AC 120-68J

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

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CONTENTS Paragraph Page

Chapter 1. General1-1

1.1 Purpose of This Advisory Circular (AC)1-1

1.2 Audience1-1

1.3 Where You Can Find This AC1-2

1.4 What This AC Cancels1-2

1.5 Related 14 CFR Parts1-2

1.6 Applicability1-2

Chapter 2. Pilot Records Database2-1

2.1 Definitions2-1

2.2 Applicability2-2

2.3 Background2-3

2.4 Records Contained in the PRD2-4

2.5 Accessing the PRD2-7

2.6 Review and Evaluation of Records2-16

2.7 Special Circumstances Involving Few or No Records to Evaluate2-22

2.8 Entering Company Records in the PRD2-24

2.9 Using a Proxy to Meet the Requirements of Part 1112-45

2.10 Transitioning From PRIA to the PRD2-45

2.11 FAA Inspectors’ Access to PRD Records2-48

Chapter 3. Pilot Records Improvement Act of 19963-1

3.1 Purpose of This Chapter3-1

3.2 How to Use This Chapter3-1

3.3 P RIA Background3-1

3.4 Applicability3-2

3.5 Company Records vs. PRIA Records3-3

3.6 The Request Process3-4

3.7 Designated Agent (DA)3-5

3.8 Best Practices3-5

3.9 Information for the Pilot-Applicant3-5

3.10 Information for the Hiring Employer on PRIA Procedural Considerations3-9

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3.11 Information for Previous Employers Responding to PRIA Records Requests3-17

3.12 PRIA Considerations for the Hiring Employer3-22

Chapter 4. Administrative Information4-1

4.1 PRIA-Related Regulations4-1

4.2 Definitions4-1

4.3 Commonly Used Acronyms and Abbreviations4-2

4.4 Other PRIA Resources4-3

4.5 PRIA Contact Information4-3

4.6 AC Feedback Form4-3

Appendix A. Training, Qualification, and Proficiency RecordsA-1

Appendix B. Drug and Alcohol RecordsB-1

Appendix C. Final Disciplinary Action RecordsC-1

Appendix D. Employment History RecordsD-1

Appendix E. V erification of Motor Vehicle Driving Record Search and EvaluationE-1

Appendix F. Example PRD Output of Records ReportF-1

Appendix G. FormsG-1

List of Tables

Table 2-1. PRD Overview of Record Reporting by Population2-7

Table 2-2. Record Reporting by Operator2-25

Table A-1. Data FieldsA-1

Table A-2. Part 121 Subparts N and O Training Record OptionsA-3

Table A-3. Part 121 Subpart Y Training Record OptionsA-6

Table A-4. Part 135 Training Record OptionsA-9

Table A-5. Part 125 Testing Record OptionsA-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 OptionsA-14

Table B-1. Data FieldsB-1

Table B-2. Report Type OptionsB-2

Table C-1. Data Fields (all required)C-1

Table D-1. Data FieldsD-1

Table D-2. Assignment to Duty (entry of this record is optional)D-2

Table E-1. Data FieldsE-1

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.

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.

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

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,

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

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

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.

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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.

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)