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.
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.
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.
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.
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).)
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.
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.
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.
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.
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.
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.
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).