AC 120-68D

U.S. Department of Transportation Federal Aviation Administration Advisory Circular

Subject: Pilot Records Improvement Act of 1996 Date: 11/7/07 Initiated by: AFS-600 AC No: 120-68D

The Pilot Records Improvement Act of 1996, As Amended (PRIA) was enacted to ensure that air carriers and air operators adequately investigate a pilot’s background before allowing that pilot to conduct commercial air carrier flights. Under PRIA, a hiring employer cannot place a pilot into service until it obtains and reviews the last 5 years of the pilot’s background and other safety-related records as specified in PRIA.

This advisory circular (AC) is supplemented by Federal Aviation Administration (FAA) Order 8000.88, PRIA Guidance for FAA Inspectors, and numerous other documents found on the PRIA Web site at http://www.faa.gov/pilots/lic_cert/pria/. These sources of detailed information related to PRIA provide invaluable assistance to the certificate holder or others, concerning the PRIA request process as well as other compliance issues.

This AC has been greatly expanded from the previous version to address operational situations that the hiring employer may encounter that could affect its records request process through PRIA.

The Flight Standards Service is committed to a customer-driven system of operation that will deliver FAA records and assistance when necessary to all parties subject to PRIA.

ORIGINAL SIGNED by James J. Ballough Director, Flight Standards Service

CONTENTS Paragraph Page

CHAPTER 1. GENERAL INFORMATION1

1-1. Purpose1

1-2. Cancellation1

1-3. How to Use This AC1

1-4. Applicability1

1-5. Background3

1-6. The Request Process3

CHAPTER 2. INFORMATION FO R THE PILOT/APPLICANT5

2-1. Pilot/Applicant’s Tasks During PRIA Records Request Process5

2-2. Your Right to Receive Copies of Records6

2-3. A Pilot’s Expectations and Protections Under PRIA6

2-4. Pilots Formerly Employed by Governmental Agencies7

2-5. Additional PRIA Resources for Pilots8

CHAPTER 3. INFORMATION FOR TH E HIRING EMPLOYER ON PRIA

PROCEDURAL CONSIDERATIONS9

3-1. Initiate the PRIA Request Process9

3-2. Using a Designated Agent to Respond to PRIA Requests9

3-3. The Hiring Employer’s Role Duri ng the PRIA Request Process9

3-4. Process Responses11

3-5. Exceptions and Special Rule s Regarding Certain Pilots12

3-6. Pilots Seeking Employment Af ter Completing Military Duty13

3-7. Pilots Formerly Employed by a Governmental Agency13

3-8. Review and Evaluate the Records13

3-9. Maintain All PRIA-Related Records15

CHAPTER 4. INFORMATION FOR PREV IOUS EMPLOYERS RESPONDING

TO PRIA REQUESTS17

4-1. Role of Former Employers Responding to a PRIA Records Request17

4-2. Records You Must Maintain and How to Maintain Them17

4-3. Documents You Should Receive from the Requestor17

4-4. What You Must Provide to the Pilot/Applicant17

4-5. Specific Records You Must Furnish17

4-6. Charging a Fee for Records That You Provide18

4-7. Request the Pilot/Applicant to Si gn a Limitation on Liability Release19

4-8. Records You Must Furnish If You Are a 14 CFR Part 91 Operator19

4-9. Records You Must Furnish If You Are a 14 CFR Part 121 Air Carrier19

4-10. Records You Must Furnish If You Are a 14 CFR Part 125 Air Operator20

4-11. Records You Must Furnish If You Are a 14 CFR Part 135 Air Carrier20

4-12. Lost or Destroyed PRIA Records21

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CHAPTER 5. PRIA OPERATIONAL CONSIDERATIONS FOR THE

HIRING EMPLOYER23

5-1. PRIA Office Procedures and Compliance Checklist23

5-2. Assign PRIA Duties to a Designated Agent23

5-3. Resolve Noncompliances to Your PRIA Requests23

5-4. Actions to Take if a Former Employer Reports Lost or Destroyed PRIA Records24

5-5. PRIA Obligations for Pilot Fu rloughs and Leaves of Absence24

5-6. PRIA Management by a Major Holding Company25

5-7. Use of Foreign Pilots26

5-8. Pilots Formerly Employed by a Governmental Agency26

5-9. Failure to Pay for Records Requested Through PRIA27

5-10. Access of PRIA-Related Records to FAA Inspectors27

CHAPTER 6. ADMINISTRATIVE INFORMATION29

6-1. Related United States Code a nd Code of Federal Regulations29

6-2. Definitions29

6-3. Commonly-Used Acrony ms and Abbreviations30

6-4. Other PRIA Resources30

6-5. PRIA Contact Information31

APPENDIX 1. PILOT RECORDS IMPROVEMENT ACT OF 1996 (6 pages)1

APPENDIX 2. PRIA REQUEST PROCESS FLOWCHART (1 page)1

APPENDIX 3. OVERVIEW AND USE OF FAA FORM 8060-10 (2 pages)1

APPENDIX 4. OVERVIEW AND USE OF FAA FORM 8060-10A (2 pages)1

APPENDIX 5. OVERVIEW AND USE OF FAA FORM 8060-11 (2 pages)1

APPENDIX 6. OVERVIEW AND USE OF FAA FORM 8060-11A (2 pages)1

APPENDIX 7. OVERVIEW AND USE OF FAA FORM 8060-12 (2 pages)1

APPENDIX 8. OVERVIEW AND USE OF FAA FORM 8060-13 (3 pages)1

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CHAPTER 1. GENERAL INFORMATION

1-1. PURPOSE. This advisory circular (AC) provides information that may be used to comply with the provisions of Title 49 United States Code (49 U.S.C.) § 44703(h), (i), and (j). This law is commonly referred to as the Pilot Records Improvement Act of 1996 (PRIA). PRIA requires the gathering and sharing of information relating to a pilot/applicant’s qualification, safety background, and employment history. An air carrier or air operator is required to request those records so it can make an informed decision before hiring a pilot/applicant.

1-2. CANCELLATION. AC 120-68C, Pilot Records Improvement Act of 1996, As Amended, dated January 28, 2004, is canceled.

1-3. HOW TO USE THIS AC. This AC was written with three audiences in mind—the pilot/applicant, hiring employers that must request PRIA records, and former employers that must respond to PRIA requests. You do not have to read the entire document to find the information you need. Everyone should read this chapter to determine if they are affected by PRIA. Pilots applying for a job with an air carrier or air operator that will have to request PRIA records should read Chapter 2. Hiring employers should read Chapters 3 and 5, and those employers responding to PRIA requests should read Chapter 4. Chapter 6 is for everyone. It contains definitions, resources, and PRIA contact information.

1-4. APPLICABILITY.

a. Who is Affected by PRIA. PRIA specifically applies to the following.

(1) For the purpose of requesting records, any U.S. air carrier operating under Title 14 of the Code of Federal Regulations (14 CFR) part 121 or 135, or any U.S. air operator under 14 CFR part 125.

(2) For the purpose of furnishing records, any U.S. air carrier operating under 14 CFR part 121 or 135, any U.S. air operator operating under 14 CFR part 125, other person, or trustee in bankruptcy for an operator that employed the individual as the pilot of a civil or public aircraft at any time during the 5-year period before the date of the individual’s employment application.

(3) For the purpose of employment, any individual who is applying for a position as a pilot with a U.S. air carrier or operator, and has been employed as a pilot of a civil or public aircraft at any time during the 5-year period before the date of the individual’s employment application.

b. Determining if PRIA Applies to You When Hiring a Pilot. Use the following checklist to determine if PRIA requires you to request records for a pilot. (Also see the definitions in Chapter 6.) When hiring a pilot, PRIA applies and you must request records concerning a pilot/applicant if you answer “yes” to any of the four questions below.

(1) Are you an air carrier operating under 14 CFR part 121 or 135, or an air operator operating under 14 CFR part 125?

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(2) Do you engage in air transportation as defined in 49 U.S.C. § 40102(a)(5)? You engage in air transportation if you provide:

(a) Foreign air transportation (flag operation); or

(b) Air transportation on an interstate basis; and the

(c) Transportation of U.S. mail.

(3) Do you provide common carriage, i.e., hold out to the public?

(4) Do you transport U.S. mail either on an interstate or intrastate basis?

c. Contract and/or Shared Pilots Concerning PRIA. Before allowing an individual to begin service as a pilot, an air carrier or air operator must request and receive PRIA-related records, regardless of whether the pilot is being hired directly or by contract. In all cases, the PRIA burden is on the air carrier or air operator, not the company providing the pilot under a contract, or the individual pilot. In other words, if an air carrier or air operator is going to utilize the temporary services of a contract or shared pilot that is being provided by a staffing-type agency or other concern, the burden remains with the utilizing air carrier or air operator to comply with the PRIA statutes.

d. PRIA Participation by 14 CFR Part 91 Operators. If you are a 14 CFR part 91, § 91.147 operator, formerly a 14 CFR part 135, § 135.1(c) operator, you must request records when hiring a pilot/applicant for your air tour operation. Other part 91 operators are not required to request records when hiring a pilot/applicant because they do not meet the definition of an air carrier (see the definitions in Chapter 6). However, if you operate under part 91 and you receive a request for records under the authority of PRIA, you are required to respond because you meet the definition of “person.” Thus, you must furnish any PRIA-related records you accumulated on an individual you employed as a pilot within the previous 5 years.

e. Other Exceptions from PRIA When Hiring Pilots. If you are hiring a pilot, PRIA does not apply if you (1) conduct your operations on an intrastate basis only and are not operating air tours under § 91.147, and (2) you do not transport U.S. mail⎯even if you carry passengers and cargo, and even if you use common carriage, adhere to a schedule, and operate under an air carrier certificate. In other words, the definition of air transportation must be fulfilled before PRIA will apply to your operation. Other exceptions include:

(1) Flights or other operations not operating under 14 CFR parts 121, 125, 135, or part 91, § 91.147.

(2) Other groups of operators or air agencies. For example, other operators would include 14 CFR part 133 external load operators, 14 CFR part 137 agricultural operations, 14 CFR part 91, subparts F and K, or other unique part 91 operations. Air agencies include aviation-related companies operated in private industry but certificated by the FAA, including the following types of operations: domestic satellite repair station, parachute loft, domestic repair station, pilot schools, aviation maintenance technical schools, provisional pilot schools, training centers, foreign repair station, and foreign satellite repair stations.

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NOTE: Even if you meet one of the above exceptions and are not required to request records when hiring pilots for your operation, if you receive a request for PRIA-related records, you are required to respond by forwarding such records that you may have accumulated concerning the pilot/applicant within the previous 5-year period.

1-5. BACKGROUND.

a. On October 9, 1996, the President approved the Federal Aviation Reauthorization Act of 1996 (the Act). The Act amended 49 U.S.C. to reauthorize programs of the Federal Aviation Administration (FAA) and to effect certain changes, including pilot records. The law is commonly referred to as PRIA and is contained in Section 502 of Public Law 104-264. PRIA was enacted primarily as a result of certain airline accidents attributable to pilot error. In some of those cases it was later found that the pilots had histories of poor performance, but their employers had not investigated the pilots’ backgrounds.1 PRIA was amended to make clarifications and relieve air carriers of unnecessary burdens. These amendments to PRIA are in 49 U.S.C. § 44703(h), (i), and (j), which are reprinted in Appendix 1.

b. The PRIA statute is unusual because it is a self-executing statute. That is, the statute prescribes what is to be done without the need for the FAA to issue regulations.

c. Since its enactment in 1996, PRIA has required air carriers under 14 CFR parts 121 and 135 and air operators under 14 CFR part 125 to request, receive, and evaluate specific background safety information for any pilot/applicant before allowing that applicant to begin service as a pilot. A pilot may begin training with the new employer before the PRIA background check has been completed. However, all PRIA background checks must be completed, evaluated, and approved before the individual can begin service as a pilot for that hiring employer.

1-6. THE REQUEST PROCESS. The following is a brief overview of the entire PRIA process. (Also see Appendix 2). The roles and responsibilities for the pilot/applicant, the hiring employer, and the current or former employer are detailed in subsequent chapters.

a. The hiring employer initiates the process.

b. Both the pilot/applicant and hiring employer complete the records request forms.

c. The hiring employer sends the request forms:

(1) To the FAA;

(2) To NDR; and

(3) To current and previous employers.

1 United States Congress, House of Representatives Committee Report ⎯House Rpt. 104-684, H.R. 3536, Airline Pilot Hiring and Safety Act of 1996, p. 6. 1996.

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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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