d. Respondents answer the records requests.
e. All pilot/applicants may review records submitted about them to the FAA, NDR, and current and previous employers.
f. The hiring employer reviews and evaluates the results.
g. The hiring employer maintains all PRIA-related records.
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CHAPTER 2. INFORMATION FOR THE PILOT/APPLICANT
2-1. PILOT/APPLICANT’S TASKS DURING PRIA RECORDS REQUEST PROCESS.
If you are an individual who is applying for a job as a pilot, your hiring employer will initiate the PRIA records request process. Per the PRIA statute, the hiring employer must first notify you in writing that it will request records about you, and obtain your written consent.
a. Complete Records Request Forms. The hiring employer or a Designated Agent (DA) will provide several forms to request PRIA-related records from the previous 5 years only. You need to complete/sign these forms to grant your consent for your records to be released from the FAA, your previous employer(s), and the National Driver Registry (NDR).
(1) The FAA Aviation Data Systems Branch, AFS-620, will provide information concerning your current airman medical certificate. It will also give information on your current airman certificates indicating level, category, class, and associated type ratings, including any limitations to those certificates and ratings. It will also summarize any closed legal enforcement actions against you that resulted in findings of violations that were not subsequently overturned from the previous 5-year period. However, any certificate revocation will be reported indefinitely.
(2) Your previous employer(s) will be asked to provide records pertaining to you (other than those related to flight time, duty time, or rest time). They will provide records on your performance as a pilot concerning your training, qualifications, proficiency, and professional competence, including any comments or evaluations by check airmen; any disciplinary actions that were not overturned; and any release from employment or resignation, termination, or disqualification from employment. Additionally, under PRIA, your former DOT-regulated employer(s) will provide records of drug and alcohol tests performed under 49 CFR part 40, even if the employers were not aviation entities. For example: (1) if this is your first job as a pilot, but you had previously driven a commercial vehicle and were subject to DOT-regulated testing, your hiring employer must request your drug and alcohol test results from your previous employer; (2) if this is your first job as a pilot, but you had previously served in another safety-sensitive function such as flight attendant or maintenance duties, your hiring employer must request your drug and alcohol test results from your previous employer.
(3) The NDR will furnish your applicable motor vehicle driving records.
b. Request Copies of Records.
(1) Records from the FAA. AFS-620 will automatically send you a free courtesy copy of the PRIA Pilot Profile Letter that it furnishes to the hiring employer. As a security measure, AFS-620 will send this report to your home address, as shown in the records maintained by the FAA Airmen Certification Branch, AFS-760. Ensure that AFS-760 has your current home address by updating it online at http://registry.faa.gov/ or by calling toll-free at
(866) 878–2498. In addition, the hiring employer may, at its discretion, request a record of your Notices of Disapproval. For additional information, see paragraph 3-8.
(2) Records from Previous Employers and the NDR. If desired, you can request copies of records that your previous employer(s) maintained, including those from the NDR. If Par 2-1 Page 5
the hiring employer uses the recommended FAA forms to request records, FAA Form 8060-11A, Airman Notice and Right to Receive Copy⎯Air Carrier and Other Records, is for requesting copies of your pilot and drug and alcohol records from your previous employer(s). If you requested a copy of your current NDR records, the hiring employer will furnish them to you after receiving them from the NDR.
NOTE: By law, PRIA respondents are allowed to charge a reasonable fee in a “statement of payment” to recoup the cost of furnishing records to you.
c. Review Records and Submit Corrections. You may review the records received and, if necessary, submit a written statement to correct any inaccuracy or omission in your records.
The hiring employer will include your statement in the PRIA-related records file that it compiles on you to represent your viewpoint concerning those records or entries.
d. Sign Release of Liability. Hiring employers or former employers may require you to sign a release from liability for records other than the drug and alcohol testing records. The release from liability can state that you will not make any claim against them for requesting or furnishing PRIA records, but would not apply if an employer furnishes information known to be false or maintained it in violation of a criminal statute. Under 49 CFR part 40, § 40.27, an employer must not ask an employee to sign a consent, release, waiver of liability, or indemnification agreement with respect to any part of the drug or alcohol testing process.
2-2. YOUR RIGHT TO RECEIVE COPIES OF RECORDS. Within 20 calendar-days of receiving a PRIA records request, the FAA and your former employer(s) are required to give you written notice of the request and notice of your right to receive copies of the records.
a. If you have requested a copy of your records, these respondents (FAA or former employer) can fulfill this requirement by providing the records to you within 20 days.
b. If the processing time will exceed 20 days, the respondent must send you written notification (e.g., postcard or letter) to this effect. You must receive the records, however, not later than 30 calendar-days after they received your request.
2-3. A PILOT’S EXPECTATIONS AND PROTECTIONS UNDER PRIA. All professional pilots being considered for employment by a hiring employer have certain protections concerning the request, transfer, receipt, evaluation, and maintenance of their records.
a. What You Should Expect. Aside from those protections specified in the PRIA statute, you should expect fair and timely treatment from the FAA, NDR, and past, present, and your potential future employers concerning the process for the request, transfer, receipt, evaluation, and maintenance of the appropriate PRIA-related records.
b. PRIA Statutory Provisions. According to the PRIA statutory provisions, the hiring employer must provide you with the following:
(1) Written notification that they will make a request for your PRIA-related records.
(2) A consent form to sign for the release of those records.
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(3) An opportunity to request a copy of those records if so desired.
NOTE: Use of the FAA forms can fulfill the three requirements stated above.
(4) An opportunity to submit a written comment or memorandum to a former or potential employer when you believe there are inaccuracies in your PRIA-related records.
(5) An opportunity to review and comment on your PRIA-related records. The air carrier or air operator should also make available a copy of the requested records within a reasonable period of time, but not later than 30 days after the date of your written request. This is especially true when distance prohibits you from reviewing your records in person.
NOTE: We recommend that you review your PRIA-related records, if possible, before applying for a new job. This can help you ensure that your records are in order and that all problem areas are addressed in advance.
c. Your Privacy Protections Under PRIA. The confidentiality of your PRIA records will be protected in the following manner:
(1) A hiring employer receiving your PRIA records may use them only to assess your qualifications in deciding whether to hire you as a pilot.
(2) Only company personnel directly involved in the hiring process may view and evaluate the records.
(3) PRIA-related records should be maintained for the duration of your employment with the air carrier or air operator and an additional period of 5 years after the termination of that employment. Anyone possessing PRIA-related records must ensure that individuals not involved in the hiring process do not view or have access to your records. The one exception is the FAA inspector, who cannot be denied access to a PRIA-related system of records when conducting surveillance or inspection. However, when viewing such records, the FAA inspector must make every effort to protect your privacy and the confidentiality of your PRIA-related records.
d. Records Concerning Disciplinary Actions. Your previous employer must report any disciplinary actions that involved your performance as a pilot and were not subsequently overturned and did not involve termination or release from employment. Your previous employer must report all disciplinary actions, including those that do not involve your performance as a pilot, if they played any role in your termination or release from employment.
2-4. PILOTS FORMERLY EMPLOYED BY GOVERNMENTAL AGENCIES. If you were previously employed as a pilot by a governmental agency (Federal, State, or local), the hiring employer must contact the agency for your records. You should provide a brief statement and a signature consenting to the release of background information concerning your flight training, experience and qualifications, proficiency, other related safety history, and drug and alcohol testing records and any subsequent actions taken as a result of those tests. This request should be sent to the governmental agency where you worked.
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2-5. ADDITIONAL PRIA RESOURCES FOR PILOTS. Check the PRIA Web site, http://www.faa.gov/pilots/lic_cert/pria/, for additional resources or information. Direct any questions you have about PRIA to AFS-620’s PRIA program manager at (405) 954–6367.
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CHAPTER 3. INFORMATION FOR THE HIRING EMPLOYER ON PRIA
PROCEDURAL CONSIDERATIONS
3-1. INITIATE THE PRIA REQUEST PROCESS. If you are an air carrier or air operator hiring a pilot, you (or your DA) will initiate the PRIA records request. Using the forms available from the FAA will help you comply with the statutory requirements of PRIA. You can obtain the forms and information about filling out these forms from the PRIA Web site at http://www.faa.gov/pilots/lic_cert/pria/ and from http://forms.faa.gov/. See Appendices 3–8 for guidance concerning the overview and use of these forms. We recommend that you use these current FAA forms instead of old versions or self-designed forms because those forms may not produce the results required by statute. The FAA forms are:
• Form 8060-10, FAA Records Request;
• Form 8060-10A, Airman Notice and Right to Receive Copy⎯FAA Records (PRIA);
• Form 8060-11, Air Carrier and Other Records Request;
• Form 8060-11A, Airman Notice and Right to Receive Copy⎯Air Carrier and Other Records;
• Form 8060-12, Authorization for Release of DOT Drug and Alcohol Testing Records Under PRIA and Maintained Under Title 49 of the Code of Federal Regulations (49 CFR) Part 40; and
• Form 8060-13, National Driver Register Records Request (PRIA).
3-2. USING A DESIGNATED AGENT TO RESPOND TO PRIA REQUESTS. You may contract with a DA to process PRIA requests and furnish records to hiring employers and pilot/applicants. Although you may delegate this work to a DA, you are ultimately responsible for fulfilling the requirements. Also note that a DA cannot retain PRIA records in a records system of its own⎯you are responsible for maintaining PRIA records. The release of the documents must specify exactly who is to receive the documents, and a blanket release to provide the documents to a category of parties is prohibited under 49 CFR §§ 40.321(b) and
40.351(d) of the drug and alcohol testing regulations. A guidance document titled PRIA Instructions for the Designated Agent is available on the PRIA Web site, http://www.faa.gov/pilots/lic_cert/pria/.
3-3. THE HIRING EMPLOYER’S ROLE DURING THE PRIA REQUEST PROCESS.
a. Obtain Consent and Notify Pilot/Applicants of Their Right to Receive Copies. PRIA requires you to notify all pilot/applicants in writing that you will be requesting their records, obtaining their written consent to release the records, and informing them of their right to receive copies. You can fulfill these requirements by using the FAA forms.
b. Complete Records Request Forms. Fill out the applicable sections of each form.
Then have the pilot/applicant complete the forms.
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NOTE: Provided there are no other provisions of law or agreement to the contrary, you can require the pilot/applicant to execute a release from liability against any claim he or she may make from your use of PRIA records other than the drug and alcohol testing records. The release from liability can state that you will not make any claim against them for requesting or furnishing PRIA records, but would not apply if an employer furnishes information known to be false or maintained in violation of a criminal statute.
c. Send Forms to the Appropriate Recipients. Mail or fax the forms to the recipients and retain documentation of when the recipient received them (e.g., fax confirmation page). If mailing, we recommend that you send forms “certified, return receipt requested” via the U.S. Postal Service (USPS) or private mail carrier that documents the date of delivery. Thus, you can prove that you sent the PRIA records request as required, or document your attempt if the receipt or envelope is returned to you as undeliverable.
(1) Forward FAA Form 8060-10 to the FAA, AFS-620. You can fax your completed PRIA request(s) for FAA records to AFS-620 at (405) 954-4655, ATTN: PRIA. Or mail your completed PRIA request(s) for FAA records to:
(via regular mail) Federal Aviation Administration ATTN: Aviation Data Systems Branch, AFS-620 (PRIA) P.O. Box 25082 Oklahoma City, OK 73125-0082 or (via expedited mail) Federal Aviation Administration ATTN: Aviation Data Systems Branch, AFS-620 (PRIA) 6500 South MacArthur Blvd., ARB, Room 313 Oklahoma City, OK 73169
(2) Retain the original FAA Form 8060-10A in your PRIA-related records file after giving the pilot/applicant a signed and completed copy of the form.
NOTE: Do NOT forward FAA Form 8060-10A to the FAA. AFS-620 will automatically mail to the pilot/applicant a courtesy copy of the PRIA Pilot Profile Letter that it furnishes to you.
(3) Send FAA Forms 8060-11, 8060-11A, and 8060-12 to all previous employers who employed the individual as a pilot within the previous 5-year period. If the individual was not employed as a pilot before, you must request the testing records from those previous employers and you must ask the question required by 49 CFR part 40, § 40.25(j). Examples of previous employment that would trigger this requirement are: work in another FAA-regulated safety-sensitive function (flight attendant, maintenance, etc.); or work in another DOT-regulated industry where he or she was subjected to drug and alcohol testing under 49 CFR part 40.
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(4) Forward FAA Form 8060-13 to your preferred State Department of Motor Vehicles (DMV) to request the appropriate NDR-related records. Many State DMVs will require the original form, so you might have to mail the request instead of faxing it. We recommend that you call the State DMV to confirm that it will accept the form and determine if it needs the original. Current addresses and telephone numbers for State DMV agencies may be found at http://www-nrd.nhtsa.dot.gov/departments/nrd-30/ncsa/NDR.html. Although you can forward NDR requests to most States, we recommend using the Florida DMV, which provides a national check. All requests to the Florida DMV must include the original form with original signatures and must be sent by U.S. mail only (no faxes). When completing FAA Form 8060-13, Part IIIb does not need to be completed by a notary public unless the pilot/applicant does not apply for employment in person. For regular or expedited mailing, use the following address:
Florida Dept. of Highway Safety and Motor Vehicles ATTN: Bureau of Records, Neil Kirkman Building 2900 Apalachee Parkway Tallahassee, FL 32399 Phone: (850) 617-2606
d. Title 14 CFR Part 91 Requests. If you are a part 135 or 121 air carrier or a part 125 air operator who is preparing to hire a pilot whose previous experience is only with part 91 operators, you must still send a PRIA request to these companies for any training or safety-related information that they may have. You should recognize that most part 91 operators do not establish or maintain the pilot records required by PRIA, and are not required to do so.
However, since a part 91 operator is included under the definition of “person” you are still required to send a PRIA request, and the company is required to respond to that request. If the company has no information they should indicate to you that no information is available. If the pilot you are preparing to hire only worked privately as an individual 14 CFR part 61 flight instructor, there is no need to prepare and send a PRIA request because there is no company to request records from.
3-4. 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. Under no circumstances should you accept PRIA records that are hand-delivered or personally generated by a pilot/applicant.
a. Protect Confidentiality of Pilot/Applicant’s Records. Only your company personnel directly involved in the hiring process may view and evaluate the PRIA records. Ensure that other individuals uninvolved in the hiring process do not view or have access to the records.
b. Process Requests for Payment. The previous employer may include a “statement for payment” to you, to recoup the cost of furnishing the records. The PRIA statute allows the former employer to establish a reasonable charge, but does not specifically define this term, so the definition from Webster’s dictionary should apply:
“Reasonable: within the bounds of common sense; not extreme or excessive;
fair.”
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c. Make Additional NDR Requests. If the NDR returned a positive report (showing a driver’s license suspension or revocation, or a driving under the influence (DUI) conviction), send a second NDR request to the State identified in the first report to obtain the full details.
d. Document “Good Faith” Attempts to Obtain Records. If a pilot/applicant’s former employer has not responded after 30 days, document your attempts to obtain the PRIA records from them and contact the PRIA program manager to determine its status. (See paragraph 3-4b below). For drug and alcohol testing records, three attempts to obtain the records within a 30-day period would be considered to be a reasonable attempt to obtain the records. 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.
e. Provide Records to the Applicant. If the pilot/applicant requested it, provide the individual with a copy of the NDR records.
f. Allow Pilot/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. Retain such statements in the PRIA file for the individual.
3-5. EXCEPTIONS AND SPECIAL RULES REGARDING CERTAIN PILOTS.
a. Pilots of Certain Small Aircraft. Before receiving the required records from the pilot/applicant’s former employer(s), you may allow an 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 § 119.3) or a helicopter, provided:
(1) The flight is not a scheduled operation (as defined in § 119.3).
(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 Department of Transportation (DOT)-related drug and alcohol testing records. In accordance with Title 49 of the Code of Federal Regulations (49 CFR) part 40, § 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 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 (see paragraph b below).
(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.
b. 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 or is in bankruptcy, or from a foreign government or Page 12 Par 3-4
operator that employed the individual, if you make a documented attempt to obtain such information.
(1) Send the PRIA request (FAA Forms 8060-11, 8060-11A, and 8060-12) to the former employer, as usual. We recommend that you send it through the USPS (certified, return receipt requested) or other private mail carrier that provides documented delivery to document that you sent the request.
(2) If the receipt and/or the envelope are returned 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 records request and determine a satisfactory resolution. Remember, for drug and alcohol testing records, three attempts to obtain the records within a 30 calendar-day period would be considered to be a reasonable attempt to obtain the records. You may report a non-response to the AFS-620 PRIA program manager, who will determine if the former employer is still in business.
(3) If the records are never returned by a foreign air carrier 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.
(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 unconditionally hire the pilot/applicant 30 calendar-days after submitting the request to the former employer if you received all other components of the PRIA request and deemed them acceptable.
3-6. PILOTS SEEKING EMPLOYMENT AFTER COMPLETING MILITARY DUTY.
PRIA does not require prior employment records to be requested or provided 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 and NDR, and former employers other than the military.
3-7. PILOTS FORMERLY EMPLOYED BY A GOVERNMENTAL AGENCY. If the pilot/applicant was previously employed by a governmental agency (Federal, State, or local), you must query that agency for records. Do not use FAA Forms 8060-11 and 8060-11A, as these methods are inappropriate for querying a governmental agency. Instead, send a letter requesting the appropriate pilot safety-related records, including any available drug and alcohol testing records. Have the pilot/applicant provide a brief statement and a signature consenting to the release of this information, either with the letter or as a separate attachment. See paragraph 5-8 for more information.
3-8. 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 or not to hire the individual as a Par 3-5 Page 13
pilot. Take whatever actions are necessary to protect the privacy of the pilot and the confidentiality of the records, and ensure that information contained in the records is not divulged to anyone not directly involved in the hiring decision, with the exception of an FAA inspector. Remember that your agent is prohibited from creating their own recordkeeping system or database containing the information they receive in response to the PRIA requests. You should receive the following records:
a. Records from the FAA. AFS-620 will provide the following:
(1) Current airman certificates with associated type ratings and limitations;
(2) Current airman medical certificate, including any limitations; and
(3) Summaries of FAA legal enforcement actions resulting in a finding by the Administrator of a violation that was not subsequently overturned. Certificate revocations are also reported by PRIA indefinitely.
NOTE: A request with a signed consent by the pilot/applicant may be used 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.
Air carrier 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 request process. Consult the PRIA program manager for details.
b. Records Provided by Previous Employers. Previous employers will provide records pertaining to the pilot/applicant, to that individual’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 record-keeping provisions apply for non-pilots. See Chapter 4 for the specific documents and information that will be included in those records.
c. Records Provided by the NDR. From the chief driver licensing official of a State you should receive a report on the status of the pilot’s current State driver’s license. 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 identified in the report; when that State responds, the NDR process is complete for the purpose of PRIA. A positive report would include:
(1) A record of any suspension or revocation of the pilot’s driver’s license from the previous 5-year period, including the State where the offense occurred; and/or
(2) A record of any convictions of a DUI from the previous 5-year period, including the State where the offense occurred.
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3-9. MAINTAIN ALL PRIA-RELATED RECORDS. You should retain all PRIA-related records for the duration of a pilot’s employment with you. Keep them an additional 5 years after termination of the pilot’s employment.
a. 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. You must 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 a surveillance or an inspection of those records.
b. If you initially considered hiring a pilot/applicant but ultimately did not and PRIA-related records were not requested or received, 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.
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