air operator to comply with the PRIA statutes. 3.4.4 PRIA Participation by Part 91 Operators. If you operate under part 91 and you receive a request for a pilot’s records under the authority of PRIA, you should respond. Therefore, you should furnish any PRIA-related records you accumulated on an individual you employed as a pilot within the previous 5 years, or if there are no records to forward, simply state that there are none and return the request. This will enable the requestor to close out and complete their PRIA checks and then proceed with their hiring process. 3.4.4.1 If you operate as a fractional ownership under part 91K you are required to request and evaluate records in accordance with § 91.1051. If you are an operator as defined under § 91.147, you must request drug and alcohol testing records when hiring a pilot-applicant for your air tour operation in accordance with 49 CFR part 40. 3.4.4.2 If you are a pilot who has been continuously employed by the same air carrier or air operator with no break in service since the initiation of PRIA on February 6, 1997, your employer is not required to have a PRIA Background Report on file. 3.5 Company Records vs. PRIA Records. Pilot employers typically maintain records that exceed the scope of records to which PRIA applies. Such records are referred to as “company records,” whereas the records maintained and provided by operators in accordance with PRIA are referred to as “PRIA records.” The difference between the record types can easily create confusion among those involved during review. 3.5.1 Company records are events or actions memorialized by an air carrier or operator to document compliance with a statute or regulation or those maintained through a company’s own initiative. These records typically consist of documented training and qualification events, performance, and employment-related activities during the period ### Page 57 3-4 that an individual is employed by a company as a pilot. Many company records exceed the scope of PRIA. 3.5.2 PRIA records are a collection of company records memorialized by a current or former employer during the previous 5 years from the date of the request that meet the policy outlined in this AC and the requirements of 49 U.S.C. § 44703(h). These records are used to assist an air carrier or operator in making a hiring determination. PRIA records are not forwarded from a receiving air carrier to another requesting air carrier through a future PRIA records request. 3.5.3 When a pilot is seeking employment with an employer that is required to review records in accordance with PRIA, the employer will request records from the pilot’s current and/or previous employers. The previous employers will then assemble copies of the appropriate records for the past 5 years. 3.5.4 Once the company records have been assembled by the current and/or former employers of the pilot applicant, at that point, that subset of company records become PRIA records. 3.5.5 Those PRIA records will be archived and maintained completely separate from the hiring air carrier or operator’s company records. PRIA records received through a PRIA records request should never be actively used again, other than for inspection and review by that company’s Principal Operations Inspector (POI). 3.5.6 PRIA records received as a result of a PRIA records request should never be included in an employer’s own company records when that employer receives a subsequent PRIA records request. The company holding the PRIA records must respond to a PRIA records request only from their company records and never forward another company’s PRIA records as part of the records sharing process. 3.6 The Request Process. The following is a brief overview of the entire PRIA process. Subsequent paragraphs detail the roles and responsibilities for the pilot-applicant, the hiring employer, and the current or former employer. See paragraph 2.10 for information about how the PRD can be used to comply with portions of PRIA. 3.6.1 Initiation. The hiring employer initiates the process. 3.6.2 PRIA Records Request. Both the pilot-applicant and the hiring employer complete the PRIA records request forms. 3.6.3 Employer. The hiring employer sends the request forms to the: • FAA, • National Driver Register (NDR), and • Current and previous employers. 3.6.4 Response. Respondents answer the PRIA records requests. ### Page 58 3-5 3.6.5 Review. All pilots/applicants may review records submitted about them to the FAA, NDR, and current and previous employers. 3.6.6 Evaluation. The hiring employer reviews and evaluates the results. 3.6.7 Records Maintenance. The hiring employer maintains all PRIA-related records. 3.7 Designated Agent (DA). A requesting air carrier or air operator has the option of employing a “third-party processor,” commonly known as a DA or proxy, to complete all of their PRIA checks. 3.8 Best Practices. The FAA expects that pilots, hiring air carriers, and air operators, as well as past employers, will use these best practices to ensure they are operating to the highest level of safety. 3.8.1 PRIA Records Request. The FAA expects all hiring air carriers and air operators to request all FAA records of proficiency and competency as well as airmen certification practical test results. These records can be requested by obtaining a release from the applicant (see Appendix G). 3.8.2 Release Form. Hiring air carriers and air operators should not consider an applicant for employment if that applicant will not sign the release for the additional FAA records. 3.8.3 Disclosure. The FAA expects a pilot/applicant to disclose all pilot testing failures to any potential employer to which PRIA applies. 3.9 Information for the Pilot-Applicant. 3.9.1 Pilot-Applicant’s Tasks During PRIA Records Request Process. If you are an individual who is applying for a job as a pilot, your hiring employer will initiate the PRIA records request process. Per 49 U.S.C. § 44703(h)(5) and (6), the hiring employer must first notify you in writing that it will request records about you and obtain your written consent by signature. 3.9.1.1 Complete PRIA Records Request Forms. 3.9.1.1.1 The hiring employer or a DA will provide several forms to request PRIA-related records from the previous 5 years only. You will complete and sign these forms to grant your consent for the FAA, your previous employer(s), and the NDR to release your records. 3.9.1.1.2 The Aviation Data Systems Branch will provide information concerning your current airman medical certificate. It will also give information on your current airman certificates indicating level, category, class, and associated type ratings, including any limitations to those certificates and ratings. From the previous 5-year period, the FAA will also summarize any closed legal enforcement actions against you that resulted in findings of violations that were not subsequently overturned. However, the FAA will report any formal ### Page 59 3-6 closed certificate actions on file, such as suspensions, civil penalties, or revocations indefinitely. 3.9.1.1.3 The hiring employer will ask your previous employer(s) to provide records pertaining to you, except for those related to flight time, duty time, or rest time. A previous employer will provide records on your performance as a pilot concerning your training, qualifications, proficiency, and professional competence, including any comments or evaluations by check airmen; any disciplinary actions that the previous employer did not overturn; and any release from employment or resignation, termination, or disqualification from employment. Additionally, under PRIA, your former Department of Transportation (DOT)-regulated employer(s) will provide records of drug and alcohol tests performed under 49 CFR part 40, even if the employers were not aviation entities. 3.9.1.1.4 If this is your first job as a pilot, but you were previously subject to DOT-regulated drug and alcohol testing, your hiring employer must request your drug and alcohol test results from your previous employer(s) in accordance with 49 CFR part 40. 3.9.1.1.5 The NDR will furnish your applicable motor vehicle driving records. 3.9.1.2 Request Copies of Records. 3.9.1.2.1 Records from the FAA. The Aviation Data Systems Branch will automatically send you an identical copy of the PRIA verification letter that it furnishes to the hiring employer. As a security measure, the Aviation Data Systems Branch will send this report to your home address, as shown in the records maintained by the Airmen Certification Branch. Ensure that the Airmen Certification Branch has your current home address by updating it online at https://registry.faa.gov or by calling toll free at 866-878-2498. In addition, the hiring employer may, at its discretion, request a record of your Notices of Disapproval from the FAA. 3.9.1.2.2 Records from Previous Employers and the NDR. If desired, you can request copies of records that your previous employer(s) maintained, including those from the NDR. If the hiring employer uses the recommended FAA forms to request records, then FAA Form 8060-11A, Airman Notice and Right to Receive Copy – Air Carrier and Other Records (PRIA), is the proper form to use when requesting copies of your pilot and drug and alcohol testing records from your previous employer(s). If you requested a copy of your current NDR records, the hiring employer should furnish them to you after receiving them from the NDR. Note: PRIA permits respondents to charge a reasonable fee in a “statement of payment” to recoup the cost of furnishing records to you. ### Page 60 3-7 3.9.1.3 Review Records and Submit Corrections. You may review the records received and, if necessary, submit a written statement to correct any inaccuracy or omission in your records. The hiring employer should include your statement in the PRIA-related records file that it compiles on you to represent your viewpoint concerning those records or entries. It is recommended that you ensure that the hiring employer has a copy of any such corrections. 3.9.1.4 Sign Release of Liability. Hiring employers or former employers may require you to sign a release from liability for records other than the drug and alcohol testing records, in accordance with 49 U.S.C. § 44703(h)(2)(B). The release from liability can state that you will not make any claim against them for requesting or furnishing PRIA records, but would not apply if an employer furnishes information known to be false or maintained it in violation of a criminal statute. Under 49 CFR part 40, § 40.27, an employer must not ask an employee to sign a consent, release, waiver of liability, or indemnification agreement with respect to any part of the drug or alcohol testing process. 3.9.1.5 Your Right to Receive Copies of Records. In accordance with 49 U.S.C. § 44703(h)(6), the FAA and your former employer(s) are required to give you written notice of the request and notice of your right to receive copies of the records within 20 calendar-days of receiving a PRIA records request. 3.9.1.6 PRIA Records Request. If you have requested a copy of your records, these respondents (FAA or former employer) can fulfill this requirement by providing the records to you within 30 calendar-days in accordance with 49 U.S.C. § 44703(h)(10). 3.9.2 A Pilot’s Expectations and Protections under PRIA. All professional pilots whom a hiring employer is considering for employment have certain protections concerning the request, transfer, receipt, evaluation, and maintenance of their records. 3.9.2.1 PRIA Statutory Provisions. In accordance with PRIA, the hiring employer must provide you with the following: 1. Written notification that the hiring employer will make a request for your PRIA-related records. 2. A consent form to sign for the release of those records. 3. An opportunity to request a copy of those records if so desired. Note: Use of FAA forms provided to employers fulfills the three requirements stated above. 4. An opportunity to submit a written comment or memorandum to a former or potential employer when you believe there are inaccuracies in your PRIA-related records. This written comment should be submitted to the previous employer for entry into your records maintained by the previous ### Page 61 3-8 employer; however, it is recommended that you also ensure that the hiring employer has received a copy of the document as well. If not, be prepared to provide them with one when you review those records. 5. An opportunity to review and comment on your PRIA-related records. The air carrier or air operator should also make available a copy of the requested records within a reasonable period of time, but not later than 30 calendar-days after the date of your written request. This is especially true when distance prohibits you from reviewing your records in person. Note: We recommend that you review your PRIA-related records, if possible, before applying for a new job. This can help you ensure that your records are in order and that you address all problem areas in advance. 3.9.2.2 Your Privacy Protections Under PRIA. The confidentiality of your PRIA records will be protected in the following manner: 1. PRIA limits a hiring employer receiving your PRIA records to using them only to assess your qualifications in deciding whether to permit you to begin service as a pilot. 2. Accordingly, only company personnel directly involved in the hiring process may view and evaluate the records. 3. The air carrier or air operator should maintain PRIA-related records for the duration of your employment with them and also for a suggested period of 5 years after the termination of that employment. Anyone possessing PRIA-related records must ensure that individuals not involved in the hiring process do not view or have access to your records, in accordance with 49 U.S.C. § 44703(h)(11). The one exception is the FAA inspector, who cannot be denied access to a PRIA-related system of records when conducting surveillance or inspection of those records. However, when viewing such records, the FAA inspector must also make every effort to protect your privacy and the confidentiality of your PRIA- related records. 3.9.2.3 Records Concerning Disciplinary Actions. See paragraph 3.11.5.2 for a discussion of records to be furnished concerning disciplinary actions regarding an individual’s performance and competence as a pilot. 3.9.3 Pilots Formerly Employed by Government Agencies. If a government agency (Federal, state, or local) employed you as a pilot, the hiring employer must contact the agency for your records in accordance with 49 U.S.C. § 44703(h). You should provide a brief statement and a signature consenting to the release of background information concerning your flight training, experience and qualifications, proficiency, other related safety history, drug and alcohol testing records, and any subsequent actions taken as a result of those tests. Send this request to the governmental agency where you worked as a pilot. ### Page 62 3-9 3.9.4 Reporting of Previous Employers. All pilots/applicants should ensure that all previous employers where the applicant was employed as a pilot within the past 5-year period are reported to the hiring air carrier or air operator on FAA Form 8060-11, Air Carrier and Other Records Request (PRIA). Only in this way can the air carrier or operator fulfill the full purpose and mission of PRIA and the pilot avoid the possibility of falsifying an FAA form. 3.9.5 Additional PRIA Resources for Pilots. For additional resources and information, visit the PRIA website at https://www.faa.gov/pilots/lic_cert/pria. Direct any questions to the Regulatory Support Division at 405-954-4431. 3.10 Information for the Hiring Employer on PRIA Procedural Considerations. 3.10.1 Initiate the PRIA Records Request Process. If you are an air carrier or air operator hiring a pilot, you (or your DA) will initiate the PRIA records request. Using the forms available from the FAA will help you comply with the statutory requirements of PRIA. You can obtain the forms and information about filling out these forms from the PRIA website at https://www.faa.gov/pilots/lic_cert/pria/forms_docs and from the FAA website at https://www.faa.gov/forms. See Appendix G for guidance concerning the overview and use of these forms. We recommend that you use these current FAA forms instead of old versions or self-designed forms because those forms might not produce the results required by statute. The forms are: • FAA Form 8060-10, FAA Records Request (PRIA). • FAA Form 8060-10A, Airman Notice and Right to Receive Copy – FAA Records (PRIA). • FAA Form 8060-11, Air Carrier and Other Records Request (PRIA). • FAA Form 8060-11A, Airman Notice and Right to Receive Copy – Air Carrier and Other Records (PRIA). • FAA Form 8060-12, Authorization for Release of DOT Drug and Alcohol Testing Records Under PRIA and Maintained Under Title 49 Code of Federal Regulations (49 CFR) Part 40. • FAA Form 8060-13, National Driver Register Records Request (PRIA). 3.10.2 Using a DA to Respond to PRIA Records Requests. You may contract with a DA or proxy to process PRIA records requests and furnish records to hiring employers and pilots/applicants. Although you may delegate this work to a DA, you are ultimately responsible for fulfilling the requirements. Also note that, since a DA cannot retain PRIA records in a records system of its own, you are responsible for maintaining PRIA records. The release of the documents must specify exactly who is to receive the documents, and a blanket release to provide the documents to a category of parties is prohibited under 49 CFR §§ 40.321(b) and 40.351(d) of the drug and alcohol testing regulations. A guidance document titled “PRIA Instructions for the Designated Agent (DA)” is available on the PRIA website at https://www.faa.gov/pilots/lic_cert/pria/requesting. ### Page 63 3-10 3.10.3 The Hiring Employer’s Role During the PRIA Records Request Process. 3.10.3.1 Obtain Consent and Notify Pilots/Applicants of Their Right to Receive Copies. PRIA requires you to notify all pilots-applicants in writing that you will be requesting their records, obtaining their written consent to release the records, and informing them of their right to receive copies. You can fulfill these requirements by using the FAA forms. 3.10.3.2 Complete PRIA Records Request Forms. Fill out the applicable sections of each form, then have the pilot-applicant complete the forms. Note: Provided no other provisions of law or agreement to the contrary exist, you can require the pilot-applicant to execute a release from liability against any claim he or she may make from your use of PRIA records in accordance with 49 U.S.C. § 44703(h)(2). Release from liability can state that the applicant will not make any claim against entities who request or respond to PRIA records requests. 3.10.3.3 Send Forms to the Appropriate Recipients. Mail, fax, or email your scanned applications to the recipients and retain documentation of when the recipient received them (e.g., fax confirmation page). If mailing, we recommend that you send forms through the United States Postal Service (USPS) (certified, return receipt requested) or a private mail carrier that documents the date of delivery. 3.10.3.4 Forward FAA Form 8060-10 to the Aviation Data Systems Branch. You can fax your completed PRIA records request(s) for FAA records to the Aviation Data Systems Branch at 405-954-4655, ATTN: PRIA; or email them to 9-amc-afs620-pria@faa.gov. You can also mail your completed PRIA records request(s) for FAA records to: 1. Via Regular Mail. Federal Aviation Administration ATTN: Aviation Data Systems Branch (PRIA) P.O. Box 25082 Oklahoma City, OK 73125-0082 2. Via Expedited Mail. Federal Aviation Administration ATTN: Aviation Data Systems Branch (PRIA) 6500 South MacArthur Blvd. ARB Building, Room 313 Oklahoma City, OK 73169 3.10.3.5 Retain Original FAA Form 8060-10A. Retain the original FAA Form 8060-10A in your PRIA-related records file after giving the pilot-applicant a signed and completed copy of the form. ### Page 64 3-11 Note: Do not forward FAA Form 8060-10A to the FAA. The Aviation Data Systems Branch will automatically mail to the pilot-applicant a courtesy copy of the PRIA Verification Letter that it furnishes to you. 3.10.3.6 Send Forms to Individual’s Previous Employers. Send FAA Forms 8060-11, 8060-11A, and 8060-12 to all previous employers who employed the individual as a pilot within the previous 5-year period. If the individual was not employed as a pilot before, you must request the drug and alcohol testing records from those previous employers and you must ask the questions required by 49 CFR. Refer to 49 CFR § 40.25(j). Examples of previous employment that would trigger this requirement are work in another FAA-regulated safety sensitive function, such as flight attendant or aircraft maintenance or preventive maintenance duties, or work in another DOT-regulated industry where he or she was subjected to drug and alcohol testing under 49 CFR part 40 (e.g., as a truck or bus driver, or pilot for a pipeline operator flying under part 91 operations). 3.10.3.7 Send Complete NDR Application to State DMV. Send a completed NDR application form to the state chief driver’s licensing official or Department of Motor Vehicles (DMV) that issued the driver’s license to request the appropriate NDR-related records. Many state DMVs will require the original form, so you might have to mail the request instead of faxing it. We recommend that you call the state DMV to confirm whether it needs the original form and if any fees apply. Note: Send your NDR request to the resident state of your pilot applicant. As you are preparing your NDR request we suggest that you use that state’s own application form rather than FAA Form 8060-13, since most states are not familiar with FAA Form 8060-13 and may not process it. You should be able to make an online query to find that state’s particular application form for a third party and also what the cost will be per request. 3.10.3.8 Part 91 Requests. If you are a part 121 or 135 air carrier or a part 125 air operator that is preparing to hire a pilot whose previous experience is only with part 91 operators, you should still send a PRIA records request to these companies for any training or safety-related information that those companies may have and the company should respond to that request. If the company has no information, the company should indicate to you that no information is available. 3.10.3.9 Privately Employed 14 CFR Part 61 Flight Instructors. If the pilot you are preparing to hire only worked privately as an individual part 61 flight instructor, there is no need to prepare and send a PRIA records request because there is no company from which to request records. ### Page 65 3-12 3.10.3.10 Process Responses. Within 30 calendar-days after receiving your request, the FAA, previous employer(s), and NDR must provide copies of all the required records to you in accordance with 49 U.S.C. § 44703(h)(5). Under no circumstances should you accept PRIA records that a pilot-applicant hand delivers or personally generates. If the records are not received from the requested entity, the FAA recommends a request to be reinitialized to avoid reviewing records that could possibly be flawed or have been tampered with through any changes in the chain of custody. 3.10.3.11 Protect Confidentiality of Pilot’s Records. Only your company personnel directly involved in the hiring process may view and evaluate the PRIA records in accordance with 49 U.S.C. § 44703(h)(11). Ensure that other individuals uninvolved in the hiring process do not view or have access to the records. 3.10.3.12 Process Requests for Payment. In accordance with 49 U.S.C. § 44703(h), the previous employer may include a “statement for payment” to you to recoup the cost of furnishing the records. 3.10.3.13 Make Additional NDR Requests. If the NDR returned a positive pointer report (showing a driver’s license suspension or revocation, or a driving under the influence (DUI) conviction), you must send a second NDR request to the state identified in the first report to obtain the full details in accordance with 49 U.S.C. § 44703(h)(1)(c). 3.10.3.14 Document “Good Faith” Attempts to Obtain Records. If a pilot-applicant’s former employer has not responded after 30 calendar-days, document your attempts to obtain the PRIA records from them and contact the PRIA program manager to determine its status. If the nonresponding employer is bankrupt, out of business, or is a foreign entity, your documented attempts to contact that employer fulfill your obligation under PRIA in accordance with 49 U.S.C. § 44703(h)(14)(b). 3.10.3.15 Provide Records to the Pilot-Applicant. If requested by the pilot-applicant, provide the individual with a copy of the NDR records. This is generally completed by the hiring employer after those records have been requested and received. 3.10.3.16 Allow Pilots/Applicants an Opportunity to Respond. Before making a final hiring decision, you must provide the pilot-applicant with a reasonable opportunity to submit written comments to correct any inaccuracies contained in the records in accordance with 49 U.S.C. § 44703(h)(9). Retain such statements in the PRIA file for the individual. These comments may be included in the records from the previous employer; however, the pilot may forward these comments to you at some point during the interview or records review process. ### Page 66 3-13 3.10.3.17 Review and Evaluate the Records. Only your personnel directly involved in the hiring decision are allowed to view the PRIA records. You may use such records only to assess the qualifications of a pilot-applicant in deciding whether to hire the individual as a pilot. Company personnel must take whatever actions are necessary to protect the privacy of the pilot and the confidentiality of the records, and ensure that the information contained in those records are not divulged to anyone not directly involved in the hiring decision, with the exception of an FAA inspector. DAs are prohibited by 49 U.S.C. § 44703(h)(11) from creating their own recordkeeping system or database containing the information they receive in response to the PRIA records requests. You should receive the following records: 3.10.3.18 Records from the FAA. The Aviation Data Systems Branch will provide the following: • Current airman certificates with associated type ratings and limitations; • Current airman medical certificate, including any limitations; and • Summaries of FAA legal enforcement actions resulting in a finding by the Administrator of a violation that was not subsequently overturned (e.g., PRIA reports, closed certificate suspensions, civil penalties, and revocations indefinitely). Note: Hiring employers may use a Freedom of Information Act (FOIA) request with a signed consent by the pilot-applicant to authorize the FAA to release records of Notices of Disapproval for flight checks for certificates and ratings to an air carrier making such a request. Hiring employer representatives involved in the pre-employment screening process may find this additional information helpful in evaluating the pilot-applicant. These requests, however, are not an integral part of the standard PRIA records request process. 3.10.3.18.1 Records Provided by Previous Employers. Previous employers will provide records pertaining to the pilot-applicant’s performance as a pilot, disciplinary actions, and release from employment. If the previous employer did not employ the individual as a pilot, but did conduct drug and alcohol testing under 49 CFR part 40, the previous employer will provide the necessary test results but may not have a full 5 years of results because other recordkeeping provisions apply for non-pilots. See paragraph 3.11.5 for the specific documents and information that those records will include. 3.10.3.18.2 Records Provided by the NDR. You should receive a report on the status of the pilot’s current state driver’s license from the chief driver licensing official of a state. A negative report (one with no action taken against the driver’s license) is considered a clean report. For a positive report (see below), you must send an additional NDR request directly to the state ### Page 67 3-14 identified in the report; when that state responds, the NDR process is complete for the purpose of PRIA. A positive report would include: • A record of any suspension or revocation of the pilot’s driver’s license from the previous 5-year period, including the state where the offense occurred; or • A record of any convictions of a DUI from the previous 5-year period, including the state where the offense occurred. 3.10.3.19 Maintain All PRIA-Related Records. Records received as the result of a PRIA records request must be maintained for a period of 5 years past the date on the original PRIA application in accordance with 49 U.S.C. § 44703(h)(4). 3.10.3.19.1 PRIA Records. File PRIA-related records separately from other company pilot records, or ensure they are easily retrievable from your primary system of records, to facilitate an internal review or FAA record surveillance. Ensure that individuals uninvolved in the hiring process do not view or have access to PRIA-related records. The one exception is the FAA inspector, who cannot be denied access to a PRIA-related system of records when conducting surveillance or inspection of those records. 3.10.3.19.2 Holding Records. If you initially considered hiring a pilot-applicant but ultimately did not, and did not request or receive PRIA-related records, then there are no PRIA records to maintain. You need to retain only those records that you requested and received under PRIA, regardless of whether the pilot-applicant was hired or completed training. 3.10.4 Exceptions and Special Rules Regarding Certain Pilots. 3.10.4.1 Pilots of Certain Small Aircraft. In accordance with 49 U.S.C. § 44703(h)(14)(A), you may allow a fully qualified individual to begin service for a period not to exceed 90 calendar-days as the pilot of an aircraft having a maximum payload capacity of 7,500 pounds or less (as defined in 14 CFR part 110, § 110.2) or a helicopter before receiving the required records from the pilot-applicant’s former employer(s) provided the following requirements are adhered to and documented: 1. The flight is not a scheduled operation (as defined in § 110.2). 2. You obtain and evaluate the PRIA records from the former employer(s) before the end of the 90-day period. 3. You obtain and evaluate DOT-related drug and alcohol testing records. In accordance with 49 CFR § 40.25(d), unless you have received and evaluated these records within 30 calendar-days of the initial request, you must not allow the individual to continue to perform as a pilot. In other words, failure to obtain the required DOT-related drug and alcohol testing records within 30 calendar-days of the request will invalidate the option of ### Page 68 3-15 this provision that allows the pilot to work for the initial 90-calendar-day period. The only exception would be if you made a documented, good faith effort to obtain those records. 4. The agreement between you and the pilot-applicant states that a favorable decision concerning the continued employment of the individual depends on the satisfactory evaluation of all PRIA records by company management. 3.10.4.2 Good Faith Exception. You may allow an individual to begin service as a pilot 30 calendar-days after submitting the request without first obtaining information from a previous employer that has gone out of business, is in bankruptcy, or is a foreign government or operator that employed the individual if you make a documented attempt to obtain such information, in accordance with 49 U.S.C. § 44703(h)(11)(B). 3.10.4.2.1 Send the PRIA records request (FAA Forms 8060-11, 8060-11A, and 8060-12) to the former employer as usual. We recommend that you send it through USPS (certified, return receipt requested) or a private mail carrier that documents the date of delivery. 3.10.4.2.2 If USPS returns the receipt or the envelope as undeliverable, keep these in the individual’s PRIA-related records file to document the attempt. You should attempt to follow up to determine if you can obtain a current address. If you don’t receive any response after the 30-calendar-day processing period, you are responsible for learning why the former employer did not comply with the PRIA records request and determine a satisfactory resolution. For drug and alcohol testing records, three attempts to obtain the records within a 30-calendar-day period would be considered a reasonable attempt to obtain the records. You may report a nonresponse to the Aviation Data Systems Branch PRIA program manager, who will attempt to determine if the former employer is still in business. 3.10.4.2.3 If a foreign air carrier never returns the records or it refuses to acknowledge or comply with the request, you may follow the provisions of the good faith exception and then either hire or decline to hire the pilot-applicant 30 calendar-days after submitting the request. 3.10.4.2.4 You must document that the air carrier or air operator who would be required to provide the information no longer exists, or that a foreign government or foreign entity holds the required information. Then, you can proceed with the hiring process 30 calendar-days after submitting the request to the former employer if you received all other components of the PRIA records request and deemed them acceptable. ### Page 69 3-16 3.10.4.3 Pilots Seeking Employment after Completing Military Duty. PRIA does not require the hiring employer to request or provide prior employment records for a pilot who has been an active member of any branch of the U.S. Armed Forces, the National Guard, or a reserve component of the U.S. Armed Forces for all or part of the previous 5-year period. You must still, however, query the FAA, NDR, and former employers other than the military, in accordance with PRIA. The suggested primary document to receive from the applicant to verify his or her previous military service is the Department of Defense (DOD) Form DD-214, Certificate of Release or Discharge from Active Duty. 3.10.5 PRIA Records after Cessation of Business, Liquidation, or Bankruptcy. 3.10.5.1 Cessation of Business. If an air carrier or operator ceases business or surrenders its 14 CFR part 119 certificate for any reason, there may not be personnel available to maintain records, as specified in 49 U.S.C. § 44703(h)(4), and therefore, no one to fulfill a PRIA records request after the date of cessation. In these cases, the requesting air carrier or operator should follow the provisions of the good faith exception of PRIA. 3.10.5.1.1 In order to extend the best opportunity for employment to former pilots, the air carrier or operator may maintain or hire one of their employees or another person to remain behind for a specified period of time for the purpose of receiving PRIA records requests and furnishing PRIA-related records. This would be an excellent service for those pilots who are continuing to pursue employment as a professional pilot, but would be an option only and is not a requirement of the statute. 3.10.5.2 Liquidation or Bankruptcy. If an air carrier or operator ceases business and goes into liquidation or bankruptcy, a trustee is generally assigned for the protection of the property and disbursement of certain assets according to the orders of the court, usually for a period of time that will be required for the completion toward that end. This would include all PRIA-related records that the air carrier or operator had maintained according to PRIA. 3.10.5.2.1 Even though the PRIA-related records may not be obtainable, action is required on the part of the person making the request to show evidence that an effort to obtain those records has been made. This is accomplished through the good faith exception. 3.10.5.2.2 A person making a request for PRIA-related records to an air carrier or operator that is currently being liquidated or known to be in bankruptcy should direct their request to the trustee of that company. For this reason, the requestor should be prepared to document their request with the good faith exception. ### Page 70 3-17 3.11 Information for Previous Employers Responding to PRIA Records Requests. 3.11.1 Role of Former Employers Responding to a PRIA Records Request. If you are an air carrier, air operator, or person receiving a PRIA records request for records concerning a former employee (i.e., pilot-applicant), you should furnish the appropriate records from the previous 5 years to the requestor no later than 30 calendar-days after receiving the request. Note: The 30-day period is 30 calendar-days, not 30 business-days. You are required to provide records pertaining to your former employee, that individual’s performance as a pilot, disciplinary actions (see paragraph 3.11.5.2), and release from employment. 3.11.2 Records You Must Maintain and How to Maintain Them. If you are required to maintain PRIA records, you should do so for a period specified in the statute as 5 years from the date on the application. It is suggested that PRIA records be maintained for the duration of a pilot’s employment with your company plus 5 years. You only need to retain those records that you requested and received under PRIA, regardless of whether the pilot-applicant was hired or completed training. You should file PRIA-related records separately from other company pilot records, or ensure they are easily retrievable from your primary system of records. Ensure that individuals uninvolved in the hiring process do not view or have access to PRIA-related records. The one exception is the FAA inspector, who cannot be denied access to a PRIA-related system of records when conducting surveillance or inspection of those records. Note: The 5-year period required by PRIA supersedes other references to records maintenance time periods in part 121, 125, or 135. 3.11.3 Documents You Should Receive from the Requestor. 3.11.3.1 Consent Release. You must not furnish any records to the requestor unless you have received a copy of the pilot-applicant’s written consent for you to release such information (e.g., FAA Form 8060-11) in accordance with 49 U.S.C. § 44703(h)(5). 3.11.3.2 The Pilot-Applicant’s Request for a Copy of the Pilot-Applicant’s Records. Pilots/applicants will use FAA Form 8060-11A to designate whether they want a copy of their records. If you receive a request without this form, consider it an incomplete request and return it for correction. 3.11.4 What You Must Provide to the Pilot-Applicant. In accordance with 49 U.S.C. § 44703(h)(6), within 20 calendar-days of receiving a PRIA records request, you must provide the pilot-applicant with written notification (e.g., postcard or letter) of the request and of the individual’s right to receive a copy of such records. You can also fulfill this requirement by providing a copy of the records to the individual within 20 calendar-days. However, you must provide the records to the requesting employer no later than 30 calendar-days after receiving the request, in accordance with 49 U.S.C. § 44703(h). ### Page 71 3-18 3.11.5 Specific Records You Must Furnish. Only furnish records from the past 5 years. You must not furnish a record entered more than 5 years before the date of the PRIA records request unless the information concerns a revocation or suspension of an airman certificate or motor vehicle license and the revocation or suspension is in effect on the date of the request. You must respond to the requestor (the hiring employer) within 30 calendar-days of receiving the PRIA records request, and provide records regarding: 3.11.5.1 Records Concerning Pilot Performance. Consistent with the statutory language and legislative history and intent of PRIA, records related to pilot performance encompass those records of an activity or event specifically related to an individual’s completion of the core duties and responsibilities of a pilot, as assigned by the employer and established by the FAA, to maintain safe aircraft operations. 3.11.5.1.1 What Is Pilot Performance? Pilot performance includes those aeronautical actions a pilot takes while in command of an aircraft in the air and on the ground to an acceptable level of competence. Specifically, this includes the manipulation of the controls along with all other related systems to safely and efficiently transport people and/or property by air from one location to another. This must be accomplished within the framework of FAA regulation and established company policy. 3.11.5.1.2 Records Related to Pilot Performance. These records are not limited solely to events arising out of the pilot’s demonstration of proficient flying skills and the demonstration of compliance with FAA regulatory requirements. A pilot’s duties and responsibilities to ensure safe aircraft operations also include demonstrating adherence to certain established company procedures during all aspects of an aircraft operation. This includes the procedural requirements for all phases of flight. 3.11.5.1.3 Records of Relevant Events. These records include certain events that occurred while on the ground during the preflight or post-flight activities in connection with a flight operation. Moreover, the duty to maintain a safe aircraft operation includes ensuring the safety of other crewmembers, passengers, cargo, the aircraft, the operating environment, and others operating within that environment. 3.11.5.2 Disciplinary Records Required to be Reported. Applying the meaning of “records related to pilot performance” in the context of disciplinary records that are maintained by a hiring employer, these records include those of any relevant disciplinary action as a result of an incident or other event that may have occurred in an operation under any part of 14 CFR, provided that operation was conducted by a pilot as part of that pilot’s duties for their employer and was thus responsible for safe aircraft operations. ### Page 72 3-19 3.11.5.2.1 Application of This Definition. All disciplinary records meeting this definition and adhering to the concept of paragraph 3.11.5.2 that may bring into question the pilot’s professional aeronautical competence must be reported in accordance with the statutory requirements found in 49 U.S.C § 44703(h)(1)(B)(ii). 3.11.5.2.2 Disciplinary Records Not Required to be Reported. Records of disciplinary actions not involving the Code of Federal Regulations (CFR), yet arising out of the pilot’s noncompliance with company policies unrelated to safe aircraft operations, are not the type contemplated by PRIA, and therefore, are not required to be reported. Examples might include: • A poor record of attendance, • A disregard of company dress codes, • An unfriendly or argumentative interaction with other company employees or the public, or • Other morality or behavior-based action unrelated to pilot performance. 3.11.6 Charging a Fee for Records That You Provide. If desired, you may establish a reasonable fee for the cost of processing the request and furnishing copies of the records. 3.11.6.1 Providing Records. While you may charge a reasonable sum for furnishing records, you must not withhold records until the hiring employer makes the payment. You must provide records within 30 calendar-days of receiving the request in accordance with 49 U.S.C. § 44703(h)(5). 3.11.6.2 Using PRIA. Employers should never use the PRIA statute as an instrument to: • Inflict excessive charges on another air carrier or air operator that is requesting records in accordance with PRIA, • Excessively attempt to profit from the transaction, or • Discourage another air carrier or air operator from submitting a request for pilot information related to PRIA. 3.11.7 Request the Pilot-Applicant to Sign a Limitation on Liability Release. Even though a limitation on liability already exists in the PRIA statute, a current or former employer can present a liability release for the pilot-applicant to sign. Such a release would limit the individual from seeking legal action against the current or former employer for furnishing PRIA records or for information you entered in that individual’s records. A pilot-applicant would sign and return the release. However, a current or former employer cannot withhold the requested records past the 30-calendar-day period allowed by statute while waiting for an individual to return the release. This limitation on liability does not apply if the current or former employer knowingly furnish false information or information maintained in violation of a criminal statute of the United States. ### Page 73 3-20 3.11.8 Records to Furnish if You Are a Part 91 Operator. Part 91 operators should respond to a PRIA records request regarding a former employee by providing any documents accumulated over the past 5 years that would provide relevant and useful background information concerning the pilot’s experience, proficiency, and safety history. If the operator does not have information concerning the individual, the operator should send a brief response to the records requestor stating so. 3.11.9 Records to Furnish if You Are a Part 121 Air Carrier. In response to a PRIA records request, a part 121 air carrier must furnish records pertaining to the individual (other than those relating to flight time, duty time, or rest time), including: 3.11.9.1 Compliance. Records that show whether the crewmember complied with the applicable subsections of § 121.683(a), including: 1. Proficiency and route checks. 2. Airplane and route qualifications. 3. Training. 4. Records of each action taken concerning the release from employment or physical or professional disqualification of the flightcrew member that the employer did not subsequently overturn. 3.11.9.2 Drug and Alcohol Testing. Records pertaining to the drug testing and alcohol misuse programs described in 14 CFR part 120, and maintained in accordance with 49 CFR § 40.333: 1. Confirmed alcohol test results indicating an alcohol concentration of 0.04 or greater. 2. Verified positive drug test results. 3. Documentation of refusals to take required alcohol and/or drug tests (including substituted or adulterated test results). 4. Documentation of other violations of DOT agency drug and alcohol testing regulations. 5. Substance Abuse Professional (SAP) reports. 6. All follow-up test results and schedules for follow-up tests, including documentation of the return-to-duty test. 7. Information obtained from previous employers under 49 CFR § 40.25 concerning drug and/or alcohol violations. 8. Records of negative and canceled drug test results, and confirmed alcohol test results with an alcohol concentration of less than 0.039. 3.11.10 Records to Furnish if You Are a Part 125 Air Operator. In response to a PRIA records request, part 125 air operators must furnish records pertaining to the individual (other than those relating to flight time, duty time, or rest time), including records that show ### Page 74 3-21 whether the crewmember complied with the applicable provisions of § 125.401(a). This includes: • Checks. Proficiency and route checks. • Qualifications. Airplane qualifications. • Disqualification. Records of each action taken concerning the release from employment or physical or professional disqualification of the flightcrew member that the employer did not subsequently overturn. 3.11.11 Records to Furnish if You Are a Part 135 Air Carrier or Operator. In response to a PRIA records request, part 135 air carriers or air operators must furnish records pertaining to the individual (other than those relating to flight time, duty time, or rest time), including: 3.11.11.1 Compliance. Records that show whether the pilot complied with the applicable subsections of § 135.63(a)(4), including: 1. Full name. 2. Pilot certificate (by type and number) and ratings held. 3. Aeronautical experience. 4. Current duties and the date of assignment to those duties. 5. Date and result of each of the initial and recurrent competency tests and proficiency and route checks required by part 135 and the type of aircraft flown during that test or check. 6. Check pilot authorization, if any. 7. Release from employment for physical or professional disqualification that the employer did not subsequently overturn. 8. Date of the completion of the initial phase and each recurrent phase of the training required by part 135. 3.11.11.2 Drug and Alcohol Testing. Records pertaining to drug and alcohol testing described in part 120 and maintained in accordance with 49 CFR § 40.333, including: 1. Confirmed alcohol test results indicating an alcohol concentration of 0.04 or greater. 2. Verified positive drug test results. 3. Documentation of refusals to take required alcohol and/or drug tests (including substituted or adulterated test results). 4. Documentation of other violations of DOT agency drug and alcohol testing regulations. 5. SAP reports. ### Page 75 3-22 6. All follow-up test results and schedules for follow-up tests, including documentation of the return-to-duty test. 7. Information obtained from previous employers under 49 CFR § 40.25 concerning drug and/or alcohol violations. 8. Records of negative and canceled drug test results, and confirmed alcohol test results with an alcohol concentration of less than 0.039. 3.11.12 Lost or Destroyed PRIA Records. If your PRIA-related records have been legitimately lost or destroyed (e.g., from a flood, hurricane, or fire), you must still respond to a PRIA records request. 3.11.12.1 Record Availability. First, verify whether any records are available, perhaps maintained at another location or by another service agent (e.g., a drug and alcohol testing agent). Then, prepare a statement declaring that the requested records have been legitimately lost or destroyed, and are not available for forwarding per the request. The person preparing this statement should verify the loss by signature. 3.11.12.2 Deadline. Return this statement and any records you were able to recover to the requestor within 30 calendar-days from when you received the request to fulfill your responsibility. Note: You cannot use this provision as an excuse to avoid providing the requested records. If providing a statement that your records have been lost or destroyed, you must verify that this is actually the case to ensure you are not falsifying a record. 3.12 PRIA Considerations for the Hiring Employer. 3.12.1 PRIA Office Procedures and Compliance Checklist. While PRIA does not require you to establish and maintain a written office procedure for completing the PRIA records request process, we recommend that you establish one. You can obtain a generic office procedure and compliance checklist that you can customize from the PRIA website at https://www.faa.gov/pilots/lic_cert/pria/requesting. 3.12.2 Assign PRIA Duties to a DA or Proxy. You can hire a DA or proxy to conduct the task of requesting records under PRIA. 3.12.2.1 DA or Proxy. A DA cannot retain any of these records in their own system. PRIA requires those records to be reviewed by an air carrier and therefore a DA must forward to you any records received within the required period of time, using appropriate measures to ensure the privacy and security of those records. 3.12.2.2 DA Responsibilities. Unless your company PRIA representative signs all of the completed request forms, he or she will prepare and sign a designation letter that verifies the DA’s responsibility over the PRIA records request ### Page 76 3-23 process. The DA will include this letter in its request for FAA records (FAA Form 8060-10). On FAA Form 8060-12, the contracting company will specifically name the DA as the recipient of the documents. Under 49 CFR §§ 40.321(b) and 40.351(d), the contracting company must name the DA as the recipient of the documents, and blanket releases are explicitly prohibited. A designation letter is not required for requests to a previous employer or to the NDR. Designation letters are a specific requirement for requests to the FAA only. 3.12.2.3 Former Employer. If a former employer does not provide records after 30 calendar-days, the DA should immediately notify you. You are responsible for determining why the former employer did not comply with the PRIA records request and determine a satisfactory resolution, unless you designate this responsibility to the DA. Note: A guidance document titled: “PRIA Instructions for the Designated Agent (DA)” is available on the PRIA website at https://www.faa.gov/pilots/lic_cert/pria/requesting. 3.12.3 Resolve Noncompliance with Your PRIA Records Requests. If a pilot-applicant’s former employer fails to respond within 30 calendar-days of receiving your PRIA records request, you should take immediate follow-up action to determine why this noncompliance has occurred to document use of the good faith exception set forth in 49 U.S.C. § 44703(h)(14)(B). If you used a DA to conduct your PRIA records requests, the DA will notify you of the noncompliance when the 30-day period ends. You are responsible for determining why the former employer did not comply with the PRIA records request and determine a satisfactory resolution, unless you designate this responsibility to the DA. The FAA recommends that you (or the DA): 1. Contact the nonresponsive previous employer to determine whether it actually received the request and whether it was the company that should have received the request, since many companies have similar names. 2. Check whether the correct fax number or address was used. 3. Contact the pilot-applicant to verify that the information he or she provided concerning the previous employer was correct. 4. Determine the status of the former employer (i.e., whether it is still in business or has ceased operations, is in bankruptcy, or if its Operating Certificate is still current). If you cannot determine the company’s status, contact the PRIA program manager for assistance. If the former employer is out of business or in bankruptcy, follow the provisions of the good faith exception (see paragraph 2.7.6). After completing the request, file the results in the pilot-applicant’s PRIA records file. 5. If the respondent is still operational, you can report the noncompliance to the PRIA program manager for limited assistance. Contact the Aviation Data Systems Branch at 405-954-6367. ### Page 77 3-24 3.12.4 Actions to Take if a Former Employer Reports Lost or Destroyed PRIA Records. When PRIA-related records have been legitimately lost or destroyed, follow the intent of the good faith exception. Sometimes a previous employer is unable to comply with a PRIA records request because the records no longer exist (e.g., from a flood, hurricane, or fire). 3.12.4.1 Respondent Statement. You should receive a statement from the respondent declaring that the requested records have been legitimately lost or destroyed, and are not available for the former employer to forward per the request. This former employer should send the statement within 30 calendar-days of receiving your request. 3.12.4.2 Good Faith Exception. You may then follow the intent of the good faith exception. After receiving this notification and fulfilling all of your other PRIA responsibilities, you are free to either hire or decline to hire the pilot. 3.12.4.3 Filing. File the respondent’s statement in the pilot-applicant’s PRIA-related records file for future reference and inspection by the FAA. 3.12.5 PRIA Obligations for Pilot Furloughs and Leaves of Absence. 3.12.5.1 Initial Check. PRIA only requires you to complete an initial records check for a new hire pilot. If a pilot returns to work after a furlough or extended period of personal leave, military leave, medical leave, or other authorized absence, PRIA does not require or provide authority for you to perform any type of recurrent background check on that pilot. In accordance with 49 CFR § 40.25, whether you must request additional drug and alcohol testing records for a pilot returning to work from a furlough or other extended leave of absence depends on your understanding of that absence. 3.12.5.2 If Pilot was Terminated. If the pilot was terminated, you should consider the returning individual as a newly hired employee and initiate a completely new PRIA records request. Request drug and alcohol records in accordance with 49 CFR § 40.25 using FAA Form 8060-12. 3.12.5.3 If Pilot was Furloughed or on Extended Leave. If the pilot was furloughed or on other extended leave, you can consider the individual as having been in a “non-paid” status and, therefore, not a newly hired employee. In this case, requesting drug and alcohol testing records would be at your discretion. Because PRIA (and the use of FAA Form 8060-12) is only for initial requests for newly hired employees, a PRIA records request for drug and alcohol testing records would be inappropriate. 3.12.6 Certificates. If your company policy requires confirmation that the pilot still holds a current medical and airman certificate, do not submit a PRIA records request to the Aviation Data Systems Branch. You should instead send a request to the Aviation Data Systems Branch under the authority of the Privacy Act or FOIA to determine the status of those certificates. Instructions on preparing and submitting an FOIA or Privacy Act ### Page 78 3-25 request are available on the PRIA website at https://www.faa.gov/pilots/lic_cert/pria/guidance. Note: Part 120 requires return-to-duty testing independent of any PRIA implications for furlough or extended leave discussed in this section. 3.12.7 PRIA Management by a Major Holding Company. PRIA gives the certificate holder the primary responsibility for completing PRIA records requests. A major holding company is not authorized to complete PRIA records requests. However, at your discretion, you can request that your holding company act as your DA to complete all PRIA paperwork and maintain all original PRIA records at the holding company’s location. 3.12.7.1 Holding Company. As your DA, the holding company can maintain any or all of the following PRIA records in its human resources office: • All company personnel records. • Original PRIA reports. • Other appropriate employment records. 3.12.7.2 Records. You can maintain any or all of the following PRIA records at your office: • Training and other required records. • Copies of PRIA reports. Note: If you, not your holding company, complete your PRIA records requests, maintain all of the original records at your location and provide copies to your holding company. 3.12.7.3 Transfer. If a pilot transfers to your company from another air carrier or air operator, and you are both owned by the same major holding company but you are each assigned a different and unique certificate number, you must conduct a PRIA records request before that pilot transfers. If the pilot has worked for other employers during the previous 5-year period as well, you must also contact those former employers for PRIA records. Note: A company that provides contract pilot services to other air carriers may also act as a DA in the PRIA process. The process of providing the services of contract pilots may differ slightly from that of a major holding company, but as long as the primary employer has accomplished all PRIA background checks and the records have been maintained, the intent of the PRIA statute will have been satisfied. 3.12.7.4 Checks. PRIA checks for bought or merged companies. ### Page 79 3-26 3.12.7.4.1 As one air carrier acquires another, the new company is accepting responsibility for the pilots of the air carrier being acquired and should exercise prudent judgment to ensure that either a current PRIA records request has been completed or that new PRIA records requests are submitted for the new pilots. 3.12.7.4.2 If one air carrier acquires another by sale or merger, the acquired company remains intact with no change in the Air Carrier Certificate number and the pilots continue to work for the acquiring air carrier, the current PRIA file should be sufficient. The acquiring air carrier, however, must inspect company records to verify that all pilots have current PRIA checks. 3.12.7.4.3 If, however, in the process of the sale or merger, the Air Carrier Certificate number changes, the acquiring company will complete new PRIA checks. A pilot cannot transfer his or her current PRIA file from one air carrier to another (i.e., you cannot take it with you). In addition, a PRIA file will lose its validity if the chain of custody of the records between one air carrier and another is broken. 3.12.7.5 Foreign Testing. Foreign air carriers do not conduct drug and alcohol testing under the FAA’s regulations. Therefore, they will not have the drug and alcohol testing records normally required by PRIA and 49 CFR § 40.25. 3.12.8 Pilots Formerly Employed by Foreign Employers. 3.12.8.1 PRIA Check. If you want to hire a pilot who has worked as a pilot for a foreign employer, you should request that individual’s PRIA records from that employer. In some cases, the pilot may not have a U.S. driver’s license, so make a note of that in his or her file. If the foreign pilot does hold a U.S. driver’s license, you must query the NDR in accordance with 49 U.S.C. § 44703(h)(1)(C). Use of foreign pilots may vary from permanent employees to seasonal work in which the foreign pilots return to their own country during the off-season. Potential employers should also request records for U.S. pilots who previously worked for a foreign employer. 3.12.8.2 Certificates. To participate in any U.S. commercial operation, a foreign pilot must hold both U.S. medical and airman certificates. The Aviation Data Systems Branch will verify those certificates upon receipt of a request from a hiring employer. 3.12.8.3 Foreign Employer. You should also query the foreign employer in accordance with the best practices presented in this AC. Forward the request certified, return receipt requested, or other similar instrument that will document the date of delivery. If the foreign employer never returns the records or if it refuses to acknowledge or comply with the request, you may follow the provisions of the good faith exception and then either hire or decline to hire the foreign pilot. ### Page 80 3-27 3.12.8.4 Foreign Testing. Foreign air carriers do not conduct drug and alcohol testing under the FAA’s regulations. Therefore, they will not have the drug and alcohol testing records normally required by PRIA and 49 CFR § 40.25. 3.12.9 Pilots Formerly Employed by a Government Agency. If the pilot previously worked for a government agency (Federal, state, or local), you must query that agency in accordance with 49 U.S.C. § 44703(h)(1)(B). However, do not use FAA Forms 8060-11 and 8060-11A. Instead, send a letter requesting the appropriate pilot safety-related records, including any available drug and alcohol testing records. 3.12.9.1 Foreign Agency. Forward the letter of request to the most recent flight operations manager of the appropriate agency, region, and/or office that employed the pilot-applicant. Obtain the address of the agency that employed the pilot-applicant, since there is no central office for the processing of these requests. If these records have already been retired and subsequently sent to a records-holding area, personnel, or a human resources department, the government agency should forward the request accordingly. 3.12.9.2 Background Information. In the letter, ask for records that would provide any appropriate background information concerning the pilot’s flight training, experience and qualifications, proficiency, other related safety history, and drug and alcohol testing records, and any subsequent actions taken as a result of those tests. 3.12.9.3 Release. Have the pilot-applicant provide a brief statement and a signature consenting to the release of this information, either contained within the letter of request or as a separate attachment to the letter. 3.12.9.4 Testing. Government agencies do not conduct drug and alcohol testing under the FAA’s regulations. Therefore, they will not have the drug and alcohol testing records required by PRIA and 49 CFR § 40.25. 3.12.9.5 Forms. You must also request records from the FAA, other employers, and the NDR using FAA Forms 8060-10 and 8060-13 in accordance with PRIA. 3.12.10 Failure to Pay for Records Requested Through PRIA. A pilot-applicant’s former employer can bill you for the cost of processing the PRIA records request and furnishing copies of the records. However, that employer must still furnish PRIA records to you no later than 30 calendar-days after receiving the request in accordance with 49 U.S.C. § 44703(h)(5); it cannot withhold the records pending your payment. Any dispute between you and that company regarding payment for the PRIA records would take place in civil court if you are unable to resolve the issue yourselves. 3.12.11 Access of PRIA-Related Records to FAA Inspectors. 3.12.11.1 Employer. A hiring air carrier or air operator cannot use 49 U.S.C. § 44703(h)(11) to deny an FAA inspector access to PRIA-related records for audit or surveillance. ### Page 81 3-28 3.12.11.2 U.S. Code and 14 CFR. Title 49 U.S.C. § 41709 and 14 CFR §§ 119.59 and 135.73 authorize the FAA inspector assigned to that company to access those records. As a result, the inspector must always have free and unlimited access to a company’s PRIA-related records at any time during the course of that inspector’s normal surveillance or inspection duties. 3.12.11.3 Record Denial. Section 119.59(e) states that the failure by any certificate holder to make available to the Administrator upon request, the certificate, OpSpecs, or any required record, document, or report is grounds for suspension of all or any part of the certificate holder’s certificate and OpSpecs, to include PRIA records. 3.12.11.4 Privacy. Each FAA inspector, however, having viewed such records, also becomes subject to the privacy protection conditions as outlined in 49 U.S.C. § 44703(h)(11). Therefore, the FAA inspector must make every effort to protect the privacy of the pilot and the confidentiality of the PRIA-related records of that pilot. 3.12.11.5 Use of Digital Signatures on FAA 8060 Series Forms. When submitting any FAA forms from the 8060 series, any signature lines must be signed by the appropriate individual in ink. Digital or electronic signatures are not accepted. However, after the forms are signed in ink, they may then be scanned to facilitate easier submission to the FAA for processing. ### Page 82 **4-1 CHAPTER 4. ADMINISTRATIVE INFORMATION** 4.1 PRIA-Related Regulations. • Title 14 of the Code of Federal Regulations (14 CFR) Parts 121, 125, and 135. • Title 49 of the United States Code (49 U.S.C.) §§ 40102(a)(2), (5), (25), (27), and (37), and 44703(h)(1)(B). • Certain U.S. transportation laws in 49 U.S.C. 4.2 Definitions. The following definitions are relevant to PRIA and Chapter 3. PRD and part 111 are described in Chapter 2. 4.2.1 Terms Related to Commercial Air Transportation. 1. Air Carrier. “A citizen of the United States undertaking by any means, directly or indirectly, to provide air transportation.” This includes operations using common carriage or holding out to the general public and being willing to furnish such air transportation for compensation. (Refer to 49 U.S.C. § 40102(a)(2).) 2. Air Operator. A person operating or intending to operate a civil aircraft when common carriage is not involved in a noncommercial operation. (Refer to part 125.). 3. Air Transportation. “Foreign air transportation, interstate air transportation, or the transportation of mail by aircraft.” (Refer to 49 U.S.C. § 40102(a)(5).) 4. Common Carriage. For the purpose of this advisory circular (AC), common carriage means any operation for compensation or hire in which an operator holds itself out (by advertising or any other means) as willing to furnish transportation for any member of the public who seeks the services that the operator is offering. 5. Interstate Air Transportation. “The transportation of passengers or property by aircraft as a common carrier for compensation, or the transportation of mail by aircraft— (A) between a place in— (i) a State, territory, or possession of the United States and a place in the District of Columbia or another State, territory, or possession of the United States; (ii) Hawaii and another place in Hawaii through the airspace over a place outside Hawaii; (iii) the District of Columbia and another place in the District of Columbia; or (iv) a territory or possession of the United States and another place in the same territory or possession; and (B) when any part of the transportation is by aircraft.” (Refer to 49 U.S.C. § 40102(a)(25).) ### Page 83 4-2 6. Intrastate Air Transportation. “The transportation by a common carrier of passengers or property for compensation, entirely in the same State, by turbojet-powered aircraft capable of carrying at least 30 passengers.” (Refer to 49 U.S.C. § 40102(a)(27).) 7. Person. A person includes “corporations, companies, associations, firms, partnerships, societies, and joint stock companies, as well as individuals.” (Refer to Title 1 of the United States Code (1 U.S.C.) § 1.) In addition, a person “includes a governmental authority and a trustee, receiver, assignee, and other similar representative.” (Refer to 49 U.S.C. § 40102(a)(37).) 4.2.2 Terms Related to a Professional Pilot’s Employment. 1. Hired and Employed. The point when a pilot has been offered, and has accepted, a position as a pilot with an operator. Under the drug and alcohol testing regulations, “hire” is defined as “retaining an individual for a safety sensitive function as a paid employee, as a volunteer, or through barter or other form of compensation.” (Refer to 14 CFR part 120.) 2. Pilot Training Records. Records pertaining to the individual, to the individual’s performance as a pilot, disciplinary actions, and release from former employment. 3. Placed into Service. Upon completion of the required company training, a pilot is released for service to begin performance as a pilot, usually under the supervision of a Chief Pilot or a training captain, for the prescribed period of time or flight hours. Under PRIA, a pilot cannot be placed into service until the hiring employer has requested, received, and evaluated the required records requested under PRIA, unless a good faith or other exception applies. 4. Records. As used in this AC, records mean the individual’s pilot records that are maintained by an air carrier, air operator, or person to meet the statutory requirements of 49 U.S.C. § 44703(h)(1)(B), as well as the individual’s pilot records that the air carrier or operator maintains to meet the regulatory requirements of the 14 CFR authority under which it operates. 4.3 Commonly Used Acronyms and Abbreviations. 1. Title 14 CFR—Title 14 of the Code of Federal Regulations. 2. Title 49 CFR—Title 49 of the Code of Federal Regulations. 3. Title 49 U.S.C.—Title 49 of the United States Code. 4. AC—Advisory Circular. 5. DA—Designated Agent. 6. DMV—Department of Motor Vehicles. 7. DOT—Department of Transportation. 8. FAA—Federal Aviation Administration. 9. NDR—National Driver Register. ### Page 84 4-3 10. NTSB—National Transportation Safety Board. 11. POI—Principal Operations Inspector. 12. PRIA—Pilot Records Improvement Act of 1996. 4.4 Other PRIA Resources. The Aviation Data Systems Branch has developed numerous resources that will provide the air carrier, operator, or other customer with general assistance concerning initial familiarization, operational use, or other applications of PRIA. These and other PRIA resources are available on the PRIA website at https://www.faa.gov/pilots/lic_cert/pria/guidance. 4.5 PRIA Contact Information. Direct PRIA records requests or production inquiries to the Aviation Data Systems Branch’s PRIA production staff at 9-amc-afs620-pria@faa.gov. Direct PRIA policy or compliance inquiries to the Aviation Data Systems Branch’s PRIA program manager at 405-954-4646. 4.6 AC Feedback Form. For your convenience, the AC Feedback Form is the last page of this AC. Note any deficiencies found, clarifications needed, or suggested improvements regarding the contents of this AC on the Feedback Form. ### Page 85 Appendix A A-1 APPENDIX A. TRAINING, QUALIFICATION, AND PROFICIENCY RECORDS Table A-1. Data Fields Data Field Description Reporting Entity Designator: Designator (or PRD equivalent) of the air carrier or operator entering the record (automatically populates with assigned credential). Reporting Entity Name: Name of the certificate holder or operator as it appears on the certificate or is otherwise recorded in the FAA records (automatically populates with assigned credential). Pilot Certificate Number: Certificate number of the pilot. Pilot Last Name: Name of the pilot as it appears on their certificate. Start Date: YYYYMMDD – Date the event commenced. End Date: YYYYMMDD – Date the event was completed or otherwise no longer in progress. Aircraft Make/Model: The aircraft or aircraft represented that was used for the event. Valid values: List of standard values listed in FAA Order 8900.1. Duty Position: The position for which the event is related. Valid values: • PIC (Pilot in command) • SIC (Second in command) Training/Testing Program: The type of training program in place at the air carrier/operator. Valid values: • 121NO – Part 121 carrier with an approved training program under part 121 subparts N and O. • 121Y – Part 121 air carrier or operator with an approved training program under part 121 subpart Y. • 135 – Part 135 air carrier or operator approved training program. • 135NO* – Part 135 air carrier with an approved training program under part 121 subparts N and O. • 135Y* – Part 135 air carrier with an approved training program under part 121 subpart Y. • 125 – Part 125 operator testing events. • 91K – Part 91 subpart K approved training. • 91KNO* – Part 91 subpart K approved training program in accordance with part 121 subparts N and O. • 91KGH* – Part 91 subpart K approved training program in accordance with part 135 subparts G and H. • 91PAC – Part 91 corporate flight department, commercial air tour operator, and public aircraft operator. ### Page 86 Appendix A A-2 Data Field Description Training Event: See appropriate training record table for each individual air carrier or operator. • 121NO: Table A-2 • 121Y: Table A-3 • 135: Table A-4 • 135NO: Table A-2 • 135Y: Table A-3 • 125: Table A-5 • 91K: Table A-6 • 91KNO: Table A-2 • 91KGH: Table A-4 • 91PAC: Table A-7 Results: The final results of the training event. Valid values: Satisfactory (Complete) Unsatisfactory (Incomplete) Evaluator Comments: Comments provided by check pilot, aviation safety inspector, evaluator, or designee pursuant to 49 U.S.C. § 44703(i). Do not enter comments from other evaluators such as flight instructors in accordance with 14 CFR part 111, § 111.235. Other Event Description: Description to clarify training event when “other” is selected. Required if a training event of “Other” is selected from Tables A-2 through A-7. Unsatisfactory Tasks or Maneuvers: List any tasks or maneuvers which were attempted but not completed satisfactorily in the comment field. Incomplete Tasks or Maneuvers: List any tasks or maneuvers which were not attempted but were otherwise required to have been completed in the comment field. * Training programs approved through a different rule part are not displayed within the tables since all of the training requirements of a particular training subpart must be met through the contents displayed throughout the associated subpart table. ### Page 87 Appendix A A-3 Table A-2. Part 121 Subparts N and O Training Record Options Data Element Regulation Allow Evaluator’s Comments Task or Maneuver Which was Unsatisfactory or Incomplete Description Basic Indoctrination 121.415(a)(1) N/A N/A Training for newly hired crewmembers on their duties and responsibilities, regulations, and contents of the certificate holder’s operations specifications and manuals. Initial Training 121.419, 121.424 N/A N/A Training for pilots who have not held a flightcrew member position with the certificate holder previously. Transition Training 121.419, 121.424(a) N/A N/A Training for pilots who have qualified and served in the same capacity on another airplane of the same group. Upgrade Training 121.419, 121.424 N/A N/A Training required for pilots who have qualified and served as SIC on a particular airplane type, before they serve as PIC on that airplane. Conversion Training 121.419, 121.424 N/A N/A Training for a flightcrew member who has been previously trained and qualified as a Flight Engineer (FE) by the certificate holder and is being reassigned as an SIC to the same aircraft type for which the flightcrew member was previously trained and qualified. Differences Training 121.418(a) N/A N/A Training required for pilots who have qualified and served on a particular type airplane when the Administrator finds it is necessary before a crewmember serves in the same capacity on a particular variation of that airplane. ### Page 88 Appendix A A-4 Data Element Regulation Allow Evaluator’s Comments Task or Maneuver Which was Unsatisfactory or Incomplete Description Requalification Training 121.427 N/A N/A Training required for pilots previously trained and qualified, but who have become unqualified due to not having met the recurrent training requirements of § 121.427 or the proficiency check requirements of § 121.441. Emergency Training 121.417(c)(1) N/A N/A Emergency training using those items of installed emergency equipment for each type of airplane in which the pilot is to serve. Recurrent Training 121.427(c)(1)(i), 121.427(e)(1) N/A N/A Training for the pilot at a regularly scheduled interval to ensure proficiency with respect to the airplane type. Remedial Training 121.415(j) N/A N/A Training required for pilots who have been identified as having performance deficiencies during training and checking and/or multiple failures during checking. Operating Experience 121.434(c) Yes Required if unsatisfactory or incomplete Initial operating experience. Reestablish Recency of Experience 121.439(b) N/A N/A Training to meet the currency requirements of § 121.439(a). Line Check 121.440(a) Yes Required if unsatisfactory or incomplete Required line check by an approved individual for the PIC. Proficiency Check 121.441 Yes Required if unsatisfactory or incomplete Required proficiency check conducted by a check pilot, Aircrew Program Designee or FAA inspector. Conversion Training 121.419 N/A N/A Training required for flightcrew members who have qualified and served as an FE on a particular airplane type, before they serve as SIC on that airplane. ### Page 89 Appendix A A-5 Data Element Regulation Allow Evaluator’s Comments Task or Maneuver Which was Unsatisfactory or Incomplete Description Extended Envelope Training 121.423 N/A N/A Training for flightcrew members includes stall and upset prevention and recovery training. Leadership and Command and Mentoring Training 121.429 N/A N/A Leadership training for PICs. Other Other Optional Optional A pilot training or performance record kept in accordance with §§ 121.683 and 121.415(h). ### Page 90 Appendix A A-6 Table A-3. Part 121 Subpart Y Training Record Options Data Element Regulation Allow Evaluator’s Comments Task or Maneuver Which was Unsatisfactory or Incomplete Description Indoctrination Curriculum 121.911 N/A N/A The certificate holder’s policies and operating practices and general operational knowledge appropriate to the duty position. Qualification Curriculum 121.913(b) N/A N/A Training, evaluation, and certification activities that are aircraft- and equipment-specific to qualify a person for a particular duty position on, or duties related to the operation of, a specific make, model, series, or variant aircraft. Qualification Curriculum – Special Qualification Training 121.913 N/A N/A Training conducted by a certificate holder to qualify flightcrew members beyond the scope of basic training. Qualification Curriculum – Systems Knowledge Validation 121.913 N/A N/A Assessment of an individual’s technical systems knowledge. Qualification Curriculum – Maneuvers Validation 121.913 Yes Required if unsatisfactory or incomplete Validation of an individual’s proficiency in the execution of maneuvers. Qualification Curriculum – Line Operational Evaluation 121.913(b) Yes Required if unsatisfactory or incomplete A means to evaluate a pilot’s proficiency in the performance of their duties in their assigned tasks in an operational setting. Qualification Curriculum – Operating Experience 121.913(c) Yes Required if unsatisfactory or incomplete Initial operating experience. ### Page 91 Appendix A A-7 Data Element Regulation Allow Evaluator’s Comments Task or Maneuver Which was Unsatisfactory or Incomplete Description Qualification Curriculum – Line Check 121.913(c) Yes Required if unsatisfactory or incomplete For flightcrew members: Initial line check. Qualification Curriculum – Special Tracking 121.913(b)(4) N/A N/A When an air carrier has assigned a pilot to an augmented schedule of training, checking, or both. Continuing Qualification Curriculum 121.915(a)(2)(ii) N/A N/A Training, evaluation, and certification activities that are aircraft- and equipment-specific to qualify a person for a particular duty position on, or duties related to the operation of, a specific make, model, series, or variant aircraft. Continuing Qualification Curriculum – Special Qualification Training 121.915 No N/A Training conducted by a certificate holder to qualify flightcrew members beyond the scope of basic training. Continuing Qualification Curriculum – Maneuvers Validation 121.915 Yes Required if unsatisfactory or incomplete Validation of an individual’s proficiency in the execution of maneuvers. Continuing Qualification Curriculum – Line Operational Evaluation 121.915(b)(1)(i) Yes Required if unsatisfactory or incomplete A means to evaluate a pilot’s proficiency in the performance of their duties in their assigned tasks in an operational setting. Continuing Qualification Curriculum – Line Check 121.915(b)(2)(i) Yes Required if unsatisfactory or incomplete Line checks. ### Page 92 Appendix A A-8 Data Element Regulation Allow Evaluator’s Comments Task or Maneuver Which was Unsatisfactory or Incomplete Description Continuing Qualification Curriculum – Special Tracking 121.915(a) N/A N/A When an air carrier has assigned a pilot to an augmented schedule of training, checking, or both. Secondary Curriculum – Transition 121.434 N/A N/A This curriculum is applicable for an employee who has been previously trained and qualified in a specific duty position by the certificate holder and is being assigned the same duty position on a different aircraft. Secondary Curriculum – Conversion 121.434 N/A N/A This curriculum is for an employee who has been previously trained and qualified as an FE for the certificate holder and is being assigned as an SIC for the same aircraft type in which he or she was previously trained and qualified. Secondary Curriculum – Upgrade 121.434 N/A N/A This curriculum is for an employee who has been previously trained and qualified as an SIC for the certificate holder and is being assigned as a PIC for the same aircraft type in which he or she was previously trained and qualified. Secondary Curriculum – Requalification 121.915(e) N/A N/A The individual must be requalified under a secondary curriculum to resume serving in that duty position. Secondary Curriculum – Refresher 121.434 N/A N/A This curriculum is for an individual who has not met the time requirements of consolidation. Other Other Optional Optional A pilot training or performance record kept in accordance with §§ 121.683 and 121.415(g). ### Page 93 Appendix A A-9 Table A-4. Part 135 Training Record Options Data Element Regulation Allow Evaluator’s Comments Task or Maneuver Which was Unsatisfactory or Incomplete Description Initial Knowledge Test; Written/Oral 135.293(a) Yes Required if unsatisfactory or incomplete Knowledge testing. Recurrent Knowledge Test; Written/Oral 135.293(a) Yes Required if unsatisfactory or incomplete Knowledge testing. Initial Competency Check 135.293(b) Yes Required if unsatisfactory or incomplete Flight test to meet the currency requirements of § 135.293. Recurrent Competency Check 135.293(b) Yes Required if unsatisfactory or incomplete Flight test to meet the currency requirements of § 135.293. Instrument Proficiency Check 135.297 Yes Required if unsatisfactory or incomplete Instrument proficiency check (IPC). Initial Line Check 135.299 Yes Required if unsatisfactory or incomplete A line check for the PIC. Recurrent Line Check 135.299 Yes Required if unsatisfactory or incomplete A line check for the PIC. Initial Training 135.345, 135.347 N/A N/A The training required for crewmembers who have not qualified and served in the same capacity on an aircraft. Transition Training 135.345, 135.347 N/A N/A The training required for crewmembers who have qualified and served in the same capacity on another aircraft. Upgrade Training 135.345, 135.347 N/A N/A The training required for crewmembers who have qualified and served as SIC on a particular aircraft type, before they serve as PIC on that aircraft. ### Page 94 Appendix A A-10 Data Element Regulation Allow Evaluator’s Comments Task or Maneuver Which was Unsatisfactory or Incomplete Description Differences Training 135.345, 135.347 N/A N/A The training required for crewmembers who have qualified and served on a particular type aircraft, when the Administrator finds differences training is necessary before a crewmember serves in the same capacity on a particular variation of that aircraft. Recurrent Training 135.351(b), 135.351(c) N/A N/A The training required for crewmembers to remain adequately trained and currently proficient for each aircraft, crewmember position, and type of operation in which the crewmember serves. Requalification Training 135.321(a)(8) N/A N/A The training required for crewmembers previously trained and qualified, but who have become unqualified due to not having met within the required period. Initial Crew Resource Management Training 135.330 N/A N/A Crew resource management training. Recurrent Crew Resource Management Training 135.330 N/A N/A Crew resource management training. Emergency Training 135.331 N/A N/A Each training program must provide emergency training under this section for each aircraft type, model, and configuration, each crewmember, and each kind of operation conducted, as appropriate for each crewmember and the certificate holder. Other Other Optional Optional A pilot training or performance record kept in accordance with § 135.329(e). ### Page 95 Appendix A A-11 Table A-5. Part 125 Testing Record Options Data Element Regulation Allow Evaluator’s Comments Task or Maneuver Which was Unsatisfactory or Incomplete Description Initial Knowledge Test; Written/Oral 125.287(a) Yes Required if unsatisfactory or incomplete Knowledge testing. Recurrent Knowledge Test; Written/Oral 125.287(a) Yes Required if unsatisfactory or incomplete Knowledge testing. Initial Competency Check 125.287(b) Yes Required if unsatisfactory or incomplete Flight test to meet the currency requirements of § 125.287(b). Recurrent Competency Check 125.287(b) Yes Required if unsatisfactory or incomplete Flight test to meet the currency requirements of § 125.287(b). Instrument Proficiency Check 125.291 Yes Required if unsatisfactory or incomplete Testing requirements to meet the initial qualifications of a PIC for part 125 operations. Other Other Optional Optional A pilot training or performance record kept in accordance with § 125.401. ### Page 96 Appendix A A-12 Table A-6. Part 91 Subpart K Fractional Ownership Operator’s Training Record Options Data Element Regulation Allow Evaluator’s Comments Task or Maneuver Which was Unsatisfactory or Incomplete Description Initial Training 91.1101, 91.1081(b) N/A N/A Initial training requirements to meet the initial qualifications of a pilot in part 91 subpart K operations. Transition Training 91.1101, 91.1081(b) N/A N/A Training requirements to meet the transition qualifications of a pilot in part 91 subpart K operations. Upgrade Training 91.1101, 91.1103 N/A N/A Training requirements to meet the upgrade qualifications of a pilot in part 91 subpart K operations. Differences Training 91.1097(b)(4) N/A N/A Training requirements to meet the differences qualifications of a pilot in part 91 subpart K operations. Recurrent Training 91.1107(b), 91.1107(c) N/A N/A Continuing training requirements to meet the qualifications of a pilot in part 91 subpart K operations. Requalification Training 91.1063(d)(8) N/A N/A The training required for crewmembers previously trained and qualified, but who have become unqualified. Initial Knowledge Test; Written/Oral 91.1065(a) Yes Required if unsatisfactory or incomplete Training and testing requirements to meet the initial qualifications of a pilot in part 91 subpart K operations. Initial Competency Check 91.1065(b) Yes Required if unsatisfactory or incomplete Training and testing requirements to meet the initial qualifications of a pilot in part 91 subpart K operations. Recurrent Knowledge Test; Written/Oral 91.1065(a) Yes Required if unsatisfactory or incomplete Training and testing requirements to meet the initial qualifications of a pilot in part 91 subpart K operations. Recurrent Competency Check 91.1065(b) Yes Required if unsatisfactory or incomplete Training and testing requirements to meet the initial qualifications of a pilot in part 91 subpart K operations. ### Page 97 Appendix A A-13 Data Element Regulation Allow Evaluator’s Comments Task or Maneuver Which was Unsatisfactory or Incomplete Description Instrument Proficiency Check; Written/Oral 91.1069(d) Yes Required if unsatisfactory or incomplete Training and testing requirements to meet the initial qualifications of a pilot in part 91 subpart K operations. Instrument Proficiency Check 91.1069(d) Yes Required if unsatisfactory or incomplete Training and testing requirements to meet the initial qualifications of a pilot in part 91 subpart K operations. Emergency Training 91.1083 N/A N/A Emergency training in an approved training program. Other Other Optional Optional A pilot training or performance record kept in accordance with § 91.1027. ### Page 98 Appendix A A-14 Table A-7. Public Use, Air Tour, and Corporate Operators Record Options Data Element Regulation Allow Evaluator’s Comments Task or Maneuver Which was Unsatisfactory or Incomplete Description Pilot-in-Command Proficiency Check 61.58 Yes Required if unsatisfactory or incomplete PIC proficiency check: Operation of an aircraft that requires more than one pilot flightcrew member or is turbojet powered. Instrument Proficiency Check 61.57(d) N/A N/A A proficiency check used to reestablish instrument currency Initial Training N/A N/A N/A Initial ground/flight training Recurrent Training N/A N/A N/A Recurrent ground/flight training Other Other Optional Optional A pilot training or performance record kept by the operator ### Page 99 Appendix B B-1 APPENDIX B. DRUG AND ALCOHOL RECORDS Table B-1. Data Fields Data Element Description Reporting Entity Designator: Designator (or PRD equivalent) of the air carrier or operator entering the record (automatically populates with assigned credential). Reporting Entity Name: Name of the certificate holder or operator as it appears on the certificate or is otherwise recorded in the FAA records (automatically populates with assigned credential). Other DOT Agency Entity Name*: • This is the source of records that are reported to the FAA by employers regulated under another DOT agency where an individual worked as a pilot. • [Text field] Regulating Agency (Non-FAA)*: • FMCSA – Federal Motor Carrier Safety Administration • FRA – Federal Railroad Administration • FTA – Federal Transit Administration • PHMSA – Pipeline and Hazardous Material Safety Administration • USCG – U.S. Coast Guard Pilot Certificate Number: Certificate number of the pilot receiving the action. Pilot Last Name: Name of the pilot as it appears on their certificate. Date of Test or Occurrence: Date Record Type: Valid options: • Drug Test • Alcohol Misuse Report Type*: See Table B-2 (these options change based on selection above). Type of Test*: See Table B-2 (these options change based on selection above). * Some items identified in Table B-2 are only applicable to records being entered by the FAA. ### Page 100 Appendix B B-2 Table B-2. Report Type Options (Record Type) Report Type Type of Test Options Description (Drug Test) Verified Positive Drug Test Result Random Record of a random drug test conducted in accordance with 14 CFR § 120.109(b) that was verified positive by the employer’s Medical Review Officer. (Drug Test) Verified Positive Drug Test Result Post-Accident Record of a post-accident drug test conducted in accordance with 14 CFR § 120.109(c) that was verified positive by the employer’s Medical Review Officer. (Drug Test) Verified Positive Drug Test Result Reasonable Cause Record of a reasonable cause drug test conducted in accordance with 14 CFR § 120.109(d) that was verified positive by the employer’s Medical Review Officer. (Drug Test) Verified Positive Drug Test Result Return-to-Duty Record of a return-to-duty drug test conducted in accordance with 14 CFR § 120.109(e) that was verified positive by the employer’s Medical Review Officer. (Drug Test) Verified Positive Drug Test Result Follow-Up Record of a follow-up drug test conducted in accordance with 14 CFR § 120.109(f) that was verified positive by the employer’s Medical Review Officer. (Drug Test) Verified Positive Drug Test Result Pre-employment* Record of a pre-employment drug test conducted in accordance with 14 CFR § 120.109(a) that was verified positive by the employer’s Medical Review Officer. (Drug Test) Verified Positive Drug Test Result Other DOT Agency Test (Non-FAA modes)* Record of a pilot that submitted to a DOT drug test conducted by an employer under another DOT agency regulation that is verified positive by the employer’s Medical Review Officer. (Drug Test) Refusal to Submit to Drug Test Random Record of a refusal to submit to a random drug test required under 14 CFR § 120.109(b), including any conduct listed under 49 CFR § 40.191. (Drug Test) Refusal to Submit to Drug Test Post-Accident Record of a refusal to submit to a post-accident drug test required under 14 CFR § 120.109(c), including any conduct listed under 49 CFR § 40.191. ### Page 101 Appendix B B-3 (Record Type) Report Type Type of Test Options Description (Drug Test) Refusal to Submit to Drug Test Reasonable Cause Record of a refusal to submit to a reasonable cause drug test required under 14 CFR § 120.109(d), including any conduct listed under 49 CFR § 40.191. (Drug Test) Refusal to Submit to Drug Test Return-to-Duty Record of a refusal to submit to a returnto-duty drug test required under 14 CFR § 120.109(e), including any conduct listed under 49 CFR § 40.191. (Drug Test) Refusal to Submit to Drug Test Follow-Up Record of a refusal to submit to a followup drug test required under 14 CFR § 120.109(f), including any conduct listed under 49 CFR § 40.191. (Drug Test) Refusal to Submit to Drug Test Pre-employment* Record of a refusal to submit to a preemployment drug test required under 14 CFR § 120.109(a), including any conduct listed under 49 CFR § 40.191. (Drug Test) Refusal to Submit to Drug Test Other DOT Agency Test (Non-FAA modes)* Record of a pilot that refused to submit to a drug test required under another DOT agency regulation, including any conduct listed under 49 CFR § 40.191. (Drug Test) Negative Drug Test Result Return-to-Duty Record of a return-to-duty drug test conducted in accordance with 14 CFR § 120.109(e) that was verified negative by the Medical Review Officer. (Drug Test) Negative Drug Test Result Follow-Up Record of a follow-up drug test conducted in accordance with 14 CFR § 120.109(f) that was verified negative by the Medical Review Officer. (Alcohol Misuse) Breath alcohol result at or above 0.04 Random Record of a random alcohol test conducted under 14 CFR § 120.217(c) and confirmed with a breath alcohol concentration of 0.04 or greater. (Alcohol Misuse) Breath alcohol result at or above 0.04 Post-Accident Record of a post-accident alcohol test conducted under 14 CFR § 120.217(b) and confirmed with a breath alcohol concentration of 0.04 or greater. ### Page 102 Appendix B B-4 (Record Type) Report Type Type of Test Options Description (Alcohol Misuse) Breath alcohol result at or above 0.04 Reasonable Suspicion Record of a reasonable suspicion alcohol test conducted under 14 CFR § 120.217(d) and confirmed with a breath alcohol concentration of 0.04 or greater. (Alcohol Misuse) Breath alcohol result at or above 0.04 Return-to-Duty Record of a return-to-duty alcohol test conducted under 14 CFR § 120.217(e) and confirmed with a breath alcohol concentration of 0.04 or greater. (Alcohol Misuse) Breath alcohol result at or above 0.04 Follow-Up Record of a follow-up alcohol test conducted under 14 CFR § 120.217(f) and confirmed with a breath alcohol concentration of 0.04 or greater. (Alcohol Misuse) Breath alcohol result at or above 0.04 Pre-employment* Record of a pre-employment alcohol test conducted under 14 CFR § 120.217(a) and confirmed with a breath alcohol concentration of 0.04 or greater. (Alcohol Misuse) Breath alcohol result at or above 0.04 Other DOT Agency Test (Non-FAA modes)* Record of a pilot that submitted to a DOT alcohol test conducted by an employer under another DOT agency regulation that confirmed with a breath alcohol concentration of 0.04 or greater. (Alcohol Misuse) Refusal to submit to alcohol test Random Record of refusal to submit to a random alcohol test required under 14 CFR § 120.217(c), including any conduct listed under 49 CFR § 40.261. (Alcohol Misuse) Refusal to submit to alcohol test Post-Accident Record of refusal to submit to a post-accident alcohol test required under 14 CFR § 120.217(b), including any conduct listed under 49 CFR § 40.261. (Alcohol Misuse) Refusal to submit to alcohol test Reasonable Suspicion Record of refusal to submit to a reasonable suspicion alcohol test required under 14 CFR § 120.217(d), including any conduct listed under 49 CFR § 40.261. (Alcohol Misuse) Refusal to submit to alcohol test Return-to-Duty Record of refusal to submit to a return-to-duty alcohol test required under 14 CFR § 120.217(e), including any conduct listed under 49 CFR § 40.261. ### Page 103 Appendix B B-5 (Record Type) Report Type Type of Test Options Description (Alcohol Misuse) Refusal to submit to alcohol test Follow-Up Record of refusal to submit to a follow-up alcohol test required under 14 CFR § 120.217(f), including any conduct listed under 49 CFR § 40.261. (Alcohol Misuse) Refusal to submit to alcohol test Pre-employment* Record of a refusal to submit to a pre-employment alcohol test required under 14 CFR § 120.217(a), including any conduct listed under 49 CFR § 40.261. (Alcohol Misuse) Refusal to submit to alcohol test Other DOT Agency Test (Non-FAA modes)* Record of a pilot that refused to submit to an alcohol test required under another DOT agency regulation, including any conduct listed under 49 CFR § 40.261. (Alcohol Misuse) Breath alcohol result below 0.04 Return-to-Duty Record of a return-to-duty alcohol test conducted under 14 CFR § 120.217(e) and confirmed with a breath alcohol concentration lower than 0.04. (Alcohol Misuse) Breath alcohol result below 0.04 Follow-Up Record of a follow-up alcohol test conducted under 14 CFR § 120.217(f) and confirmed with a breath alcohol concentration lower than 0.04. (Alcohol Misuse) On-duty use N/A Record of on-duty alcohol use, as defined under 14 CFR § 120.37(c). (Alcohol Misuse) Pre-duty use N/A Record of pre-duty alcohol use, as defined under 14 CFR § 120.37(d). (Alcohol Misuse) Use following an accident N/A Record of alcohol use following an accident, as defined under 14 CFR § 120.37(e). * These records are only entered by the FAA and not for entry by industry. ### Page 104 Appendix C C-1 APPENDIX C. FINAL DISCIPLINARY ACTION RECORDS Table C-1. Data Fields (all required) Reporting entity designator: Designator (or PRD equivalent) of the air carrier or operator entering the record (automatically populates with assigned credential). Reporting entity name: Name of the certificate holder or operator as it appears on the certificate or is otherwise recorded in the FAA records (automatically populates with assigned credential). Pilot certificate number: Certificate number of the pilot receiving the action. Pilot last name: Name of the pilot as it appears on their certificate. Date of action: YYYYMMDD Action type: The only disciplinary actions permitted to be entered in accordance with § 111.230 are: a written warning, suspension, or termination related to pilot performance. Other types of disciplinary actions are not to be entered. Valid values: Written Warning Suspension Termination Relevant documents: These are documents which are relevant to this record and may be requested by the reviewing entity or the pilot in accordance with § 111.230. Valid values: Yes No Removal from aircraft operations: Did the disciplinary action result in permanent or temporary removal of the pilot from aircraft operations? Valid values: Yes No ### Page 105 Appendix D D-1 APPENDIX D. EMPLOYMENT HISTORY RECORDS Table D-1. Data Fields Reporting entity designator: Designator (or PRD equivalent) of the air carrier or operator entering the record (automatically populates with assigned credential). Reporting entity name: Name of the certificate holder or operator as it appears on the certificate or is otherwise recorded in the FAA records (automatically populates with assigned credential). Pilot certificate number: Certificate number of the pilot receiving the action. Pilot last name: Name of the pilot as it appears on their certificate. PRD date of hire: MMDDYYYY The earliest date on which an individual begins any form of required training in preparation for the individual’s service as a pilot on behalf of an operator or entity subject to the applicability of this part; or performs any duty as a pilot for an operator or entity subject to the applicability of part 111. Assignment to duty history: (optional) Enter the starting dates and ending dates of assignments to a flight position and aircraft. See Table D-2. Separation of employment date: Last-in-time record of any action ending the employment relationship between a pilot and an air carrier or other operator which is not subject to any pending formal or informal dispute initiated by the pilot. No separation from employment may be considered final until 30 days after the action. YYYYMMDD Valid values: TBD Separation type: Valid values: Termination-pilot performance Termination-professional disqualification Other-employer-initiated separation not due to pilot performance Other-physical/medical disqualification Other-resignation Other-retirement Other [free form text box] details TBD Relevant documents: These are documents which are relevant to this record and may be requested by the reviewing entity or the pilot in accordance with § 111.235. Valid values: Yes No ### Page 106 Appendix D D-2 PRD records complete date: This is the date when the air carrier or operator completes the process of entering all applicable records into the PRD for this particular airman. Additional records may be added as they become available but this date indicates a hiring employer no longer needs to request records under PRIA in addition to checking the PRD records as the records are current to this date. No additional records to report to PRD date: This is the date when the previous employer attests that all records related to this pilot have been provided to the PRD and no additional records are available or expected to be generated. YYYYMMDD Valid values: Must be equal to or after separation of employment date and separation of employment date and type must have been entered. Table D-2. Assignment to Duty (entry of this record is optional) Start date: YYYYMMDD (required) End date: YYYYMMDD (optional, can’t be before start date) Aircraft: Make and Model (Use make/model lookup table) Position: The position in the aircraft that the pilot was assigned during the event. Valid values: PIC (Pilot in command) SIC (Second in command) ### Page 107 Appendix E E-1 APPENDIX E. VERIFICATION OF MOTOR VEHICLE DRIVING RECORD SEARCH AND EVALUATION Table E-1. Data Fields Reporting entity designator: Designator (or PRD equivalent) of the air carrier or operator entering the record (automatically populates with assigned credential). Reporting entity name: Name of the certificate holder or operator as it appears on the certificate or is otherwise recorded in the FAA records (automatically populates with assigned credential). Pilot certificate number: Certificate number of the pilot. Pilot last name: Name of the pilot as it appears on their certificate. Date when NDR search and evaluation was completed: The date the NDR record was received and evaluated: **YYYYMMDD** ### Page 108 Appendix F F-1 APPENDIX F. EXAMPLE PRD OUTPUT OF RECORDS REPORT This is a sample PRD Airman Record (PAR). The PAR design and content is subject to change and the records demonstrated here are only samples and not intended to indicate what records must be reported. ### Page 109 Appendix F F-2 ### Page 110 Appendix F F-3 ### Page 111 Appendix F F-4 ### Page 112 Appendix F F-5 ### Page 113 Appendix F F-6 ### Page 114 Appendix F F-7 ### Page 115 Appendix F F-8 ### Page 116 Appendix F F-9 ### Page 117 Appendix F F-10 ### Page 118 Appendix F F-11 ### Page 119 Appendix F F-12 ### Page 120 Appendix F F-13 ### Page 121 Appendix G G-1 APPENDIX G. FORMS G.1 Overview and Use of FAA Form 8060-10, FAA Records Request (PRIA). Note: Consult the Pilot Records Improvement Act of 1996 (PRIA) website at https://www.faa.gov/pilots/lic_cert/pria/forms_docs for the most current information on the overview and use of Federal Aviation Administration (FAA) Form 8060-10. 1. Part I, FAA Records Request (PRIA). The hiring air carrier in operation under Title 14 of the Code of Federal Regulations (14 CFR) part 121 or 135, air operator under 14 CFR part 125, or other person (collectively referred to as the “hiring employer”) uses part I to request certain pilot records as maintained by the FAA. The resulting report from the FAA is generally referred to as the PRIA Pilot Profile Letter and will include information reflecting the pilot-applicant’s: a. Current airman medical certificate, including: (1) Date of issue, (2) Class, and (3) Any limitations that may apply. b. Current airman certificate(s), including: (1) Date of issue, (2) Category and class ratings, (3) Associated type ratings, and (4) Any limitations to those certificate(s) and ratings. c. Records concerning the Enforcement Information System (EIS) and summary of legal enforcement action(s) resulting in a finding by the Administrator of a violation of Title 49 of the United States Code (49 U.S.C.), a regulation prescribed, or an order issued under this title that the FAA has not subsequently overturned, if applicable. If no EIS records exist for the pilot-applicant, a statement indicating a negative report will be included. d. Current or previous certificate revocation(s), which will be reported for an indefinite period of time, if applicable. e. Previous certificate number(s) and related information, if applicable. 2. Part II, Airman Consent for the Release of Records. The hiring employer uses part II to obtain written consent for the release of records from the individual who is the subject of the request. ### Page 122 Appendix G G-2 3. Distribution. You, the hiring employer, should either mail or fax FAA Form 8060-10 to the Aviation Data Systems Branch for processing, then provide a copy to the pilot-applicant for his or her personal records. a. Fax your completed records request to 405-954-4655, ATTN: PRIA. b. Mail your completed records request to: Federal Aviation Administration ATTN: Aviation Data Systems Branch (PRIA) P.O. Box 25082 Oklahoma City, OK 73125-0082 c. Mail completed records request, by expedited mail service, to: Federal Aviation Administration ATTN: Aviation Data Systems Branch (PRIA) 6500 South MacArthur Blvd. ARB Building, Room 313 Oklahoma City, OK 73169 4. Requestor. As the requestor of records under the authority of PRIA, you should develop and use a system to track all outstanding requests. After receiving the responses, organize them into a format that management can easily use to evaluate the pilot-applicant’s suitability for employment. The process is not complete until the requestor completes these activities. 5. Respondent. As the person receiving a records request under the authority of PRIA, you must furnish: a. A copy of the appropriate records to the requestor no later than 30 calendar-days after receiving the request, as prescribed by 49 U.S.C. § 44703(h)(5). b. An identical copy, if so requested, to the pilot-applicant on or before 20 calendar-days after receiving the request, as prescribed by 49 U.S.C. § 44703(h)(6). c. A written notification to the pilot-applicant to satisfy 49 U.S.C. § 44703(h)(6) if the processing time will exceed 20 calendar-days. In other words, an additional document is required to provide written notification if your response time will be over 20 calendar-days. In no case can you take longer than the authorized 30-calendar-day period. 6. Instructions. Instructions for completing FAA Form 8060-10 are attached to the form itself. Overviews and information on using this form are also in the PRIA Office Procedures for the Air Carrier and on the PRIA website. ### Page 123 Appendix G G-3 7. The Form. There are two online sources for FAA Form 8060-10: • https://www.faa.gov/pilots/lic_cert/pria/forms_docs. • https://www.faa.gov/forms. G.2 Overview and Use of FAA Form 8060-10A, Airman Notice and Right to Receive Copy – FAA Records (PRIA). Note: Consult the Pilot Records Improvement Act of 1996 (PRIA) website at https://www.faa.gov/pilots/lic_cert/pria/forms_docs for the most current information on the overview and use of FAA Form 8060-10A. 1. Part I, Airman Notice and Right to Receive Copy. The hiring air carrier in operation under 14 CFR part 121 or 135, air operator under 14 CFR part 125, or other person (collectively referred to as the “hiring employer”) uses part I to: a. Notify the pilot-applicant that the FAA will conduct a records request under PRIA. b. Notify the pilot-applicant of their right to receive a copy of the records furnished by the FAA to the requesting air carrier. 2. Part II, Airman Request or Non- Request for Records. The pilot-applicant uses part II to notify the FAA whether or not they want a copy of the records that the FAA will furnish to the requesting employer. 3. Distribution. A completed and signed copy of FAA Form 8060-10A serves as a written notification to the airman in accordance with 49 U.S.C. § 44703(h)(6). In lieu of forwarding FAA Form 8060-10A to the FAA, if the hiring employer provides the pilot-applicant with initial notification of a records request by providing him or her with a completed and signed copy of FAA Form 8060-10A, further distribution of FAA Form 8060-10A is not required. The hiring employer needs to forward only FAA Form 8060-10, FAA Records Request (PRIA), to the FAA to request records. The hiring employer then files and maintains the original FAA Form 8060-10A in the pilot-applicant’s PRIA-related records file for future company reference and surveillance by the FAA. Note: The FAA will provide all pilots/applicants, regardless of whether they indicated a preference to receive a copy of their records, with a courtesy copy of their PRIA Background Report that the FAA maintains and furnishes to the hiring employer. For security purposes, all FAA records will be mailed to the individual’s existing address as maintained in FAA records by the Airmen Certification Branch. 4. Requestor. As the requestor of records under the authority of PRIA, you should develop and use a system to track all outstanding requests. After receiving the responses, organize them into a format that management can easily use to evaluate the ### Page 124 Appendix G G-4 pilot-applicant’s suitability for employment. The process is not complete until the requestor has completed these activities. 5. Respondent. As the person receiving a records request under the authority of PRIA, you must furnish: a. A copy of the appropriate records to the requestor no later than 30 calendar- days after receiving the request, as prescribed by 49 U.S.C. § 44703(h)(5). b. An identical copy, if so requested, to the pilot-applicant on or before 20 calendar-days after receiving the request, as prescribed by 49 U.S.C. § 44703(h)(6). c. A written notification to the pilot-applicant to satisfy 49 U.S.C. § 44703(h)(6) if the processing time will exceed 20 calendar-days. In other words, an additional document is required to provide written notification if your response time will be over 20 calendar-days. In no case can you take longer than the authorized 30-calendar-day period. 6. Instructions. Instructions for completing FAA Form 8060-10A are attached to the form itself. Overviews and information on using this form are also in the PRIA Office Procedures for the Air Carrier and on the PRIA website. 7. The Form. There are two online sources for FAA Form 8060-10A: • https://www.faa.gov/pilots/lic_cert/pria/forms_docs. • https://www.faa.gov/forms. G.3 Overview and Use of FAA Form 8060-11, Air Carrier and Other Records Request (PRIA). Note: Consult the Pilot Records Improvement Act of 1996 (PRIA) website at https://www.faa.gov/pilots/lic_cert/pria/forms_docs for the most current information on the overview and use of FAA Form 8060-11. 1. Part I, Air Carrier and Other Records Request (PRIA). The hiring air carrier in operation under 14 CFR part 121 or 135, air operator under 14 CFR part 125, or other person (collectively referred to as the “hiring employer”) uses part I to request certain pilot records. A previous employer that used the individual as a pilot at any time during the 5-year period preceding the date on the employment application of the individual or the trustee in bankruptcy for such operator maintains these records. Title 49 U.S.C. § 44703(h)(1)(B) identifies and references the records that a previous employer must provide. 2. Part II, Airman Consent for the Release of Records. The hiring emplo yer uses part II to obtain written consent for the release of the records from the individual who is the subject of the request. ### Page 125 Appendix G G-5 3. Distribution. The hiring employer either mails or faxes FAA Form 8060-11 to all previous employers that used the applicant as a pilot at any time during the previous 5-year period. The hiring employer should then provide a copy to the pilot-applicant for that individual’s personal records. 4. Exceptions. Certain exceptions may apply that would either not require the hiring employer to comply with the statutes of PRIA, or could allow an amended request procedure. To foster the most efficient use of its personnel and flight operations, the hiring employer should be familiar with all exceptions that may apply. These exceptions are: a. Operations expressly excluded from air carrier certification requirements under 14 CFR part 119, § 119.1(e). These, and certain other 14 CFR part 91 operators, are not required to request pilot records under PRIA. However, if they receive a request under PRIA, they are required to furnish such records that they may have maintained on the individual who is the subject of the request. If the former employer did not maintain the records, it would return a brief letter stating such to the requestor to allow it to complete the request process. b. Pilots of certain small aircraft, as described in 49 U.S.C. § 44703(h)(14)(A). c. Good faith exception, as described in 49 U.S.C. § 44703(h)(14)(B). 5. Inappropriate Records. The respondent should not include records that are not relevant to the individual’s performance as a pilot in the transmission to the requestor. For example, an agreement between the pilot and employer to pay for training, personal bankruptcy papers, or unemployment compensation disputes between a pilot and employer are not considered appropriate to the individual’s performance as a pilot. 6. Requestor. As the requestor of records under the authority of PRIA, you should develop and use a system to track all outstanding requests. After receiving the responses, organize them into a format that management can easily use to evaluate the pilot-applicant’s suitability for employment. The process is not complete until the requestor has completed these activities. 7. Respondent. As the person receiving a records request under the authority of PRIA, you must furnish: a. A copy of the appropriate records to the requestor no later than 30 calendar-days after receiving the request, as prescribed by 49 U.S.C. § 44703(h)(5). b. An identical copy, if so requested, to the pilot-applicant on or before 20 calendar-days after receiving the request, as prescribed by 49 U.S.C. § 44703(h)(6). c. A written notification to the pilot-applicant to satisfy 49 U.S.C. § 44703(h)(6) if the processing time will exceed 20 calendar-days. In other words, an additional ### Page 126 Appendix G G-6 document is required to provide written notification if your response time will be over 20 calendar-days. In no case can you take longer than the authorized 30-calendar-day period. 8. Instructions. Instructions for completing FAA Form 8060-11 are attached to the form itself. Overviews and information on using this form are also in the PRIA Office Procedures for the Air Carrier and on the PRIA website. 9. Reasonable Charges. The former employer furni shing records as the result of a request under PRIA may assess a reasonable charge from the records requestor and from the individual who is the subject of the request, provided he or she has requested an identical copy of the records. 10. The Form. There are two online sources for FAA Form 8060-11: • https://www.faa.gov/pilots/lic_cert/pria/forms_docs. • https://www.faa.gov/forms. G.4 Overview and Use of FAA Form 8060-11A, Airman Notice and Right to Receive Copy – Air Carrier and Other Records (PRIA). Note: Consult the Pilot Records Improvement Act of 1996 (PRIA) website at https://www.faa.gov/pilots/lic_cert/pria/forms_docs for the most current information on the overview and use of FAA Form 8060-11A. 1. Part I, Airman Notice and Right to Receive Copy. The hiring air carrier in operation under 14 CFR part 121 or 135, air operator under 14 CFR part 125, or other person (collectively referred to as the “hiring employer”) that has used the individual as a pilot at any time during the 5-year period preceding the date on the employment application uses part I to notify that individual: a. That any previous employer will conduct a PRIA records request for pilot- related air carrier records. b. Of that pilot’s right to receive a copy of the records furnished by the previous employer to the requesting employer. 2. Part II, Airman Request or Non- Request for Records. The pilot-applicant uses part II to notify the previous employer(s) whether they want a copy of the records that the previous employer will furnish to the requesting employer. 3. Distribution. a. Unlike FAA Form 8060-10A, Airman Notice and Right to Receive Copy – FAA Records (PRIA), when using the FAA forms, completing FAA Form 8060-11A is mandatory. If the pilot-applicant wishes to receive a copy of all air carrier and other records as permitted by 49 U.S.C. § 44703(h)(6) and has checked the “yes” ### Page 127 Appendix G G-7 box on FAA Form 8060-11A, the previous employers must make two sets, one for the requestor and one for the individual, and mail each one separately. b. The hiring employer should attach FAA Form 8060-11A to FAA Form 8060-11, Air Carrier and Other Records Request (PRIA), and either mail or fax them to all employers that previously employed the applicant as a pilot at any time during the previous 5-year period. The hiring employer should then provide a copy to the pilot-applicant for that individual’s personal records. 4. Exceptions. Certain exceptions may apply that would either not require the hiring employer to comply with the statutes of PRIA, or could allow an amended request procedure. To foster the most efficient use of its personnel and flight operations, the hiring employer should be familiar with all exceptions that may apply. These exceptions are: a. Operations expressly excluded from air carrier certification requirements under 14 CFR part 119, § 119.1(e). These, and certain other 14 CFR part 91 operators, are not required to request pilot records under PRIA. However, if they receive a request under PRIA, they are required to furnish such records that they may have maintained on the individual who is the subject of the request. If the former employer did not maintain any records, it returns a brief letter stating such to the requestor to allow it to complete the request process. b. Pilots of certain small aircraft, as described in 49 U.S.C. § 44703(h)(14)(A). c. Good faith exception, as described in 49 U.S.C. § 44703(h)(14)(B). 5. Requestor. As the requestor of records under the authority of PRIA, you should develop and use a system to track all outstanding requests. After receiving the responses, organize them into a format that management can easily use to evaluate the pilot-applicant’s suitability for employment. The process is not complete until the requestor has completed these activities. 6. Respondent. As the person receiving a records request under the authority of PRIA, you must furnish: a. A copy of the appropriate records to the requestor no later than 30 calendar- days after receiving the request, as prescribed by 49 U.S.C. § 44703(h)(5). b. An identical copy, if so requested, to the pilot-applicant on or before 20 calendar-days after receiving the request, as prescribed by 49 U.S.C. § 44703(h)(6). c. A written notification to the pilot-applicant to satisfy 49 U.S.C. § 44703(h)(6) if the processing time will exceed 20 calendar-days. In other words, an additional document is required to provide written notification if your response time will be over 20 calendar-days. In no case can you take longer than the authorized 30-calendar-day period. ### Page 128 Appendix G G-8 7. Instructions. Instructions for completing FAA Form 8060-11A are attached to the form itself. Overviews and information on the use of this form are in the PRIA Office Procedures for the Air Carrier and on the PRIA website. 8. Reasonable Charges. The former employer furnishing records as the result of a request under PRIA may assess a reasonable charge from the records requestor and from the individual who is the subject of the request, provided he or she has requested an identical copy of the records. 9. The Form. There are two online sources for FAA Form 8060-11A: • https://www.faa.gov/pilots/lic_cert/pria/forms_docs. • https://www.faa.gov/forms. G.5 Overview and Use of FAA Form 8060-12, Authorization for Release of DOT Drug and Alcohol Testing Records Under PRIA and Maintained Under Title 49 Code of Federal Regulations (49 CFR) Part 40. Note: Consult the Pilot Records Improvement Act of 1996 (PRIA) website at https://www.faa.gov/pilots/lic_cert/pria/forms_docs for the most current information on the overview and use of FAA Form 8060-12. 1. Part I, Records and Airman Consent for the Release of Records. The hiring air carrier in operation under 14 CFR part 121 or 135, an air tour operator as defined in 14 CFR part 91, § 91.147, or other person (collectively referred to as the “hiring employer”) uses part I to provide a list of specific drug and alcohol testing records that the previous employer will furnish through this request. a. Send this form to previous employers that used the individual as a: • Department of Transportation (DOT)-regulated employee subject to drug and alcohol testing under 14 CFR part 120 or Title 49 of the Code of Federal Regulations (49 CFR) part 40, • Pilot at any time during the 5-year period preceding the date on the employment application, or • Non-pilot safety-sensitive employee subject to drug and alcohol testing such as flight attendant or aircraft maintenance or preventive maintenance duties (unless you use the written release under 49 CFR part 40, § 40.25). b. Use FAA Form 8060-12 to notify the individual: • That an FAA records request under PRIA for certain DOT drug and alcohol testing records will be conducted. • Of a request for certain DOT drug and alcohol testing records under PRIA concerning that individual. ### Page 129 Appendix G G-9 • To obtain written consent for the release of such records from that individual who is the subject of the request. • If the individual has requested a copy of the records, as indicated on FAA Form 8060-11A, Airman Notice and Right to Receive Copy – Air Carrier and Other Records (PRIA), any related DOT drug and alcohol testing records must be copied and included with other PRIA-related records as a result of that request. 2. Part II, Records to Provide. The hiring employer uses part II to provide a list of questions that the previous employer will complete and return to the hiring employer. The previous employer(s) also use part II to document the existence of certain DOT drug and alcohol testing records that the previous employer(s) provides to the hiring employer. Consider the following guidelines when either requesting or providing DOT drug and alcohol testing records. a. Any “no” response in part II of FAA Form 8060-12 still requires the previous employer(s) to furnish a copy of the appropriate negative drug or alcohol testing results for that respective question. To further clarify, previous employers must provide all test results, including both positive as well as negative DOT drug and alcohol testing results, from over the last 5 years to the requestor to comply with PRIA and 49 CFR part 40. Obtaining a copy of the form on the DOT website, where previous employers simply “check off” that there were no rule violations, is not acceptable. b. In addition to obtaining records from all previous employers over t he last 5 years, the hiring employer must ask all applicants about their drug and alcohol testing history under DOT agency testing rules to satisfy 49 CFR § 40.25(j). Unlike the time period required under PRIA, this testing history obtained under 49 CFR § 40.25(j) covers a period of only two years. However, PRIA drug and alcohol testing records are not subject to the document retention conditions found in 49 CFR § 40.333. All PRIA records, including drug and alcohol testing records, are required by 49 U.S.C. § 44703(h)(4) to be maintained for at least 5 years. Therefore, to fulfill the requirements of PRIA, a hiring employer must obtain both positive and negative test results for the individual from the last 5 years. 3. Distribution. The hiring employer should attach FAA Form 8060-12 to FAA Forms 8060-11, Air Carrier and Other Records Request (PRIA), and 8060-11A and either mail or fax the forms to all previous employers that used the applicant as a pilot at any time during the previous 5-year period. The hiring employer should provide a copy to the pilot-applicant for that individual’s personal records. 4. Use of FAA Form 8060-12. Ev en though the use of FAA Form 8060-12 is not currently required, this form has been carefully designed to combine both the records requirements of PRIA with those of 49 CFR part 40. Any employer not in compliance with the drug and alcohol testing record check requirements of 49 CFR part 40 could be subject to an additional inquiry by the FAA’s Drug Abatement Division. It is a ### Page 130 Appendix G G-10 good business practice, therefore, to use FAA Form 8060-12 even if you do not use the other FAA PRIA forms. 5. Instructions. Instructions for completing FAA Form 8060-12 are attached to the form itself. Overviews and information on the use of this form are in the PRIA Office Procedures for the Air Carrier and on the PRIA website. 6. The Form. There are two online sources for FAA Form 8060-12: • https://www.faa.gov/pilots/lic_cert/pria/forms_docs. • https://www.faa.gov/forms. Note: Additional information concerning the inspection of drug and alcohol testing records is in FAA Order 8000.88, PRIA Guidance for FAA Inspectors, Paragraph 3-3, Drug and Alcohol Testing Records. G.6 Overview and Use of FAA Form 8060-13, National Driver Register Records Request (PRIA). Note: Consult the Pilot Records Improvement Act of 1996 (PRIA) website at https://www.faa.gov/pilots/lic_cert/pria/forms_docs for the most current information on the overview and use of FAA Form 8060-13. 1. Part I, National Driver Register (NDR) Records Request. The hiring air carrier in operation under 14 CFR part 121 or 135, air operator under 14 CFR part 125, or other person (collectively referred to as the “hiring employer”) uses part I to request NDR records concerning an individual seeking employment as a pilot with the employer. 2. Part II, Consent to the Release of Records. The hiring employer uses part II to obtain written consent for the release of the records from the individual who is the subject of the request. 3. Part III, Notice to the Prospective Employee. The hiring employer uses part III to certify the identity of the individual who is the subject of the request. a. The hiring company’s representative completes part IIIa when the individual applies in person. b. The pilot-applicant must have a notary public complete parts IIIa and IIIb when the individual does not apply in person. 4. Use of the Pilot-Applicant’s Date of Birth. For all requests to a state’s Department of Motor Vehicles (DMV) or to the NDR, notwithstanding the Privacy Act, disclosure of the pilot-applicant’s date of birth is mandatory. This is for identification purposes, and the DMV or NDR will return most requests without the date of birth with no action being taken by the respondent. ### Page 131 Appendix G G-11 5. Distribution. NDR requirements vary from state to state, and therefore, it is not practical to establish one firm procedure that will satisfy all requests. Notwithstanding, the requesting employer should begin its NDR request process in the manner described in this advisory circular (AC) or in the PRIA Office Procedures for the Air Carrier to establish a request process that will produce the most reliable and consistent results for the state. 6. National Highway Traffic Safety Adminis tration (NHTSA). The NHTSA maintains an Internet database with current addresses and telephone numbers for state DMVs. This information is available at https://www.onlinedmv.com. 7. Copies Requested by the Pilot-Applicant. Neither the DMV of any state nor the NDR will furnish an additional copy of a report requested under the authority of PRIA. Therefore, if a pilot-applicant has checked the “yes” block on FAA Form 8060-11A, Airman Notice and Right to Receive Copy – Air Carrier and Other Records (PRIA), the hiring employer will need to furnish the copy after it receives the report. 8. The Form. There are two online sources for FAA Form 8060-13: • https://www.faa.gov.pilots/lic_cert/pria/forms_docs. • https://www.faa.gov/forms. Note: Not all state DMVs accept FAA Form 8060-13 because they are not familiar with the form itself, or prefer to use their own form. If this is the case, use the NDR or DMV request form provided by the state, which is usually available on their website. 9. Instructions. Instructions for completing FAA Form 8060-13 are attached to the form itself. Overviews and information on the use of this form are in the PRIA Office Procedures for the Air Carrier and on the PRIA website. 10. Additional Tips. Many state DMVs will not accept copies of a request form, so it is advisable to always submit the request in original form. As a result, the hiring employer must mail the request instead of faxing it. We recommend that you use a certified mail delivery that will document the receipt of your request. It is also a good idea to start the request process with a phone call to the state DMV to make sure you have covered all of the requirements of that particular state. 11. NDR Data System Match. The hiring employer receives an NDR report that will state that a data system match was not found, meaning that the record of the individual is clean, or that a data system match concerning the motor vehicle driving record of the individual was found and indicated a: ### Page 132 Appendix G G-12 a. Record of suspension from the previous 5-year period, if applicable. b. Record of revocation from the previous 5-year period, if applicable. c. Any conviction of driving under the influence (DUI), if applicable. 12. The NDR Report. a. A completed NDR report without reference to an action taken against the pilot’s driver’s license is considered a clean report. If the report does indicate a clean record, add the report to the pilot-applicant’s PRIA-related records file and the NDR request process is considered complete. b. If the report does indicate a problem, however, it will point to a specific state(s) in which the problem(s) occurred. In these cases, the record will indicate a possible match, and the hiring employer is required to conduct further investigation. The hiring employer should disclose this information to the individual in an attempt to verify whether a positive match with the pointer record exists, or if the possible match pertains to another individual with similar identifying information. c. If the resulting investigation confirms the individual as a positive match with the pointer record, the potential employer or the Designated Agent (DA) sends a second NDR request to the state(s) indicated in the initial report to determine the exact nature of the problem. d. If the resulting investigation confirms that the individual is not a match with the pointer record, then, along with the results of the investigation, the report is considered clean, the matter closed, and the NDR request process completed for that individual. G.7 Overview and Use of FAA Form 8060-14, Pilot Consent/Revocation for Air Carrier Access to Pilot Records Database (10/20 Version). PURPOSE: This form allows pilots who do not have access to the FAA PRD to grant or revoke access for air carriers or operators to view the pilot’s PRD records. This form also allows pilots to update their employment history and request a copy of their records contained in the PRD when they cannot access the application themselves. Name: Enter your last name, first name, and middle name as displayed on your FAA pilot certificate. (Required.) Date of Birth: Enter your date of birth in the format MM/DD/YYYY. (Required.) FAA Pilot Certificate Number: Enter your certificate number as displayed on your FAA commercial pilot or ATP pilot certificate. If you do not hold a commercial pilot or ATP certificate, enter the number from your remote pilot certificate. (Required.) Other pilot certificates are not supported by the PRD. ### Page 133 Appendix G G-13 Email Address: Enter your email address. (Optional.) Current Mailing Address, City, State, ZIP Code: Enter your mailing address, city, state, and ZIP code as displayed on your FAA pilot certificate. If you need to change your address printed on your certificate, contact the Airmen Certification Branch at 866-878-2498. Entering a different address here will not update your FAA address on record and may delay consent or revocation being granted via the PRD. Copies of your PRD Airman Record (PAR) will be mailed to the address of record only. (Required.) Granting or Revoking Consent Statement: Select if you intend to grant consent or withdraw a previously provided consent to air carriers/operators. If you do not make a selection, consent will not be granted or withdrawn in the PRD for this company. (Required.) Air Carrier Name(s) and Designator(s): Enter the full name of the air carrier or operator that will be allowed to review your PAR. Ask the air carrier or operator what should be entered, as it may not be the same as the commonly used company name. Also enter the FAA designator assigned to the air carrier or operator. Ask the air carrier or operator what should be entered. You may list up to four carriers/operators. If you require more carrier/operator entries, please submit any number of separate FAA Forms 8060-14. (Required if granting or revoking consent.) Consent Time Period: Select how long you would like your PAR to be available for download for each air carrier or operator. Do not make a selection if you are using this form to withdraw consent. If left unchecked, the carrier/operator access period will be 30 days. (Optional.) Perjury Statement: Your signature below this statement declares that you understand the penalties for making a false statement on this form. Requesting a Copy of Your Records: Mark this box if you only need to request a copy of your records in the PRD and do not want to grant or revoke consent. The records will be mailed to your address of record. Signature: You must sign and date the form for consent or withdrawal to be granted. A typed or electronic signature is not acceptable. (Required.) Previous Employer(s): Enter your current and/or former employers for which you were employed as a pilot within the previous 5 years. It is considered a falsification and subject to enforcement action if current and/or former employers are omitted. Note: Submitting employment history information via this form will replace any previous employers previously submitted to the PRD. After this request is processed, your employment history will match what is submitted via this form. If you leave this form empty, no changes will be made to your employment history. Submit additional pages if you need more space to add previous employers. ### Page 134 Appendix G G-14 G.8 Overview and Use of FAA Form 8060-15, Pilot Records Database Pilot Record Dispute. PURPOSE: This form is used by pilots who cannot access the PRD themselves to dispute a record and request corrections. This form is not used for FAA records. Name: Enter your last name, first name, and middle name as displayed on your FAA pilot certificate. (Required.) Date of Birth: Enter your date of birth in the format MM/DD/YYYY. (Required.) FAA Pilot Certificate Number: Enter your certificate number as displayed on your FAA commercial pilot or ATP pilot certificate. If you do not hold a commercial pilot or ATP certificate, enter the number from your remote pilot certificate. (Required.) Other pilot certificates are not supported by the PRD. Email Address: Enter your email address. (Optional.) Current Mailing Address, City, State, ZIP Code: Enter your mailing address, city, state, and ZIP code as displayed on your FAA pilot certificate. If you need to change your address printed on your certificate, contact the Airmen Certification Branch at 866-878-2498. Entering a different address here will not update your FAA address on record and may delay or prevent this form from being processed. (Required.) Section 1: Dispute an existing record displayed in your PRD Airman Record (PAR). Complete this section if a record is displayed in your PAR that is not accurate. Marking a record as disputed will notify the record owner that you do not think it is accurate. They will then contact you to investigate via the contact information you entered on this form. Date of Disputed Record: Enter the event start date as shown in the PAR. Operator Name Who Entered the Record: Enter the name of the operator who entered the record as shown in the PAR. Record ID: Enter the record ID for the record as shown in the PAR. Brief Description: Enter a brief description of the inaccuracy. The operator may contact you for additional details. Section 2: Report a Missing Record. Complete this section if you believe a record is missing from your PAR. Reporting a missing record will initiate the dispute process and the operator you list will be notified. They will then contact you to investigate via the contact information you entered on this form. Operator Name: Enter the name of the operator who holds the record you believe needs to be entered into the PRD. Operator Designator: Enter the FAA designator for the operator, if applicable. ### Page 135 Appendix G G-15 Date of Record: Enter the start date of the record. Brief Description: Enter a brief description of the missing record. The operator may contact you for additional details. Section 3: Mark a previously opened dispute as resolved. Complete this section if a record is currently marked as disputed, but the issue has been resolved. This will remove the disputed flag from the PAR. Date of Disputed Record: Enter the event start date as shown in the PAR. Operator Name Who Entered the Record: Enter the name of the operator who entered the record as shown in the PAR. Record ID: Enter the record ID for the record as shown in the PAR. Perjury Statement: Your signature below this statement declares that you understand the penalties for making a false statement on this form. Signature: You must sign and date the form for the dispute process to start. A typed or electronic signature is not acceptable. (Required.) ### Page 136 Advisory Circular Feedback Form If you find an error in this AC, have recommendations for improving it, or have suggestions for new items/subjects to be added, you may let us know by contacting the Regulatory Support Division or the Flight Standards Directives Management Officer at 9-AWA-AFB-120-Directives@faa.gov. Subject: AC 120-68J, Pilot Records Improvement Act and the Pilot Records Database Date: _____________________ Please check all appropriate line items: An erro r (pro ce dural or typographical) has been noted in paragraph ____________ on page _______. Recommend paragraph _____________ on page __________ be changed as follows: ______________________________________________________________________ ______________________________________________________________________ In a future change to this AC, please cover the following subject: (Briefly describe what you want added.) ______________________________________________________________________ ______________________________________________________________________ Other comments: ______________________________________________________________________ ______________________________________________________________________ I would like to discuss the above. Please contact me. Submitted by: Date: ______________________ --- OpenAirDocs.org is an independent research project of [Contrail Labs](https://contraillabs.com/). It is not affiliated with the FAA or the NTSB. Source documents are U.S. government works in the public domain.