(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.
Par 3-8 Page 15 (and 16)
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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Page 20 Par 4-9
(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.
Par 4-11 Page 21
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.
Par 5-1 Page 23
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
company has accomplished all PRIA background checks and the records have been maintained, the intent of the PRIA statutes will have been satisfied.
d. Checks. PRIA checks for bought or merged companies.
(1) As one air carrier acquires another, the new company is accepting responsibility for the pilots of the air carrier being acquired, and should exercise prudent judgment to ensure that either a current PRIA request has been completed, or that new PRIA request are submitted for the new pilots.
(2) More specifically, if one air carrier acquires another by sale or merger, the acquired company remains intact with no change in the air carrier certificate number, and the pilots continue to work for the acquiring air carrier, the current PRIA file should be sufficient. The acquiring air carrier, however, must inspect company records to verify that all pilots have current PRIA checks.
(3) If, however, in the process of the sale or merger, the air carrier certificate number changes, the acquiring company must complete new PRIA checks. A pilot cannot transfer their current PRIA file from one air carrier to another. More simply stated: you can’t take it with you.
In addition, a PRIA file will lose its validity if the chain of custody of the records—between one air carrier and another—is broken.
e. Foreign Testing. Foreign air carriers do not conduct drug and alcohol testing under the FAA’s regulations. Therefore, they will not have the drug and alcohol testing records normally required by PRIA and 49 CFR § 40.25.
5-7. USE OF FOREIGN PILOTS.
a. PRIA Check. If you want to hire a pilot/applicant who has worked as a pilot for a foreign air carrier, you must request that individual’s PRIA records. Use of foreign pilots may vary from permanent employees to seasonal work in which the foreign pilots return to their own country during the off-season. This could also include U.S. pilots who previously worked for a foreign air carrier(s).
b. Certificates. To participate in any U.S. commercial operation, a foreign pilot must hold both U.S. medical and airman certificates. Send your PRIA request to AFS-620, and it will verify those certificates. Likewise, if the foreign pilot holds a U.S. driver’s license, you must query the NDR.
c. Foreign Employer. You must also query the foreign employer. Forward the request with a certified receipt requested or other similar instrument that will document the date of delivery. If the foreign employer never returns the records or if it refuses to acknowledge or comply with the request, you may follow the provisions of the good faith exception (see subparagraph 3-5b) and then either hire or decline to hire the foreign pilot.
5-8. PILOTS FORMERLY EMPLOYED BY A GOVERNMENT AGENCY. If the pilot/applicant previously worked for a governmental agency (Federal, State, or local), you must Page 26 Par 5-6
query that agency for PRIA records even though it is not a standardized PRIA request (company to company). However, do not use FAA Forms 8060-11 and 8060-11A because 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.
a. Foreign Agency. Forward the letter of request to the most recent flight operations manager of the appropriate agency, region, and/or office that employed the pilot/applicant.
Obtain the address of the agency that employed the pilot/applicant, since there is no central office for the processing of these requests. If these records have already been retired and subsequently sent to a records-holding area, personnel, or a human resources department, the government agency should forward the request accordingly.
b. Background Information. In the letter, ask for records that would provide any appropriate background information concerning the pilot’s 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.
c. Release. Have the pilot/applicant provide a brief statement and a signature consenting to the release of this information, either contained within the letter of request or as a separate attachment to the letter.
d. Testing. Government agencies do not conduct drug and alcohol testing under the FAA’s regulations. Therefore, they will not have the drug and alcohol testing records normally required by PRIA and 49 CFR § 40.25.
e. Forms. You must also request records from the FAA and NDR using FAA Forms 8060-10 and 8060-13 in the usual manner.
5-9. FAILURE TO PAY FOR RECORDS REQUESTED THROUGH PRIA.
A pilot/applicant’s former employer can bill you for the cost of processing the PRIA request and furnishing copies of the records. However, that employer must still furnish PRIA records to you no later than 30 calendar-days after receiving the request; it cannot withhold the records pending your payment. Any dispute between you and that company regarding payment for the PRIA records would have to take place in civil court if you are unable to resolve the issue yourselves.
5-10. ACCESS OF PRIA-RELATED RECORDS TO FAA INSPECTORS.
a. Employer. A hiring air carrier or air operator cannot use 49 U.S.C. § 44703(h)(11) to deny an FAA inspector access to PRIA-related records for audit or surveillance.
b. U.S. Code. Title 49 U.S.C. § 41709, 14 CFR §§ 119.59 and 135.73 all clearly indicate that the FAA inspector assigned to that company is authorized to see those records. As a result, the inspector must always have free and unlimited access to a company’s PRIA-related records at any time during the course of that inspector’s normal surveillance or inspection duties.
c. Record Denial. Refusal to provide access to PRIA related records when requested by the FAA for their review or inspection could result in the suspension of all or any part of the Par 5-8 Page 27
Page 28 Par 5-10 certificate holder’s operating certificate or operation specifications (OpSpecs) in accordance with 14 CFR § 119.59(e).
d. Privacy. Each FAA inspector, however, having viewed such records, also becomes subject to the privacy protection conditions as outlined in 49 U.S.C. § 44703(h)(11). Therefore, the FAA inspector must make every effort to protect the privacy of the pilot and the confidentiality of the PRIA-related records of that pilot.