loft, domestic repair station, aviation maintenance technical schools, training centers, foreign repair station, and foreign satellite repair stations.
(3) If you are a pilot that has been continuously employed by the same air carrier or air operator with no break in service since the initiation of the Pilot Records Improvement Act on February 6, 1997, you are not required to comply with the provisions of PRIA or to have a PRIA Background Report on file.
NOTE: Even if you meet one of the above exceptions and are not required to request records when hiring pilots for your operation, if you receive a request for PRIA-related records, you are required to respond by forwarding such records that you may have accumulated concerning the pilot/applicant within the previous 5-year period.
1-5. BACKGROUND.
a. Act Approval. On October 9, 1996, the President approved the Federal Aviation Reauthorization Act of 1996 (the Act). The Act amended 49 U.S.C. to reauthorize programs of the Federal Aviation Administration (FAA) and to effect certain changes, including pilot records.
The law is commonly referred to as PRIA and is contained in Section 502 of Public Law 104-264. PRIA was enacted primarily as a result of certain airline accidents attributable to pilot error. In some of those cases, the subsequent employer found that the pilots had previous histories of poor performance, but the background of these pilots had not been checked.1 PRIA was amended to make clarifications and relieve air carriers of unnecessary burdens. These amendments to PRIA are in 49 U.S.C. § 44703(h), (i), and (j), which are reprinted in Appendix 1.
b. PRIA Statute. The PRIA statute is unusual because it is a self-executing statute. That is, the statute prescribes what to complete without the need for the FAA to issue regulations.
c. Background Checks. Since its enactment in 1996, PRIA has required air carriers under parts 121 and 135 and air operators under part 125 to request, receive, and evaluate specific background safety information for any pilot/applicant before allowing that applicant to begin service as a pilot. A pilot may begin training with the new employer before the PRIA background check has been completed. However, all PRIA background checks must be completed, evaluated, and approved before the individual can begin service as a pilot for that hiring employer.
1-6. THE REQUEST PROCESS. The following is a brief overview of the entire PRIA process. (Also, see Appendix 2.) Subsequent chapters detail the roles and responsibilities for the pilot/applicant, the hiring employer, and the current or former employer.
a. Initiation. The hiring employer initiates the process.
1 United States Congress, House of Representatives Committee Report - House Rpt. 104-684, H.R. 3536, Airline Pilot Hiring and Safety Act of 1996, p. 6. 1996.
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b. Record Request. Both the pilot/applicant and hiring employer complete the records request forms.
c. Employer. The hiring employer sends the request forms:
(1) To the FAA;
(2) To National Driver Register (NDR); and
(3) To current and previous employers.
d. Response. Respondents answer the records requests.
e. Review. All pilots/applicants may review records submitted about them to the FAA, NDR, and current and previous employers.
f. Evaluation. The hiring employer reviews and evaluates the results.
g. Record Maintenance. The hiring employer maintains all PRIA-related records.
1-7. BEST PRACTICES. The FAA has an expectation that pilots, hiring air carriers and air operators, as well as past employers, will use these best practices to ensure they are operating to the highest level of safety.
a. Record Request. The FAA expects all hiring air carriers and air operators to request all FAA records of proficiency/competency and airmen certification practical test results. This will require a release from the applicant (see Appendix 9).
b. Release Form. The FAA expects that no hiring air carriers and air operators will consider an applicant for employment if that applicant will not sign the release for the additional FAA records in item a. above.
c. Disclosure. The FAA expects a pilot applicant to disclose all pilot testing failures to any potential aviation employer.
d. Related Records. The FAA expects all hiring air carriers and air operators to request all pilot training records from 14 CFR part 141 pilots schools and 14 CFR part 142 training centers.
CHAPTER 2. INFORMATION FOR THE PILOT/APPLICANT
2-1. PILOT/APPLICANT’S TASKS DURING PRIA RECORDS REQUEST PROCESS. If you are an individual who is applying for a job as a pilot, your hiring employer will initiate the PRIA records request process. Per the PRIA statute, the hiring employer must first notify you in writing that it will request records about you, and obtain your written consent.
a. Complete Records Request Forms. The hiring employer or a Designated Agent (DA) will provide several forms to request PRIA-related records from the previous 5 years only. You need to complete/sign these forms to grant your consent for the FAA, your previous employer(s), and the National Driver Registry (NDR) to release your records.
(1) The FAA Aviation Data Systems Branch (AFS-620) will provide information concerning your current airman medical certificate. It will also give information on your current airman certificates indicating level, category, class, and associated type ratings, including any limitations to those certificates and ratings. From the previous 5-year period, the FAA will also summarize any closed legal enforcement actions against you that resulted in findings of violations that were not subsequently overturned. However, the FAA will report any certificate revocation indefinitely.
(2) The hiring employer will ask your previous employer(s) to provide records pertaining to you, except for those related to flight time, duty time, or rest time. They will provide records on your performance as a pilot concerning your training, qualifications, proficiency, and professional competence, including any comments or evaluations by check airmen; any disciplinary actions that the previous employer did not overturn; and any release from employment or resignation, termination, or disqualification from employment.
Additionally, under PRIA, your former Department of Transportation (DOT)-regulated employer(s) will provide records of drug and alcohol tests performed under Title 14 of the Code of Federal Regulations (49 CFR) part 40, even if the employers were not aviation entities. For example:
(a) If this is your first job as a pilot, but you had previously driven a commercial vehicle and were subject to DOT-regulated testing, your hiring employer must request your drug and alcohol test results from your previous employer.
(b) If this is your first job as a pilot, but you had previously served in another safety-sensitive function such as Flight Attendant (F/A) or maintenance duties, your hiring employer must request your drug and alcohol test results from your previous employer.
(3) The NDR will furnish your applicable motor vehicle driving records.
b. Request Copies of Records.
(1) Records from the FAA. AFS-620 will automatically send you a free courtesy copy of the PRIA verification letter that it furnishes to the hiring employer. As a security measure, AFS-620 will send this report to your home address, as shown in the records maintained by the FAA Airmen Certification Branch (AFS-760). Ensure that AFS-760 has your current home address by updating it online at http://registry.faa.gov/ or by calling toll-free at 866-878-2498. In Par 2-1 Page 5
Page 6 Par 2-1 addition, the hiring employer may, at its discretion, request a record of your Notices of Disapproval. For additional information, see paragraph 3-8.
(2) Records from Previous Employers and the NDR. If desired, you can request copies of records that your previous employer(s) maintained, including those from the NDR. If the hiring employer uses the recommended FAA forms to request records, then FAA Form 8060-11A, Airman Notice and Right to Receive a Copy, Air Carrier and Other Records, is the proper form to use when requesting copies of your pilot and drug and alcohol testing records from your previous employer(s). If you requested a copy of your current NDR records, the hiring employer will furnish them to you after receiving them from the NDR.
NOTE: By law, PRIA respondents are allowed to charge a reasonable fee in a “statement of payment” to recoup the cost of furnishing records to you.
c. Review Records and Submit Corrections. You may review the records received and, if necessary, submit a written statement to correct any inaccuracy or omission in your records.
The hiring employer will include your statement in the PRIA-related records file that it compiles on you to represent your viewpoint concerning those records or entries.
d. Sign Release of Liability. Hiring employers or former employers may require you to sign a release from liability for records other than the drug and alcohol testing records. The release from liability can state that you will not make any claim against them for requesting or furnishing PRIA records, but would not apply if an employer furnishes information known to be false or maintained it in violation of a criminal statute. Under 49 CFR part 40, § 40.27, an employer must not ask an employee to sign a consent, release, waiver of liability, or indemnification agreement with respect to any part of the drug or alcohol testing process.
2-2. YOUR RIGHT TO RECEIVE COPIES OF RECORDS. Within 20 calendar-days of receiving a PRIA records request, the FAA and your former employer(s) are required to give you written notice of the request and notice of your right to receive copies of the records.
a. Record Request. If you have requested a copy of your records, these respondents (FAA or former employer) can fulfill this requirement by providing the records to you within 20 calendar-days.
b. Notification. If the processing time will exceed 20 calendar-days, the respondent must send you written notification (e.g., postcard or letter) to this effect. You must receive the records, however, no later than 30 calendar-days after they received your request.
2-3. A PILOT’S EXPECTATIONS AND PROTECTIONS UNDER PRIA. All professional pilots that a hiring employer is considering for employment have certain protections concerning the request, transfer, receipt, evaluation, and maintenance of their records.
a. What You Should Expect. Aside from those protections specified in the PRIA statute, you should expect fair and timely treatment from the FAA, NDR, and your past, present, and potential future employers concerning the process for the request, transfer, receipt, evaluation, and maintenance of the appropriate PRIA-related records.
b. PRIA Statutory Provisions. According to the PRIA statutory provisions, the hiring employer must provide you with the following:
(1) Written notification that they will make a request for your PRIA-related records.
(2) A consent form to sign for the release of those records.
(3) An opportunity to request a copy of those records if so desired.
NOTE: Use of the FAA forms can fulfill the three requirements stated above.
(4) An opportunity to submit a written comment or memorandum to a former or potential employer when you believe there are inaccuracies in your PRIA-related records.
(5) An opportunity to review and comment on your PRIA-related records. The air carrier or air operator should also make available a copy of the requested records within a reasonable period of time, but not later than 30 calendar-days after the date of your written request. This is especially true when distance prohibits you from reviewing your records in person.
NOTE: We recommend that you review your PRIA-related records, if possible, before applying for a new job. This can help you ensure that your records are in order and that you address all problem areas in advance.
c. Your Privacy Protections Under PRIA. The confidentiality of your PRIA records will be protected in the following manner:
(1) A hiring employer receiving your PRIA records may use them only to assess your qualifications in deciding whether to hire you as a pilot.
(2) Only company personnel directly involved in the hiring process may view and evaluate the records.
(3) The air carrier or air operator should maintain PRIA-related records for the duration of your employment with them and an additional period of 5 years after the termination of that employment. Anyone possessing PRIA-related records must ensure that individuals not involved in the hiring process do not view or have access to your 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. However, when viewing such records, the FAA inspector must make every effort to protect your privacy and the confidentiality of your PRIA-related records.
d. Records Concerning Disciplinary Actions. Your previous employer must report any disciplinary actions that involved your performance as a pilot in which they did not subsequently overturn and did not involve termination or release from employment. Your previous employer must report all disciplinary actions, including those that did not involve your performance as a pilot, if they played any role in your termination or release from employment.
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2-4. PILOTS FORMERLY EMPLOYED BY GOVERNMENT AGENCIES. If a governmental agency (Federal, State, or local) employed you as a pilot, the hiring employer must contact the agency for your records. You should provide a brief statement and a signature consenting to the release of background information concerning your 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. Send this request to the governmental agency where you worked..
2-5. ADDITIONAL PRIA RESOURCES FOR PILOTS. Check the PRIA Web site (http://www.faa.gov/pilots/lic_cert/pria) for additional resources or information. Direct any questions you have about PRIA to AFS-620’s PRIA program manager at 405-954-6367.
CHAPTER 3. INFORMATION FOR THE HIRING EMPLOYER ON PRIA
PROCEDURAL CONSIDERATIONS
3-1. INITIATE THE PRIA REQUEST PROCESS. If you are an air carrier or air operator hiring a pilot, you (or your designated agent) will initiate the PRIA records request. Using the forms available from the FAA will help you comply with the statutory requirements of PRIA.
You can obtain the forms and information about filling out these forms from the PRIA Web site at http://www.faa.gov/pilots/lic_cert/pria and from http://forms.faa.gov. See Appendices 3–8 for guidance concerning the overview and use of these forms. We recommend that you use these current FAA forms instead of old versions or self-designed forms because those forms may not produce the results required by statute. The FAA forms are:
• Form 8060-10, FAA Records Request;
• Form 8060-10A, Airman Notice and Right to Receive Copy—FAA Records (PRIA);
• Form 8060-11, Air Carrier and Other Records Request;
• Form 8060-11A, Airman Notice and Right to Receive Copy—Air Carrier and Other Records;
• 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; and
• Form 8060-13, National Driver Register Records Request (PRIA).
3-2. USING A DA TO RESPOND TO PRIA REQUESTS. You may contract with a DA to process PRIA requests and furnish records to hiring employers and pilots/applicants. Although you may delegate this work to a DA, you are ultimately responsible for fulfilling the requirements. Also, note that since a DA cannot retain PRIA records in a records system of its own you are responsible for maintaining PRIA records. The release of the documents must specify exactly who is to receive the documents, and a blanket release to provide the documents to a category of parties is prohibited under 49 CFR §§ 40.321(b) and 40.351(d) of the drug and alcohol testing regulations. A guidance document titled PRIA Instructions for the Designated Agent is available on the PRIA Web site (http://www.faa.gov/pilots/lic_cert/pria).
3-3. THE HIRING EMPLOYER’S ROLE DURING THE PRIA REQUEST PROCESS.
a. Obtain Consent and Notify Pilots/applicants of Their Right To Receive Copies.
PRIA requires you to notify all pilots/applicants in writing that you will be requesting their records, obtaining their written consent to release the records, and informing them of their right to receive copies. You can fulfill these requirements by using the FAA forms.
b. Complete Records Request Forms. Fill out the applicable sections of each form. Then have the pilot/applicant complete the forms.
NOTE: Provided there are no other provisions of law or agreement to the contrary, you can require the pilot/applicant to execute a release from liability against any claim he or she may make from your use of PRIA records other than the drug and alcohol testing records. Release from Par 3-1 Page 9
Page 10 Par 3-3 liability can state that the applicant will not make any claim against entities who request or respond to PRIA requests.
c. Send Forms to the Appropriate Recipients. Mail or fax the forms to the recipients and retain documentation of when the recipient received them (e.g., fax confirmation page). If mailing, we recommend that you send forms certified, return receipt requested, via the United States Postal Service (USPS) or a private mail carrier that documents the date of delivery.
d. Forward FAA Form 8060-10 to the FAA, AFS-620. You can fax your completed PRIA request(s) for FAA records to AFS-620 at 405-954-4655, ATTN: PRIA. Or mail your completed PRIA request(s) for FAA records to:
(via regular mail) Federal Aviation Administration ATTN: Aviation Data Systems Branch, AFS-620 (PRIA) P.O. Box 25082 Oklahoma City, OK 73125-0082 or (via expedited mail) Federal Aviation Administration ATTN: Aviation Data Systems Branch, AFS-620 (PRIA) 6500 South MacArthur Blvd., ARB, Room 313 Oklahoma City, OK 73169
(1) Retain the original FAA Form 8060 10A in your PRIA related records file after giving the pilot/applicant a signed and completed copy of the form.
NOTE: Do NOT forward FAA Form 8060-10A to the FAA. AFS-620 will automatically mail to the pilot/applicant a courtesy copy of the PRIA Verification Letter that it furnishes to you.
(2) Send FAA Forms 8060-11, 8060-11A, and 8060-12 to all previous employers who employed the individual as a pilot within the previous 5-year period. If the individual was not employed as a pilot before, you must request the testing records from those previous employers and you must ask the question required by 49 CFR part 40, § 40.25(j). Examples of previous employment that would trigger this requirement are work in another FAA-regulated safety-sensitive function (F/A, maintenance, etc.), or work in another DOT-regulated industry where he or she was subjected to drug and alcohol testing under 49 CFR part 40.
(3) Forward FAA Form 8060 13 to your preferred State Department of Motor Vehicles (DMV) to request the appropriate NDR related records. Many State DMVs will require the original form, so you might have to mail the request instead of faxing it. We recommend that you call the State DMV to confirm that it will accept the form and determine if it needs the original.
Although you can forward NDR requests to most states, we recommend using the Florida DMV, which provides a national check. All requests to the Florida DMV must include the original form with original signatures and you must send it by U.S. mail only (no faxes). When completing FAA Form 8060 13, a notary public must complete part IIIb when the pilot/applicant does not apply for employment in person. For regular or expedited mailing, use the following address:
Florida Dept. of Highway Safety and Motor Vehicles ATTN: Bureau of Records, Neil Kirkman Building 2900 Apalachee Parkway Tallahassee, FL 32399 Phone: 850-617-2606
e. Part 91 Requests. If you are a part 135 or 121 air carrier or a part 125 air operator who is preparing to hire a pilot whose previous experience is only with part 91 operators, you must still send a PRIA request to these companies for any training or safety-related information that they may have. You should recognize that most part 91 operators do not establish or maintain the pilot records required by PRIA and are not required to do so. However, since the definition of “person” includes a part 91 operator, you are still required to send a PRIA request and the company is required to respond to that request. If the company has no information they should indicate to you that no information is available. If the pilot you are preparing to hire only worked privately as an individual 14 CFR part 61 flight instructor, there is no need to prepare and send a PRIA request because there is no company to request records from.
3-4. PROCESS RESPONSES. Within 30 calendar-days after receiving your request, the FAA, previous employer(s), and NDR must provide copies of all the required records to you. Under no circumstances should you accept PRIA records that a pilot/applicant hand-delivers or personally generates.
a. Protect Confidentiality of Pilot/Applicant’s Records. Only your company personnel directly involved in the hiring process may view and evaluate the PRIA records. Ensure that other individuals uninvolved in the hiring process do not view or have access to the records.
b. Process Requests for Payment. The previous employer may include a “statement for payment” to you to recoup the cost of furnishing the records. The PRIA statute allows the former employer to establish a reasonable charge, but does not specifically define this term, so the definition from Webster’s dictionary should apply: “Reasonable: within the bounds of common sense; not extreme or excessive; fair.”
c. Make Additional NDR Requests. If the NDR returned a positive report (showing a driver’s license suspension or revocation, or a driving under the influence (DUI) conviction), send a second NDR request to the state identified in the first report to obtain the full details.
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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