Appendix 7 APPENDIX 7. OVERVIEW AND USE OF FAA FORM 8060-12 NOTE: Consult the Pilot Records Improvement Act (PRIA) Web site at http://www.faa.gov/pilots/lic_cert/pria for the most current information on the overview and use of Federal Aviation Administration (FAA) Form 8060-12, Authorization for Release of DOT Drug and Alcohol Testing Records Under PRIA and Maintained Under Title 49 of the Code of Federal Regulations (49 CFR) Part 40.
1. Part I, Records and Airman Consent for the Release of Records. Part I of FAA Form 8060-12 provides a list of specific drug and alcohol testing records that the previous employer will furnish through this request. Part I is also used by the hiring air carrier in operation under Title 14 of the Code of Federal Regulations (14 CFR) part 121 or 135, air operator under 14 CFR part 125, or other person (collectively referred to as the “hiring employer”).
a. Send this form to previous employers that used the individual as a:
• Department of Transportation (DOT)-regulated employee subject to drug and alcohol testing under 49 CFR part 40,
• Non-pilot safety-sensitive employee subject to drug and alcohol testing (such as a Flight Attendant (F/A) or maintenance worker), or
• Pilot at any time during the 5-year period preceding the date on the employment application.
b. Use FAA Form 8060-12 to notify the individual:
• That an FAA records request under PRIA for certain DOT drug and alcohol testing records will be conducted;
• Of a request for certain DOT drug and alcohol testing records under PRIA concerning that individual; and
• To obtain written consent for the release of such records from that individual who is the subject of the request.
• If the individual has requested a copy of the records as indicated on FAA Form 8060-11A, any related DOT drug and alcohol testing records must be copied and included with other PRIA-related records as a result of that request.
2. Part II, Records to Provide. Part II of FAA Form 8060-12 provides a list of questions that the previous employer will complete and return to the hiring employer. The previous employer(s) also use part II to document the existence of certain DOT drug and alcohol testing records that the previous employer(s) provides to the hiring employer. Consider the following guidelines when either requesting or providing DOT drug and alcohol testing records.
a. Any “no” response in Part II of FAA Form 8060-12 still requires the previous employer(s) to furnish a copy of the appropriate negative drug or alcohol testing results for that respective question. To further clarify, previous employers must provide all test results, including both positive as well as negative DOT drug and alcohol testing results, from over the Page 1
Appendix 7 last 5 years to the requestor. Obtaining a copy of the form on the DOT Web site, where previous employers simply “check off” that there were no rule violations, is not acceptable.
b. In addition obtaining records from all previous employers over the last 5 years, the hiring employer must ask all applicants about their drug and alcohol testing history under DOT agency testing rules to satisfy 49 CFR part 40, § 40.25(j). Unlike the time period required under PRIA, this testing history obtained under § 40.25(j) covers a period of only 2 years. However, PRIA drug and alcohol testing records are not subject to the document retention conditions found in § 40.333. All PRIA records, including drug and alcohol testing records, are required by Title 49 of the United States Code (49 U.S.C.) § 44703(h)(4) to be maintained for at least 5 years. Therefore, to fulfill the requirements of PRIA, a hiring employer must obtain both positive and negative test results for the individual from the last 5 years.
3. Distribution. The hiring employer should attach FAA Form 8060-12 to FAA Forms 8060-11 and 8060-11A and either mail or fax the forms to all previous employers that used the applicant as a pilot at any time during the previous 5-year period. The hiring employer should provide a copy to the pilot/applicant for that individual’s personal records.
4. Use of FAA Form 8060-12. Even though the use of FAA Form 8060-12 is not currently required, this form has been carefully designed to combine both the records requirements of PRIA with those of 49 CFR part 40. Any employer not in compliance with the drug and alcohol testing record check requirements of 49 CFR part 40 could be subject to an additional inquiry by the Drug Abatement Division (AAM-800). It is a good business practice, therefore, to use FAA Form 8060-12 even if you do not use the other FAA PRIA forms.
5. Instructions. Instructions for completing FAA Form 8060-12 are attached to the form itself.
Overviews and information on the use of this form are also in the PRIA Office Procedures for the Air Carrier and the PRIA Web site.
6. The Form. There are two online sources for FAA Form 8060-12:
• http://www.faa.gov/pilots/lic_cert/pria.
• http://www.faa.gov/forms.
NOTE: Additional information concerning the inspection of drug and alcohol testing records is in paragraph 3-3 of FAA Order 8000.88, PRIA Guidance for FAA Inspectors.
Appendix 8 APPENDIX 8. OVERVIEW AND USE OF FORM 8060-13 NOTE: Consult the Pilot Records Improvement Act (PRIA) Web site at http://www.faa.gov/pilots/lic_cert/pria for the most current information on the overview and use of Federal Aviation Administration (FAA) Form 8060-13, National Driver Register Records Request (PRIA).
1. Part I, National Driver Register (NDR) Records Request. The hiring employer (the hiring air carrier in operation under Title 14 of the Code of Federal Regulations (14 CFR) part 121 or 135, air operator under 14 CFR part 125, or other person) uses part I of the NDR records request to request NDR records concerning an individual seeking employment as a pilot with the employer.
2. Part II, Consent to the Release of Records. The hiring employer uses part II to obtain written consent for the release of the records from the individual who is the subject of the request.
3. Part III, Notice to the Prospective Employee. The hiring employer uses part III to certify the identity of the subject of the request.
a. The hiring company’s representative completes Part IIIa when the individual applies in person.
b. The pilot/applicant must have a notary public complete Parts IIIa and IIIb when the individual does not apply in person.
4. Use of the Pilot/Applicant’s Date of Birth. For all requests to a state’s department of motor vehicles (DMV) or to the NDR, notwithstanding the Privacy Act, disclosure of the pilot/applicant’s date of birth is mandatory. This is for identification purposes and the DMV or NDR will return most requests without the date of birth with no action being taken by the respondent.
5. Distribution. NDR requirements vary from state to state and, therefore, it is not practical to establish one firm procedure that will satisfy all requests. Notwithstanding, the requesting employer should begin its NDR request process in the manner described in the latest revision of this AC or in the PRIA Office Procedures for the Air Carrier to discover a request process that will produce the most reliable and consistent results for the state.
6. National Highway Traffic Safety Administration (NHTSA). The NHTSA maintains an Internet database with current addresses and telephone numbers for State DMVs. This information is at http://www.onlinedmv.com.
7. Copies Requested by the Pilot/Applicant. Neither the DMV of any state nor the NDR will furnish an additional copy of a report requested under the authority of PRIA. Therefore, if a pilot/applicant has checked the “yes” block on FAA Form 8060-11A, the hiring employer will need to furnish the copy after it receives the report.
Appendix 8
8. The Form. There are two online sources for FAA Form 8060-13:
• http://www.faa.gov.pilots/lic_cert/pria.
• http://www.faa.gov/forms.
NOTE: Not all State DMVs accept FAA Form 8060-13 because they are not familiar with the form itself, or prefer to use their own form. If this is the case, use the NDR or DMV request form provided by the state, which is usually available on its Web site.
9. Instructions. Instructions for completing FAA Form 8060-13 are attached to the form itself.
Overviews and information on the use of this form are in the PRIA Office Procedures for the Air Carrier and the PRIA Web site.
10. Additional Tips. Many State DMVs will not accept copies of a request form, so it is advisable to always submit the request in original form. As a result, the hiring employer must mail the request instead of faxing it. We recommend that you use a certified mail delivery that will document the receipt of your request. It is also a good idea to start the request process with a phone call to the State DMV to make sure you have covered all of the requirements of that particular state.
11. NDR Data System Match. The hiring employer receives an NDR report that will state that a data system match was not found meaning that the record of the individual is clean, or that a data system match concerning the motor vehicle driving record of the individual was found and indicated a:
a. Record of suspension from the previous 5-year period, if applicable.
b. Record of revocation from the previous 5-year period, if applicable.
c. Any conviction of driving under the influence of alcohol, if applicable.
12. The NDR Report.
a. A completed NDR report without reference to an action taken against the pilot’s driver’s license is considered a clean report. If the report does indicate a clean record, add the report to the pilot/applicant’s PRIA-related records file and the NDR request process is considered complete.
b. If the report does indicate a problem, however, it will point to a specific state(s) in which the problem(s) occurred. In these cases, the record will indicate a possible match, and the hiring employer is required to conduct further investigation. The hiring employer must disclose this information to the individual in an attempt to verify whether a positive match with the pointer record exists, or if the possible match pertains to another individual with similar identifying information.
Appendix 8 Page 3 (and 4)
c. If the resulting investigation confirms the individual as a positive match with the pointer record, the potential employer or the DA must send a second NDR request to the state(s) indicated in the initial report, to determine the exact nature of the problem.
d. If the resulting investigation confirms that the individual is not a match with the pointer record, then along with the results of the investigation the report is considered clean, the matter closed, and the NDR request process completed for that individual.
Appendix 9 Page 1 (and 2) APPENDIX 9. ADDITIONAL PILOT RECORDS What are the additional pilot records that an air carrier or an air operator is expected to request to assist in the applicant review, selection, and hiring process?
An air carrier or an air operator is expected to request FAA records of proficiency/competency and airmen certification practical test results, in addition to the standard PRIA request. This will require a release signed by the pilot in addition to the standard release found on all PRIA forms.
What other additional pilot records may an air carrier or air operator request to assist in the applicant review, selection, and hiring process?
An air carrier or an air operator may request pilot records that include an airman’s record history concerning accidents/ incidents, and enforcement actions (notwithstanding those records that have been expunged by FAA) and are available through a Privacy Act or a FOIA request made to the Aviation Safety Data Branch, AFS-620. You may find complete information and sample requests on the PRIA Web site.
An air carrier or an air operator may request pilot records that include a certificate holder’s “complete airman file” that includes all FAA Form 8060-5 Notice of Disapproval of Application (Pilot), available by request from the Civil Aviation Registry, Airmen Certification, AFS-760, using form AC 8060-72, available on the Civil Aviation Registry Web site. For additional details, you may contact the Airman Certification Branch (AFS-760) toll free at 866-878-2498.
Other airman records that may be requested include all FAA Form 8060-5, Notice of Disapproval of Application (Pilot), including the accompanying FAA Form 8710-1, Airman Certificate and/or Rating Application, indicating a failed airman practical test, by using form AC 8060-72 that is available on the Civil Aviation Registry website. For additional details, you may contact AFS-760 toll free at 866-878-2498.