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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.
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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
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
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.
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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.
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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).
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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.
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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.
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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
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.
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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
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.