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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.
CHAPTER 6. ADMINISTRATIVE INFORMATION
6-1. RELATED REGULATIONS.
• Title 14 CFR parts 121, 125, and 135.
• Title 49 U.S.C. §§ 40102(a)(2), 40102(a)(5), 40102(a)(25), 40102(a)(27), 40102(a)(37), and 44703(h)(1)(B).
• Certain U.S. transportation laws in 49 U.S.C.
6-2. DEFINITIONS. The following definitions are relevant to PRIA.
a. Terms Related to Commercial Air Transportation.
(1) Air Carrier. “A citizen of the United States undertaking by any means, directly or indirectly, to provide air transportation.” This includes operations using common carriage or holding out to the general public and being willing to furnish such air transportation for compensation. (See § 40102(a)(2).)
(2) Air Operator. A person operating or intending to operate a civil aircraft when common carriage is not involved in a noncommercial operation. (See part 125.)
(3) Air Transportation. “Foreign air transportation, interstate air transportation, or the transportation of mail by aircraft.” (See § 40102(a)(5).)
(4) Common Carriage. For the purpose of this AC, common carriage means any operation for compensation or hire in which an operator holds itself out (by advertising or any other means) as willing to furnish transportation for any member of the public who seeks the services that the operator is offering.
(5) Interstate Air Transportation. “Means the transportation of passengers or property by aircraft as a common carrier for compensation, or the transportation of mail by aircraft, or the operation of aircraft in furthering a business or vocation-- “(A) between a place in-- “(i) a State, territory, or possession of the United States and a place in the District of Columbia or another State, territory, or possession of the United States;
“(ii) Hawaii and another place in Hawaii through the airspace over a place outside Hawaii;
“(iii) the District of Columbia and another place in the District of Columbia; or “(iv) a territory or possession of the United States and another place in the same territory or possession; and “(B) when any part of the transportation is by aircraft.” (See § 40102(a)(25).)
Par 6-1 Page 29
(6) Intrastate Air Transportation. “The transportation by a common carrier of passengers or property for compensation, entirely in the same State, by turbojet-powered aircraft capable of carrying at least 30 passengers.” (See § 40102(a)(27).)
(7) Person. A person includes “corporations, companies, associations, firms, partnerships, societies, and joint stock companies, as well as individuals.” (See 1 U.S.C. § 1.) In addition, a person “includes a government authority and a trustee, receiver, assignee, and other similar representative.” (See § 40102(a)(37).)
b. Terms Related to a Professional Pilot’s Employment.
(1) Hired and Employed. The point when a pilot has been offered, and has accepted, a position as a pilot with an operator. Under the drug and alcohol testing regulations, “hire” is defined as “retaining an individual for a safety-sensitive function as a paid employee, as a volunteer, or through barter or other form of compensation.” (See 14 CFR part 120.)
(2) Pilot Training Records. Records pertaining to the individual, to the individual’s performance as a pilot, disciplinary actions, and release from former employment. For a complete listing and description of pilot training records, see Chapter 4.
(3) Placed into Service. Upon completion of the required company training, a pilot is released for service to begin performance as a pilot, usually under the supervision of a chief pilot or a training captain, for the prescribed period of time or flight hours. Under PRIA, a pilot cannot be placed into service until the hiring employer has requested, received, and evaluated the required records requested under PRIA, unless a good faith or other exception applies.
(4) Record. As used in this AC, record means the individual’s pilot records that are maintained by an air carrier, air operator, or person to meet the statutory requirements of § 44703(h)(1)(B), as well as the individual’s pilot records that the air carrier or operator maintains to meet the regulatory requirements of the 14 CFR authority under which it operates.
c. Commonly-Used Acronyms and Abbreviations.
(1) Title 14 CFR—Title 14 of the Code of Federal Regulations.
(2) Title 49 CFR—Title 49 of the Code of Federal Regulations.
(3) Title 49 U.S.C.—Title 49 of the United States Code.
(4) AC—Advisory Circular.
(5) AFS-620—Aviation Data Systems Branch.
(6) DA—Designated Agent.
(7) DMV—Department of Motor Vehicles.
(8) DOT—Department of Transportation.
Page 30 Par 6-2
Par 6-2 Page 31 (and 32)
(9) FAA—Federal Aviation Administration.
(10) NDR—National Driver Registry.
(11) NTSB—National Transportation Safety Board.
(12) POI—Principal Operations Inspector.
(13) PRIA—Pilot Records Improvement Act.
6-3. OTHER PRIA RESOURCES. AFS-620 has developed numerous resources that will provide the air carrier or other customer with general assistance concerning initial familiarization, operational use, or other applications of PRIA. These and other PRIA resources are available on the PRIA Web site at http://www.faa.gov/pilots/lic_cert/pria.
6-4. PRIA CONTACT INFORMATION. Direct PRIA request or production inquiries to AFS-620’s PRIA production staff at 405-954-1220 or -9700. Direct PRIA policy or compliance inquiries to AFS-620’s PRIA program manager at 405-954-6367.
Appendix 1 APPENDIX 1. PILOT RECORD IMPROVEMENT ACT OF 1996 Public Law 104-264, Section 502, October 9, 1996 (effective 02/06/97), as amended by:
Public Law 105-142 (effective 12/05/97), Public Law 106-181 (effective 04/05/00), Public Law 107-71 (effective 11/19/01), and Title 49 United States Code (49 U.S.C.) § 44703, as amended:
(h) RECORDS OF EMPLOYMENT OF PILOTS/APPLICANTS.
(1) IN GENERAL. Subject to paragraph (14), before allowing an individual to begin service as a pilot, an air carrier shall request and receive the following information:
(A) FAA RECORDS. From the Administrator of the Federal Aviation Administration, records pertaining to the individual that are maintained by the Administrator concerning—
(i) Current airman certificates (including airman medical certificates) and associated type ratings, including any limitations to those certificates and ratings; and
(ii) Summaries of legal enforcement actions resulting in a finding by the Administrator of a violation of this title or a regulation prescribed or order issued under this title that was not subsequently overturned.
(B) AIR CARRIER AND OTHER RECORDS. From any air carrier or other person, except a branch of the United States Armed Forces, the National Guard, or a reserve component of the United States Armed Forces, that has employed the individual as a pilot of a civil or public aircraft at any time during the 5-year period preceding the date of the employment application of the individual, or from the trustee in bankruptcy for such air carrier or person—
(i) Records pertaining to the individual are maintained by an air carrier (other than records relating to flight time, duty, or rest time) under regulations set forth in;
(I) section 121.683 of title 14, Code of Federal Regulations;
(II) paragraph (A) of section VI, appendix I, part 121 of such title;
Appendix 1 (III) paragraph (A) of section IV, appendix J, part 121 of such title;
(IV) section 125.401 of such title; and (V) section 135.63(a)(4) of such title; and
(ii) other records pertaining to the individual’s performance as a pilot that are maintained by the air carrier or person concerning— (I) the training, qualifications, proficiency, or professional competence of the individual, including comments and evaluations made by a check airman designated in accordance with section 121.411, 125.295, or 135.337 of such title;
(II) any disciplinary action taken with respect to the individual that was not subsequently overturned; and (III) any release from employment or resignation, termination, or disqualification with respect to employment.
(C) NATIONAL DRIVER REGISTER RECORDS. In accordance with section 30305(b)(8) of this title, from the chief driver licensing official of a State, information concerning the motor vehicle driving record of the individual.
(2) WRITTEN CONSENT; RELEASE FROM LIABILITY. An air carrier making a request for records under paragraph (1)— (A) shall be required to obtain written consent to the release of those records from the individual that is the subject of the records requested; and (B) may, notwithstanding any other provision of law or agreement to the contrary, require the individual who is the subject of the records request to execute a release from liability for any claim arising from the furnishing of such records to or the use of such records by such air carrier (other than a claim arising from furnishing information known to be false and maintained in violation of a criminal statute).
(3) 5-YEAR REPORTING PERIOD. A person shall not furnish a record in response to a request made under paragraph (1) if the record was entered more than 5 years before the date of the request, unless the information concerns a revocation or suspension of an airman certificate or motor vehicle license that is in effect on the date of the request.
Appendix 1
(4) REQUIREMENT TO MAINTAIN RECORDS. The Administrator and air carriers shall maintain pilot records described in paragraphs (1)(A) and (1)(B) for a period of at least 5 years.
(5) REQUIREMENT TO MAINTAIN RECORDS. The Administrator and air carriers shall maintain pilot records described in paragraphs (1)(A) and (1)(B) for a period of at least 5 years.
(6) RIGHT TO RECEIVE NOTICE AND COPY OF ANY RECORD FURNISHED. A person who receives a request for records under paragraph (1) shall provide to the individual who is the subject of the records— (A) on or before the 20th day following the date of receipt of the request, written notice of the request and of the individual’s right to receive a copy of such records; and (B) in accordance with paragraph (10), a copy of such records, if requested by the individual.
(7) REASONABLE CHARGES FOR PROCESSING REQUESTS AND FURNISHING COPIES. A person who receives a request under paragraph (1) or (6) may establish a reasonable charge for the cost of processing the request and furnishing copies of the requested records.
(8) STANDARD FORMS. The Administrator shall promulgate— (A) standard forms that may be used by an air carrier to request records under paragraph (1); and (B) standard forms that may be used by an air carrier to—
(i) obtain the written consent of the individual who is the subject of a request under paragraph (1); and
(ii) Inform the individual of- (I) The request; and (II) The individual right of that individual to receive a copy of any records furnished in response to the request.
Appendix 1
(9) RIGHT TO CORRECT INACCURACIES. An air carrier that maintains or requests and receives the records of an individual under paragraph (1) shall provide the individual with a reasonable opportunity to submit written comments to correct any inaccuracies contained in the records before making a final hiring decision with respect to the individual.
(10) RIGHT OF PILOT TO REVIEW CERTAIN RECORDS.
Notwithstanding any other provision of law or agreement, an air carrier shall, upon written request from a pilot who is or has been employed by such carrier, make available, within a reasonable time, but not later than 30 days after the date of the request, to the pilot for review, any and all employment records referred to in paragraph (1)(B) (i) or (ii) pertaining to the employment of the pilot.
(11) PRIVACY PROTECTIONS. An air carrier that receives the records of an individual under paragraph (1) may use such records only to assess the qualifications of the individual in deciding whether or not to hire the individual as a pilot. The air carrier shall take such actions as may be necessary to protect the privacy of the pilot and the confidentiality of the records, including ensuring that information contained in the records is not divulged to any individual that is not directly involved in the hiring decision.
(12) PERIODIC REVIEW. Not later than 18 months after the date of the enactment of the Pilot Records Improvement Act of 1996 [enacted Oct. 9, 1996], and at least once every 3 years thereafter, the Administrator shall transmit to Congress a statement that contains, taking into account recent developments in the aviation industry- (A) recommendations by the Administrator concerning proposed changes to Federal Aviation Administration records, air carrier records, and other records required to be furnished under subparagraphs (A) and (B) of paragraph (1);
or (B) reasons why the Administrator does not recommend any proposed changes to the records referred to in subparagraph (A).
(13) REGULATIONS. The Administrator shall prescribe such regulations as may be necessary— (A) To protect- Page 4