d. Document “Good Faith” Attempts to Obtain Records. If a pilot/applicant’s former employer has not responded after 30 calendar-days, document your attempts to obtain the PRIA records from them and contact the PRIA program manager to determine its status.
(See paragraph 3-5b 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 Pilots/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 part 110, § 110.2) or a helicopter, provided:
(1) The flight is not a scheduled operation (as defined in § 110.2).
(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 DOT-related drug and alcohol testing records. In accordance with 49 CFR § 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 subparagraph 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 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 USPS (certified, return Page 12 Par 3-4
receipt requested) or other private mail carrier that provides documented delivery to document that you sent the request.
(2) If the USPS returns the receipt and/or the envelope 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. 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 a foreign air carrier never returns the records 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 the hiring employer to request or provide prior employment records 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 GOVERNMENT AGENCY. If the pilot/applicant was previously employed by a government 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 government 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.
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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 to hire the individual as a pilot.
Company personnel must take whatever actions are necessary to protect the privacy of the pilot and the confidentiality of the records, and ensure that the information contained in those records are 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. PRIA reports certificate revocations indefinitely.
NOTE: Hiring employers may use a request with a signed consent by the pilot/applicant 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.
(4) 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 or see Appendix 9.
b. Records Provided by Previous Employers. Previous employers will provide records pertaining to the pilot’s/applicant’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 recordkeeping provisions apply for non-pilots. See Chapter 4 for the specific documents and information that those records will include.
c. Records Provided by the NDR. You should receive a report on the status of the pilot’s current State driver’s license from the chief driver licensing official of a state. 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.
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. PRIA Records. 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 surveillance or an inspection of those records.
b. Holding Records. If you initially considered hiring a pilot/applicant but ultimately did not, and did not request or receive PRIA-related records, 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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CHAPTER 4. INFORMATION FOR PREVIOUS EMPLOYERS RESPONDING TO
PRIA REQUESTS
4-1. ROLE OF FORMER EMPLOYERS RESPONDING TO A PRIA RECORDS REQUEST. If you are an air carrier, air operator, or person (see definitions in paragraph 6-2) receiving a PRIA request for records concerning a former employee (i.e., pilot/applicant), you are required to furnish the appropriate records from the previous 5 years to the requestor not later than 30 calendar-days after receiving the request.
NOTE: The 30-day period is 30 calendar-days, not 30 working-days. You are required to provide records pertaining to your former employee, that individual’s performance as a pilot, disciplinary actions (see paragraph 4-5), and release from employment.
4-2. RECORDS YOU MUST MAINTAIN AND HOW TO MAINTAIN THEM. If you are required to maintain PRIA records, you should do so for the duration of a pilot’s employment with your company plus 5 years. You only need to retain those records that you requested and received under PRIA, regardless of whether the pilot/applicant was hired or completed training.
You must file PRIA-related records separately from other company pilot records, or ensure they are easily retrievable from your primary system of records. 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 surveillance or inspection.
NOTE: The 5-year period required by PRIA supersedes other references to records maintenance time periods in part 121, 125, or 135.
4-3. DOCUMENTS YOU SHOULD RECEIVE FROM THE REQUESTOR.
a. Consent Release. You must not furnish any records to the requestor unless you have received a copy of the pilot/applicant’s written consent for you to release such information
(e.g., FAA Form 8060-11).
b. The Pilot/Applicant’s Request for a Copy of the Pilot/Applicant’s Records.
Pilots/applicants will use FAA Form 8060-11A to designate whether or not they want a copy of their records. If you receive a request without this form, consider it an incomplete request and return it for correction.
4-4. WHAT YOU MUST PROVIDE TO THE PILOT/APPLICANT. Within 20 calendar-days of receiving a PRIA records request, you must provide the pilot/applicant with written notification (e.g., postcard or letter) of the request and of the individual’s right to receive a copy of such records. Or you can fulfill this requirement by providing a copy of the records to the individual within 20 calendar-days. However, you must provide the records no later than 30 calendar-days after receiving the request.
4-5. SPECIFIC RECORDS YOU MUST FURNISH. Only furnish records from the past 5 years; you must not furnish a record entered more than 5 years before the date of the PRIA request, unless the information concerns a revocation or suspension of an airman certificate or Par 4-1 Page 17
Page 18 Par 4-5 motor vehicle license and the revocation or suspension is in effect on the date of the request. You must respond to the requestor (the hiring employer) within 30 calendar-days of receiving the records request, and provide records regarding:
a. Pilot Performance. Furnish records pertaining to the individual’s performance as a pilot, including:
(1) Initial and recurrent training records.
(2) Records concerning qualifications, proficiency, or professional competence of the individual, including comments and evaluations made by a check airman designated under § 121.411, § 125.295, or § 135.337. For example, documents that show the individual’s qualifications as instructor/evaluator, check airman, or examiner; and records of the individual’s proficiency checks (recurring checks for captain, first officer, or line checks).
(3) Records of any disciplinary action(s) that the employer did not subsequently overturn, if these disciplinary actions pertained to the individual’s performance as a pilot.
(4) Any release from employment or resignation, termination, or disqualification of the individual with respect to employment.
b. Disciplinary Actions that Resulted in Termination of Employment. Report any disciplinary actions you took against the pilot that played any role in the individual’s termination or release from employment.
c. Disciplinary Actions Involving Pilot’s Performance. Only report disciplinary actions unrelated to an individual’s termination or release from employment if the actions involved the individual’s performance as a pilot and the employer did not subsequently overturn them. You should not report other employment-related actions that have nothing to do with the pilot’s aeronautical duties that resulted in a disciplinary action, but did not result in discharge or termination.
4-6. CHARGING A FEE FOR RECORDS THAT YOU PROVIDE. If desired, you may establish a reasonable fee for the cost of processing the request and furnishing copies of the records.
a. Providing Records. While you may charge a reasonable sum for furnishing records, you must not withhold records until the hiring employer makes the payment. You must provide records within 30 calendar-days of receiving the request.
b. Using PRIA. Employers should never use the PRIA statute as an instrument to:
(1) Inflict excessive charges on another air carrier or air operator that is requesting records in accordance with PRIA;
(2) Excessively profit from the transaction; or
(3) Discourage another air carrier or air operator from submitting a request for pilot information related to PRIA
4-7. REQUEST THE PILOT/APPLICANT TO SIGN A LIMITATION ON LIABILITY RELEASE. If desired, you can present a liability release for the pilot/applicant to sign. Such a release would limit the individual from seeking legal action against you for furnishing PRIA records or for information you entered in that individual’s records. A pilot/applicant must sign and return the release. However, you cannot withhold the requested records past the 30 calendar-day period allowed by statute while waiting for an individual to return the release.
This limitation on liability does not apply if you knowingly furnish false information or information maintained in violation of a criminal statute of the United States.
4-8. RECORDS YOU MUST FURNISH IF YOU ARE A PART 91 OPERATOR. If you operate solely under part 91, and are not conducting air tours under § 91.147, then you do not have to request PRIA records when hiring pilots. Remember, operators under § 91.147 were required to request records under PRIA when they were considered to be sightseers under § 135.1(c) and are still required to request drug and alcohol testing records under PRIA. We recognize that most part 91 operators, other than § 91.147 operators, are not required to establish or maintain pilot records under PRIA. However, you are still required to respond to a PRIA request regarding a former employee by providing any documents you accumulated over the past 5 years that would provide relevant and useful background information concerning the pilot’s experience, proficiency, and safety history. If you have no information at all concerning the individual, send a response to the record requestor stating so.
4-9. RECORDS YOU MUST FURNISH IF YOU ARE A 14 CFR PART 121 AIR CARRIER. In response to a records request, you must furnish records pertaining to the individual (other than those relating to flight time, duty time, or rest time), including:
a. Compliance. Records that show whether the crewmember complied with the applicable subparagraphs of 14 CFR § 121.683(a), including:
(1) Proficiency and route checks.
(2) Airplane and route qualifications.
(3) Training.
(4) Records of each action taken concerning the release from employment or physical or professional disqualification of the flightcrew member that the employer did not subsequently overturn.
b. Drug Testing. Records pertaining to the drug testing and alcohol misuse programs described in part 14 CFR part 120, and maintained in accordance with 49 CFR part 40, § 40.333:
(1) Confirmed alcohol test results indicating an alcohol concentration of 0.04 or greater.
(2) Verified positive drug test results.
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(3) Documentation of refusals to take required alcohol and/or drug tests (including substituted or adulterated test results).
(4) Documentation of other violations of DOT agency drug and alcohol testing regulations.
(5) Substance Abuse Professional (SAP) reports.
(6) All follow-up test results and schedules for follow-up tests, including documentation of the return-to-duty test.
(7) Information obtained from previous employers under 49 CFR part 40, § 40.25 concerning drug and/or alcohol violations.
(8) Records of negative and canceled drug test results, and confirmed alcohol test results with an alcohol concentration of less than 0.039.
4-10. RECORDS YOU MUST FURNISH IF YOU ARE A PART 125 AIR OPERATOR. In response to a records request, you must furnish records pertaining to the individual (other than those relating to flight time, duty time, or rest time) including records that show whether the crewmember complied with the applicable sections of § 125.401(a). This includes:
a. Checks. Proficiency and route checks.
b. Qualifications. Airplane qualifications.
c. Disqualification. Records of each action taken concerning the release from employment or physical or professional disqualification of the flightcrew member that the employer did not subsequently overturn.
4-11. RECORDS YOU MUST FURNISH IF YOU ARE A 14 CFR PART 135 AIR CARRIER. In response to a records request, you must furnish records pertaining to the individual (other than those relating to flight time, duty time, or rest time), including:
a. Compliance. Records that show whether the pilot complied with the applicable sections of 14 CFR § 135.63(a)(4), including:
(1) Full name,
(2) Pilot certificate (by type and number) and ratings held,
(3) Aeronautical experience, and
(4) Current duties and the date of assignment to those duties.
(5) Date and result of each of the initial and recurrent competency tests and proficiency and route checks required by part 135 and the type of aircraft flown during that test or check.
(6) Check pilot authorization, if any.
(7) Release from employment for physical or professional disqualification that the employer did not subsequently overturn.
(8) Date of the completion of the initial phase and each recurrent phase of the training required by part 135.
b. Drug Testing. Per §§ 135.251(b) and 135.255(b), records pertaining to drug and alcohol testing described in part 14 CFR part 120 and maintained in accordance with 49 CFR § 40.333:
(1) Confirmed alcohol test results indicating an alcohol concentration of 0.04 or greater.
(2) Verified positive drug test results.
(3) Documentation of refusals to take required alcohol and/or drug tests (including substituted or adulterated test results).
(4) Documentation of other violations of DOT agency drug and alcohol testing regulations.
(5) SAP reports.
(6) All followup test results and schedules for followup tests, including documentation of the return-to-duty test.
(7) Information obtained from previous employers under 49 CFR § 40.25 concerning drug and/or alcohol violations.
(8) Records of negative and cancelled drug test results, and confirmed alcohol test results with an alcohol concentration of less than 0.039.
4-12. LOST OR DESTROYED PRIA RECORDS. If your PRIA-related records have been legitimately lost or destroyed (for example, from a flood, hurricane, or fire), you must still respond to a PRIA request.
a. Record Availability. First, verify whether any records are available, perhaps maintained at another location or by another service agent (for example, a drug and alcohol testing agent). Then, prepare a statement declaring that the requested records have been legitimately lost or destroyed, and are not available for forwarding per the request. The person preparing this statement should verify the loss by signature.
b. Deadline. Return this statement and any records you were able to recover to the requestor within 30 calendar-days from when you received the request to fulfill your responsibility.
NOTE: If providing a statement that your records have been lost or destroyed, you must ensure that this is actually the case. You cannot use this provision as an excuse to avoid providing the requested records.
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CHAPTER 5. PRIA OPERATIONAL CONSIDERATIONS FOR THE HIRING
EMPLOYER
5-1. PRIA OFFICE PROCEDURES AND COMPLIANCE CHECKLIST. While PRIA does not require you to establish and maintain a written office procedure for completing the PRIA request process, we recommend that you establish one. You can obtain a generic office procedure and compliance checklist that you can customize from the PRIA Web site at http://www.faa.gov/pilots/lic_cert/pria.
5-2. ASSIGN PRIA DUTIES TO A DESIGNATED AGENT (DA). You can hire a DA to conduct the task of requesting records under PRIA.
a. DA. A DA cannot retain any of these records in its own system. It must forward you any records it receives within the required period of time, using appropriate measures to ensure the privacy and security of those records.
b. DA Responsibilities. Unless your company PRIA representative signs all of the completed request forms, he or she must prepare and sign a designation letter that verifies the DA’s responsibility over the PRIA request process. The DA must include this letter in its request for FAA records (FAA Form 8060-10). On FAA Form 8060-12, the contracting company must specifically name the DA as the recipient of the documents. Under 49 CFR part 40, §§ 40.321(b) and 40.351(d), the contracting company must name the DA as the recipient of the documents, and blanket releases are explicitly prohibited. A designation letter is not required for requests to a previous employer or to the NDR. Designation letters are a specific requirement for requests to the FAA only.
c. Former Employer. If a former employer does not provide records after 30 calendar-days, the DA must immediately notify you. It is your responsibility to determine why the former employer did not comply with the records request and determine a satisfactory resolution, unless you designate this responsibility to the DA.
5-3. RESOLVE NONCOMPLIANCES TO YOUR PRIA REQUESTS. If a pilot/applicant’s former employer fails to respond within the 30 calendar-days of receiving your PRIA request, you must take immediate followup action to determine why this noncompliance has occurred. If you used a DA to conduct your PRIA requests, the DA will notify you of the noncompliance when 30-day period ends. You are responsible for determining why the former employer did not comply with the request, unless you have assigned this task to the DA. We suggest that you (or the DA):
a. Previous Employer. Contact the nonresponsive previous employer to determine if it actually received the request and if it was the company that should have received the request, since many companies have similar names.
b. Fax. Check whether the correct fax number and/or address was used.
c. Verification. Contact the pilot/applicant to verify that the information he or she provided concerning the previous employer was correct.
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Page 24 Par 5-3
d. Former Employer Status. Determine the status of the former employer (e.g., whether it is still in business or has ceased operations, in bankruptcy, or its operating certificate is still current). If you cannot determine the company’s status, contact the PRIA program manager for assistance. If the former employer is out of business or in bankruptcy, follow the provisions of the good faith exception (see Chapter 3). After completing the request, file the results in the pilot/applicant’s PRIA records file.
e. Noncompliance. If the respondent is still operational and you have verified all items in subparagraphs 5-3a through d above, you can report the noncompliance to the PRIA program manager for limited assistance. Contact the Aviation Data Systems Branch (AFS-620) at 405-954-6367.
5-4. ACTIONS TO TAKE IF A FORMER EMPLOYER REPORTS LOST OR DESTROYED PRIA RECORDS. When PRIA-related records have been legitimately lost or destroyed, follow the intent of the good faith exception as described in paragraph 3-4. Sometimes a previous employer is unable to comply with a PRIA request because the records no longer exist (for example, from a flood, hurricane, or fire).
a. Respondent Statement. You should receive a statement from the respondent declaring that the requested records have been legitimately lost or destroyed, and are not available for the former employer to forward per the request. This former employer should send the statement within 30 calendar-days of receiving your request.
b. Good Faith Exception. You may then follow the intent of the good faith exception.
After receiving this notification and fulfilling all of your other PRIA responsibilities, you are free to either hire or decline to hire the pilot.
c. Filing. File the respondent’s statement in the pilot/applicant’s PRIA-related records file for future reference and inspection by the FAA.
5-5. PRIA OBLIGATIONS FOR PILOT FURLOUGHS AND LEAVES OF ABSENCE.
a. Initial Check. PRIA only requires you to complete an initial records check for a new-hire pilot. If a pilot returns to work after a furlough or extended period of personal leave, military leave, medical leave, or other authorized absence, PRIA does not require or provide authority for you to perform any type of recurrent background check on that pilot. For the purposes of 49 CFR § 40.25, whether you must request additional drug and alcohol testing records for a pilot returning to work from a furlough or other extended leave of absence depends on your understanding of that absence.
(1) If the pilot was terminated, you should consider the returning individual as a newly hired employee and initiate a completely new PRIA request. Request drug and alcohol records in accordance with 49 CFR § 40.25 using FAA Form 8060-12.
(2) If the pilot was furloughed or on other extended leave, you can consider the individual as having been in a “non-paid” status and, therefore, not a newly hired employee. In this case, requesting drug and alcohol testing records would be at your discretion. Because PRIA
(and the use of FAA Form 8060 12) is only for initial requests for newly hired employees, a PRIA request for drug and alcohol testing records would be inappropriate.
b. Certificates. If your company policy requires a confirmation that the pilot still holds a current medical and airman certificate, do not submit a PRIA request to AFS-620; you should instead send a request to AFS-620 under the authority of the Privacy Act or the Freedom of Information Act (FOIA) to determine the status of those certificates. The PRIA Web site has instructions on preparing and submitting a FOIA or Privacy Act request.
NOTE: Keep in mind the distinction between return-to-duty from furlough or extended leave, and return-to-duty as stated in part 14 CFR part 120.
5-6. PRIA MANAGEMENT BY A MAJOR HOLDING COMPANY. PRIA gives the certificate holder the primary responsibility for completing PRIA requests. A major holding company is not authorized to complete PRIA requests. However, at your discretion, you can request that your holding company act as your agent to complete all PRIA paperwork and maintain all original PRIA records at the holding company’s location.
a. Agent. As your agent, the holding company can maintain any or all of the following PRIA records in its human resources office:
(1) All company personnel records.
(2) Original PRIA reports.
(3) Other appropriate employment records.
b. Records. You can maintain any or all of the following PRIA records at your office:
(1) Training and other required records.
(2) Copies of PRIA reports.
NOTE: If you, not your holding company, complete your PRIA requests, maintain all of the original records at your location and provide copies to your holding company.
c. Transfer. If a pilot transfers to your company from another air carrier or air operator, and you are both owned by the same major holding company but you are each assigned a different and unique certificate number, you must conduct a PRIA request before that pilot transfers. If the pilot has worked for other employers during the previous 5-year period as well, you must also contact those former employers for PRIA records.
NOTE: This paragraph may also apply to an employer that is not, in and of itself, an air carrier, but serves as a company that provides contract pilot services to other air carriers, including foreign entities. The process of providing the services of contract pilots may differ slightly from that of a major holding company, but as long as the primary employer or the holding Par 5-5 Page 25