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
Appendix 1
(i) the personal privacy of any individual whose records are requested under paragraph (1) and disseminated under paragraph (15);
(ii) and the confidentiality of those records;
(B) to preclude the further dissemination of records received under paragraph (1) by the person who requested those records; and (C) to ensure prompt compliance with any request made under paragraph (1).
(14) SPECIAL RULES WITH RESPECT TO CERTAIN PILOTS.
(A) PILOTS OF CERTAIN SMALL AIRCRAFT. Notwithstanding paragraph (1), an air carrier, before receiving information requested about an individual under paragraph (1), may allow the individual to begin service for a period not to exceed 90 days as a pilot of an aircraft with a maximum payload capacity (as defined in section 119.3 of title 14, Code of Federal Regulations) of 7,500 pounds or less, or a helicopter, on a flight that is not a scheduled operation (as defined in such section). Before the end of the 90-day period, the air carrier shall obtain and evaluate such information. The contract between the carrier and the individual shall contain a term that provides that the continuation of the individual’s employment, after the last day of the 90-day period, depends on a satisfactory evaluation.
(B) GOOD FAITH EXCEPTION. Notwithstanding paragraph (1), an air carrier, without obtaining information about an individual under paragraph (1)(B) from an air carrier or other person that no longer exists or from a foreign government or operator that employed the individual, may allow the individual to begin service as a pilot if the air carrier required to request the information has made a documented good faith attempt to obtain such information.
(15) ELECTRONIC ACCESS TO FAA RECORDS. For the purpose of increasing timely and efficient access to Federal Aviation Administration records described in paragraph (1), the Administrator may allow, under terms established by the Administrator, an individual designated by the air carrier to have electronic access to a specified database containing information about such records. The terms shall limit such access to instances in which information in the database is Page 5
Appendix 1 required by the designated individual in making a hiring decision concerning a pilot/applicant and shall require that the designated individual provide assurances satisfactory to the Administrator that information obtained using such access will not be used for any purpose other than making the hiring decision.
(i) LIMITATION ON LIABILITY; PREEMPTION OF STATE LAW.
(1) LIMITATION ON LIABILITY. No action or proceeding may be brought by or on behalf of an individual who has applied for or is seeking a position with an air carrier as a pilot and who has signed a release from liability, as provided for under paragraph (2), against— (A) the air carrier requesting the records of that individual under subsection (h)(1);
(B) a person who has complied with such request;
(C) a person who has entered information contained in the individual’s records; or (D) an agent or employee of a person described in subparagraph (A) or (B); in the nature of an action for defamation, invasion of privacy, negligence, interference with contract, or otherwise, or under any Federal or State law with respect to the furnishing or use of such records in accordance with subsection (h).
(2) PREEMPTION. No State or political subdivision thereof may enact, prescribe, issue, continue in effect, or enforce any law (including any regulation, standard, or other provision having the force and effect of law) that prohibits, penalizes, or imposes liability for furnishing or using records in accordance with subsection (h).
(3) PROVISION OF KNOWINGLY FALSE INFORMATION. Paragraphs
(1) and (2) shall not apply with respect to a person who furnishes information in response to a request made under subsection (h)(1), that— (A) the person knows is false; and (B) was maintained in violation of a criminal statute of the United States.