U.S. Department of Transportation Federal Aviation Administration Advisory Circular Subject: Pilot Records Improvement Act of 1996 Date: 5/31/12 Initiated by: AFS-600 AC No: 120-68F Change:
The Pilot Records Improvement Act of 1996 (PRIA), as amended, 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 he or she 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 the current edition of 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.
The FAA has greatly expanded this AC from the previous version to address operational situations that the hiring employer may encounter that could affect his or her records request process through PRIA.
The Flight Standards Service (AFS) is committed to a stakeholder-driven system of operation that will deliver FAA records and assistance to all parties subject to PRIA, when necessary.
ORIGINAL SIGNED by /s/ John Duncan, for
John M. Allen Director, Flight Standards Service
CONTENTS
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
1-7. Best Practices4
CHAPTER 2. INFORMATION FOR 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 Government Agencies8
2-5. Additional PRIA Resources for Pilots8
CHAPTER 3. INFORMATION FOR THE HIRING EMPLOYER ON
PRIA PROCEDURAL CONSIDERATIONS9
3-1. Initiate the PRIA Request Process9
3-2. Using a DA 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 Government Agency13
3-8. Review and Evaluate the Records14
3-9. Maintain All PRIA-Related Records15
CHAPTER 4. INFORMATION FOR PREVIOUS 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 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 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 Agent (DA)23
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 Government 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 Regulations29
6-2. Definitions29
6-3. Other PRIA Resources31
6-4. PRIA Contact Information31
APPENDIX 1. PILOT RECORD IMPROVEMENT ACT OF 1996 (7 Pages)1
APPENDIX 2. PRIA REQUEST 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 FORM 8060-13 (3 Pages)1
APPENDIX 9. ADDITIONAL PILOT RECORDS (1 Page)1
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 of the United States Code (49 U.S.C.) § 44703(h), (i), and (j).
This law is commonly referred to as the Pilot Records Improvement Act (PRIA) of 1996. PRIA requires the gathering and sharing of information relating to a pilot’s/applicant’s qualification and safety background. An air carrier or air operator is required to request those records so it can make an informed decision before hiring a pilot/applicant. PRIA applies to any hiring air carrier or air operator whether they hire pilots directly or by contract. (See paragraph 1-4c.)
1-2. CANCELLATION. This AC cancels AC 120-68E, Pilot Records Improvement Act of 1996, dated July 2, 2010.
1-3. HOW TO USE THIS AC. The FAA has written this AC 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 PRIA affects them.
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. Affected Party. PRIA specifically applies to the following:
(1) 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, for the purpose of requesting records.
(2) Any U.S. air carrier operating under part 121 or 135, any U.S. air operator operating under 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 for the purpose of furnishing records.
(3) 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 for the purpose of employment.
NOTE: If you are a single pilot operator, you are still subject to the provisions of PRIA. Complete the PRIA forms as both the air carrier representative and the pilot (as subject of the request). In the margin of the request, enter the statement “SINGLE PILOT OPERATOR” in large letters to identify yourself as such.
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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 either of the two questions below.
(1) Are you an air carrier operating under part 121 or 135, or an air operator operating under part 125?
(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:
• Foreign air transportation (flag operation);
• Air transportation on an interstate basis; or
• Transportation of U.S. mail.
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 they hire the pilot 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 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 part 91, § 91.147 operator (formerly a part 135, § 135.1(c) operator) you must request drug and alcohol testing 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 part 121, 125, or 135 or § 91.147.
(2) Other operators would include 14 CFR part 133 external load operators, 14 CFR part 137 agricultural operations, 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, aviation maintenance technical schools, training centers, foreign repair station, and foreign satellite repair stations.
(3) If you are a pilot that has been continuously employed by the same air carrier or air operator with no break in service since the initiation of the Pilot Records Improvement Act on February 6, 1997, you are not required to comply with the provisions of PRIA or to have a PRIA Background Report on file.
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. Act Approval. 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, the subsequent employer found that the pilots had previous histories of poor performance, but the background of these pilots had not been checked.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. PRIA Statute. The PRIA statute is unusual because it is a self-executing statute. That is, the statute prescribes what to complete without the need for the FAA to issue regulations.
c. Background Checks. Since its enactment in 1996, PRIA has required air carriers under parts 121 and 135 and air operators under 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.) Subsequent chapters detail the roles and responsibilities for the pilot/applicant, the hiring employer, and the current or former employer.
a. Initiation. The hiring employer initiates the process.
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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b. Record Request. Both the pilot/applicant and hiring employer complete the records request forms.
c. Employer. The hiring employer sends the request forms:
(1) To the FAA;
(2) To National Driver Register (NDR); and
(3) To current and previous employers.
d. Response. Respondents answer the records requests.
e. Review. All pilots/applicants may review records submitted about them to the FAA, NDR, and current and previous employers.
f. Evaluation. The hiring employer reviews and evaluates the results.
g. Record Maintenance. The hiring employer maintains all PRIA-related records.
1-7. BEST PRACTICES. The FAA has an expectation that pilots, hiring air carriers and air operators, as well as past employers, will use these best practices to ensure they are operating to the highest level of safety.
a. Record Request. The FAA expects all hiring air carriers and air operators to request all FAA records of proficiency/competency and airmen certification practical test results. This will require a release from the applicant (see Appendix 9).
b. Release Form. The FAA expects that no hiring air carriers and air operators will consider an applicant for employment if that applicant will not sign the release for the additional FAA records in item a. above.
c. Disclosure. The FAA expects a pilot applicant to disclose all pilot testing failures to any potential aviation employer.
d. Related Records. The FAA expects all hiring air carriers and air operators to request all pilot training records from 14 CFR part 141 pilots schools and 14 CFR part 142 training centers.
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 the FAA, your previous employer(s), and the National Driver Registry (NDR) to release your records.
(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. From the previous 5-year period, the FAA will also summarize any closed legal enforcement actions against you that resulted in findings of violations that were not subsequently overturned. However, the FAA will report any certificate revocation indefinitely.
(2) The hiring employer will ask your previous employer(s) to provide records pertaining to you, except for 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 the previous employer did not overturn; and any release from employment or resignation, termination, or disqualification from employment.
Additionally, under PRIA, your former Department of Transportation (DOT)-regulated employer(s) will provide records of drug and alcohol tests performed under Title 14 of the Code of Federal Regulations (49 CFR) part 40, even if the employers were not aviation entities. For example:
(a) 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.
(b) If this is your first job as a pilot, but you had previously served in another safety-sensitive function such as Flight Attendant (F/A) 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 verification 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 Par 2-1 Page 5
Page 6 Par 2-1 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 the hiring employer uses the recommended FAA forms to request records, then FAA Form 8060-11A, Airman Notice and Right to Receive a Copy, Air Carrier and Other Records, is the proper form to use when requesting copies of your pilot and drug and alcohol testing 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. Record Request. 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 calendar-days.
b. Notification. If the processing time will exceed 20 calendar-days, the respondent must send you written notification (e.g., postcard or letter) to this effect. You must receive the records, however, no later than 30 calendar-days after they received your request.
2-3. A PILOT’S EXPECTATIONS AND PROTECTIONS UNDER PRIA. All professional pilots that a hiring employer is considering for employment 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 your past, present, and 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.
(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 calendar-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 you address all problem areas 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) The air carrier or air operator should maintain PRIA-related records for the duration of your employment with them 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 in which they did not subsequently overturn and did not involve termination or release from employment. Your previous employer must report all disciplinary actions, including those that did not involve your performance as a pilot, if they played any role in your termination or release from employment.
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2-4. PILOTS FORMERLY EMPLOYED BY GOVERNMENT AGENCIES. If a governmental agency (Federal, State, or local) employed you as a pilot, 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. Send this request to the governmental agency where you worked..
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.
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 designated agent) 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 DA TO RESPOND TO PRIA REQUESTS. You may contract with a DA to process PRIA requests and furnish records to hiring employers and pilots/applicants. Although you may delegate this work to a DA, you are ultimately responsible for fulfilling the requirements. Also, note that since 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 Pilots/applicants of Their Right To Receive Copies.
PRIA requires you to notify all pilots/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.
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. Release from Par 3-1 Page 9