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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
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• 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.
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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
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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.
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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.
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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.
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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.