2-1 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 by signature.
2.1.1 Complete PRIA 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.
2.1.1.1 The 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 formal closed certificate actions on file, such as suspensions, civil penalties, or revocations indefinitely.
2.1.1.2 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 (see paragraph 4.5). Additionally, under PRIA, your former Department of Transportation (DOT)-regulated employer(s) will provide records of drug and alcohol tests performed under Title 49 of the Code of Federal Regulations (49 CFR) part 40, even if the employers were not aviation entities.
2.1.1.2.1 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.
2.1.1.2.2 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.
2.1.1.3 The NDR will furnish your applicable motor vehicle driving records.
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2.1.2 Request Copies of Records.
2.1.2.1 Records from the FAA. AFS-620 will automatically send you an identical 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 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 addition, the hiring employer may, at its discretion, request a record of your Notices of Disapproval. For additional information, see paragraph 3.8.1.
2.1.2.2 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 Copy – Air Carrier and Other Records (PRIA), 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 should 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.
2.1.3 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 should include your statement in the PRIA-related records file that it compiles on you to represent your viewpoint concerning those records or entries. It is recommended that you ensure that the hiring employer has a copy of any such corrections.
2.1.4 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.
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2.2.1 PRIA Records 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.
2.2.2 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.
2.3.1 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 past, present, and potential future employers concerning the process for the request, transfer, receipt, evaluation, and maintenance of the appropriate PRIA-related records.
2.3.2 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. This written comment should be submitted to the previous employer for entry into your records maintained by the previous employer; however, it is recommended that you also ensure that the hiring employer has received a copy of the document as well. If not, be prepared to provide them with one when you review those 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.
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2.3.3 Your Privacy Protections under PRIA. The confidentiality of your PRIA records will be protected in the following manner:
2.3.3.1 A hiring employer receiving your PRIA records may use them only to assess your qualifications in deciding whether to hire you as a pilot.
2.3.3.2 Only company personnel directly involved in the hiring process may view and evaluate the records.
2.3.3.3 The air carrier or air operator should maintain PRIA-related records for the duration of your employment with them and also for a suggested 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 of those records.
However, when viewing such records, the FAA inspector must also make every effort to protect your privacy and the confidentiality of your PRIA-related records.
2.3.4 Records Concerning Disciplinary Actions. See paragraphs 4.5.1 and 4.5.2 for an indepth discussion of records to be furnished concerning disciplinary actions regarding an individual’s performance and competence as a pilot.
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, 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 as a pilot.
2.5 Previous Employers are to be Reported. All pilots/applicants should ensure that all previous employers where the applicant was employed as a pilot within the past 5-year period are reported to the hiring air carrier. Only in this way can the full purpose and mission of PRIA be fulfilled and the pilot avoid the possibility of falsification of FAA Form 8060-11, Air Carrier and Other Records Request (PRIA).
2.6 Additional PRIA Resources for Pilots. For additional resources and information, visit the PRIA Web site at http://www.faa.gov/pilots/lic_cert/pria. Direct any questions to the Regulatory Support Division (AFS-600) at 405-954-4431.
3-1 CHAPTER 3. INFORMATION FOR THE HIRING EMPLOYER ON PRIA
PROCEDURAL CONSIDERATIONS
3.1 Initiate the PRIA Records Request Process. If you are an air carrier or air operator hiring a pilot, you (or your Designated Agent (DA)) 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/forms_docs and from the FAA Web Site at http://www.faa.gov/forms. See Appendices C through H 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 forms are:
• FAA Form 8060-10, FAA Records Request (PRIA).
• FAA Form 8060-10A, Airman Notice and Right to Receive Copy – FAA Records (PRIA).
• FAA Form 8060-11, Air Carrier and Other Records Request (PRIA).
• FAA Form 8060-11A, Airman Notice and Right to Receive Copy – Air Carrier and Other Records (PRIA).
• FAA Form 8060-12, Authorization for Release of DOT Drug and Alcohol Testing Records Under PRIA and Maintained Under Title 49 Code of Federal Regulations (49 CFR) Part 40.
• FAA Form 8060-13, National Driver Register Records Request (PRIA).
3.2 Using a DA to Respond to PRIA Records Requests. You may contract with a DA to process PRIA records 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 (DA)” is available on the PRIA Web site at http://www.faa.gov/pilots/lic_cert/pria/requesting.
3.3 The Hiring Employer’s Role During the PRIA Records Request Process.
3.3.1 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.
3.3.2 Complete PRIA Records Request Forms. Fill out the applicable sections of each form, then have the pilot/applicant complete the forms.
3-2 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 liability can state that the applicant will not make any claim against entities who request or respond to PRIA records requests.
3.3.3 Send Forms to the Appropriate Recipients. Mail, fax, or email your scanned applications 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 through the United States Postal Service (USPS) (certified, return receipt requested) or a private mail carrier that documents the date of delivery.
3.3.4 Forward FAA Form 8060-10 to AFS-620. You can fax your completed PRIA records request(s) for FAA records to AFS-620 at 405-954-4655, ATTN: PRIA, or email them to 9-amc-afs620-pria@faa.gov. You can also mail your completed PRIA records request(s) for FAA records to:
1. Via Regular Mail:
Federal Aviation Administration ATTN: Aviation Data Systems Branch, AFS-620 (PRIA) P.O. Box 25082 Oklahoma City, OK 73125-0082
2. Via Expedited Mail:
Federal Aviation Administration ATTN: Aviation Data Systems Branch, AFS-620 (PRIA) 6500 South MacArthur Blvd., ARB Building, Room 313 Oklahoma City, OK 73169
3.3.4.1 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.
3.3.4.2 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, such as F/A or maintenance duties, or work in another DOT-regulated industry where he or she was subjected to drug and alcohol testing under 49 CFR part 40.
3.3.4.3 Send a completed NDR application form to the state Department of Motor Vehicles (DMV) that issued the driver’s license to request the appropriate
3-3 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 whether it needs the original form and if any fees apply.
Note: Send your NDR request to the resident state of your pilot/applicant. As you are preparing your NDR request we suggest that you use that state’s own application form rather than FAA Form 8060-13 since most states are not familiar with FAA Form 8060-13 and may not process it. You should be able to make an online query to find that state’s particular application form for a third party and also what the cost will be per request.
3.3.5 Part 91 Requests. If you are a part 121 or 135 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 should still send a PRIA records 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 (except part 91K fractional ownerships) and are not required to do so. However, since the definition of “person” includes a part 91 operator, you should still send a PRIA records request and the company should respond to that request. If the company has no information, they should indicate to you that no information is available.
Note: 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 records 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. If the records are not received from the requested entity, the FAA recommends a request to be reinitialized to avoid reviewing records that could possibly be flawed or have been tampered with through any changes in the chain of custody.
3.4.1 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.
3.4.2 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 of “reasonable” from Webster’s dictionary should apply: “Within the bounds of common sense; not extreme or excessive; fair.”
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3.4.3 Make Additional NDR Requests. If the NDR returned a positive pointer report (showing a driver’s license suspension or revocation, or a driving under the influence (DUI) conviction), you should send a second NDR request to the state identified in the first report to obtain the full details.
3.4.4 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 3.5.2). 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.
3.4.5 Provide Records to the Applicant. If the pilot/applicant requested it, provide the individual with a copy of the NDR records. This is generally done by the hiring air carrier after those records have been requested and received.
3.4.6 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. These comments may be included in the records from the previous employer; however, the pilot may forward these comments to you at some point during the interview or records review process.
3.5 Exceptions and Special Rules Regarding Certain Pilots.
3.5.1 Pilots of Certain Small Aircraft. Before receiving the required records from the pilot/applicant’s former employer(s), you may allow a fully qualified 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 14 CFR part 110, § 110.2) or a helicopter, provided the following requirements are adhered to and documented:
• The flight is not a scheduled operation (as defined in § 110.2).
• You obtain and evaluate the PRIA records from the former employer(s) before the end of the 90-day period.
• 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 paragraph 3.5.2).
• 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.
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3.5.2 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, is in bankruptcy, or is a foreign government or operator that employed the individual if you make a documented attempt to obtain such information.
3.5.2.1 Send the PRIA records 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 receipt requested) or a private mail carrier that documents the date of delivery.
3.5.2.2 If 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 PRIA 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 a reasonable attempt to obtain the records. You may report a nonresponse to the AFS-620 PRIA program manager, who will attempt to determine if the former employer is still in business.
3.5.2.3 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.
3.5.2.4 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 proceed with the hiring process 30 calendar-days after submitting the request to the former employer if you received all other components of the PRIA records 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, NDR, and former employers other than the military. The suggested primary document to receive from the applicant to verify his or her previous military service is the Department of Defense (DOD) Form DD-214, Certificate of Release or Discharge from Active Duty.
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
3-6 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).
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 records requests. You should receive the following records:
3.8.1 Records from the FAA. AFS-620 will provide the following:
• Current Airman Certificates with associated type ratings and limitations;
• Current Airman Medical Certificate, including any limitations; and
• Summaries of FAA legal enforcement actions resulting in a finding by the Administrator of a violation that was not subsequently overturned. PRIA reports closed certificate suspensions, civil penalties, and revocations indefinitely.
Note: Hiring employers may use a Freedom of Information Act (FOIA) 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 (see Appendix I). 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 records request process.
Consult the PRIA program manager for details or see Appendix I.
3.8.2 Records Provided by Previous Employers. Previous employers will provide records pertaining to the pilot/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.
3.8.3 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
3-7 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:
• 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
• A record of any convictions of a DUI from the previous 5-year period, including the state where the offense occurred.
3.9 Maintain All PRIA-Related Records. Records received as the result of a PRIA records request must be maintained for a period of 5 years past the date on the original PRIA application.
3.9.1 PRIA Records. File PRIA-related records separately from other company pilot records, or ensure they are easily retrievable from your primary system of records, to facilitate an internal review or FAA record surveillance. You must ensure that individuals uninvolved in the hiring process do not view or have access to PRIA-related records.
The one exception is the FAA inspector, who cannot be denied access to a PRIA-related system of records when conducting surveillance or inspection of those records.
3.9.2 Holding Records. If you initially considered hiring a pilot/applicant but ultimately did not, and did not request or receive PRIA-related records, then there are no PRIA records to maintain. You need to retain only those records that you requested and received under PRIA, regardless of whether the pilot/applicant was hired or completed training.
3.10 PRIA Records After Cessation of Business, Liquidation, or Bankruptcy.
3.10.1 Cessation of Business. If an air carrier ceases business and/or surrenders its 14 CFR part 119 certificate for any reason, there may be no company at all to maintain records, as specified in 49 U.S.C. § 44703(h)(4), and therefore, no one to fulfill a PRIA records request after the date of cessation. In these cases, the requesting air carrier should follow the provisions of the good faith exception of PRIA that is described in paragraph 3.5.2.
3.10.1.1 One option that an air carrier in this situation does have, in order to extend the best opportunity for employment to their former pilots, would be for the air carrier to maintain/hire one of their employees or another person to remain behind for a specified period of time for the purpose of receiving PRIA records requests and furnishing PRIA-related records. This would be an excellent service for those pilots who are continuing to pursue employment as a professional pilot, but would be an option only and is not a requirement of the statute.
3.10.2 Liquidation or Bankruptcy. If a commercial air carrier ceases business and goes into liquidation or bankruptcy, a trustee is generally assigned for the protection of the property and disbursement of certain assets according to the orders of the court, usually for a period of time that will be required for the completion toward that end. This would include all PRIA-related records that the air carrier had maintained according to PRIA.
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3.10.2.1 Even though the PRIA-related records may not be obtainable, action is required on the part of the person making the request to show evidence that an effort to obtain those records has been made. This is accomplished through the good faith exception.
3.10.2.2 A person making a request for PRIA-related records to an air carrier that is currently being liquidated or known to be in bankruptcy should direct their request to the trustee of that company. For this reason, the requestor must be prepared to document their request with the good faith exception.