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.
4-1 CHAPTER 4. INFORMATION FOR PREVIOUS EMPLOYERS RESPONDING TO
PRIA RECORDS REQUESTS
4.1 Role of Former Employers Responding to a PRIA Records Request. If you are an air carrier, air operator, or person (see definitions in paragraph 6.2) receiving a PRIA records request for records concerning a former employee (i.e., pilot/applicant), you are required to furnish the appropriate records from the previous 5 years to the requestor no later than 30 calendar-days after receiving the request.
Note: The 30-day period is 30 calendar-days, not 30 business days. You are required to provide records pertaining to your former employee, that individual’s performance as a pilot, disciplinary actions (see paragraph 4.5), and release from employment.
4.2 Records You Must Maintain and How to Maintain Them. If you are required to maintain PRIA records, you should do so for a period specified in the statute as 5 years from the date on the application. It is suggested that PRIA records be maintained for the duration of a pilot’s employment with your company plus 5 years (see paragraph 3.9).
You only need to retain those records that you requested and received under PRIA, regardless of whether the pilot/applicant was hired or completed training. You should file PRIA-related records separately from other company pilot records, or ensure they are easily retrievable from your primary system of records. 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.
Note: The 5-year period required by PRIA supersedes other references to records maintenance time periods in part 121, 125, or 135.
4.3 Documents You Should Receive from the Requestor.
4.3.1 Consent Release. You must not furnish any records to the requestor unless you have received a copy of the pilot/applicant’s written consent for you to release such information (e.g., FAA Form 8060-11).
4.3.2 The Pilot/Applicant’s Request for a Copy of the Pilot/Applicant’s Records.
Pilots/applicants will use FAA Form 8060-11A to designate whether or not they want a copy of their records. If you receive a request without this form, consider it an incomplete request and return it for correction.
4.4 What You Must Provide to the Pilot/Applicant. Within 20 calendar-days of receiving a PRIA records request, you must provide the pilot/applicant with written notification
(e.g., postcard or letter) of the request and of the individual’s right to receive a copy of such records. You can also fulfill this requirement by providing a copy of the records to the individual within 20 calendar-days. However, you must provide the records no later than 30 calendar-days after receiving the request.
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4.5 Specific Records You Must Furnish. Only furnish records from the past 5 years; you must not furnish a record entered more than 5 years before the date of the PRIA records request unless the information concerns a revocation or suspension of an Airman Certificate or motor vehicle license and the revocation or suspension is in effect on the date of the request. You must respond to the requestor (the hiring employer) within 30 calendar-days of receiving the PRIA records request, and provide records regarding:
4.5.1 Records Concerning Pilot Performance. Consistent with the statutory language and legislative history and intent of PRIA, records related to pilot performance encompass those records of an activity or event specifically related to an individual’s completion of the core duties and responsibilities of a pilot, as assigned by the employer and established by the FAA, to maintain safe aircraft operations.
4.5.1.1 What Is Pilot Performance? Pilot performance includes those aeronautical actions a pilot must take while in command of an aircraft in the air and on the ground to an acceptable level of competence. Specifically, this includes the manipulation of the controls along with all other related systems to safely and efficiently transport people and/or property by air from one location to another. This must be accomplished within the framework of FAA regulation and also established company policy.
4.5.1.2 Records Related to Pilot Performance. These records are not limited solely to events arising out of the pilot’s demonstration of proficient flying skills and the demonstration of compliance with FAA regulatory requirements. A pilot’s duties and responsibilities to ensure safe aircraft operations also include demonstrating adherence to certain established company procedures during all aspects of an aircraft operation. This includes the procedural requirements for all phases of flight.
4.5.1.3 Records of Relevant Events. These records include certain events that occurred while on the ground during the preflight or postflight activities in connection with a flight operation. Moreover, the duty to maintain a safe aircraft operation includes ensuring the safety of other crewmembers, passengers, cargo, the aircraft, the operating environment, and others operating within that environment.
4.5.2 Defining Disciplinary Records that are Required to be Reported. Applying the meaning of “records related to pilot performance” in the context of disciplinary records that are maintained by an air carrier, these records include those of any relevant disciplinary action as a result of an incident or other event that may have occurred in an operation under any part of 14 CFR, provided that operation was conducted by a pilot as part of that pilot’s duties for their employer and was thus responsible for safe aircraft operations.
4.5.2.1 Application of This Definition. All disciplinary records meeting this definition and adhering to the concept of paragraphs 4.5.1 and 4.5.2 that may bring into question the pilot’s professional aeronautical competence must
4-3 be reported in accordance with the statutory requirements found in 49 U.S.C § 44703(h)(1)(B)(ii).
4.5.2.2 Disciplinary Records Not Required to be Reported. Records of disciplinary actions not involving the Code of Federal Regulations (CFR), yet arising out of the pilot’s noncompliance with company policies unrelated to safe aircraft operations, are not the type contemplated by PRIA, and therefore, are not required to be reported. Examples might include:
• A poor record of attendance,
• A disregard for company dress codes,
• An unfriendly or argumentative interaction with other company employees or the public, or
• Other morality- or behavior-based action unrelated to pilot performance.
4.6 Charging a Fee for Records That You Provide. If desired, you may establish a reasonable fee for the cost of processing the request and furnishing copies of the records.
4.6.1 Providing Records. While you may charge a reasonable sum for furnishing records, you must not withhold records until the hiring employer makes the payment. You must provide records within 30 calendar-days of receiving the request.
4.6.2 Using PRIA. Employers should never use the PRIA statute as an instrument to:
• Inflict excessive charges on another air carrier or air operator that is requesting records in accordance with PRIA,
• Excessively attempt to profit from the transaction, or
• Discourage another air carrier or air operator from submitting a request for pilot information related to PRIA.
4.7 Request the Pilot/Applicant to Sign a Limitation on Liability Release. Even though a limitation on liability already exists in the PRIA statute, if you wish, you can present a liability release for the pilot/applicant to sign. Such a release would limit the individual from seeking legal action against you for furnishing PRIA records or for information you entered in that individual’s records. A pilot/applicant must sign and return the release.
However, you cannot withhold the requested records past the 30-calendar-day period allowed by statute while waiting for an individual to return the release. This limitation on liability does not apply if you knowingly furnish false information or information maintained in violation of a criminal statute of the United States.
4.8 Records You Must Furnish if You Are a Part 91 Operator. If you operate solely under part 91, and are not conducting air tours under § 91.147, then you do not have to request PRIA records when hiring pilots. Remember, operators under § 91.147 were required to request records under PRIA when they were considered to be sightseers under
4-4 § 135.1(c) but are still required to request drug and alcohol testing records under PRIA.
We recognize that most part 91 operators, other than § 91.147 operators and part 91K fractional ownerships, are not required to establish or maintain pilot records under PRIA.
However, you should respond to a PRIA records request regarding a former employee by providing any documents you accumulated over the past 5 years that would provide relevant and useful background information concerning the pilot’s experience, proficiency, and safety history. If you have no information at all concerning the individual, you should send a brief response to the records requestor stating so.
4.9 Records You Must Furnish if You Are a Part 121 Air Carrier. In response to a PRIA records request, you must furnish records pertaining to the individual (other than those relating to flight time, duty time, or rest time), including:
4.9.1 Compliance. Records that show whether the crewmember complied with the applicable subsections of § 121.683(a), including:
1. Proficiency and route checks.
2. Airplane and route qualifications.
3. Training.
4. Records of each action taken concerning the release from employment or physical or professional disqualification of the flightcrew member that the employer did not subsequently overturn.
4.9.2 Drug Testing. Records pertaining to the drug testing and alcohol misuse programs described in 14 CFR part 120, and maintained in accordance with 49 CFR § 40.333:
1. Confirmed alcohol test results indicating an alcohol concentration of 0.04 or greater.
2. Verified positive drug test results.
3. Documentation of refusals to take required alcohol and/or drug tests (including substituted or adulterated test results).
4. Documentation of other violations of Department of Transportation (DOT) agency drug and alcohol testing regulations.
5. Substance Abuse Professional (SAP) reports.
6. All follow-up test results and schedules for follow-up tests, including documentation of the return-to-duty test.
7. Information obtained from previous employers under 49 CFR § 40.25 concerning drug and/or alcohol violations.
8. Records of negative and canceled drug test results, and confirmed alcohol test results with an alcohol concentration of less than 0.039.
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4.10 Records You Must Furnish if You Are a Part 125 Air Operator. In response to a PRIA records request, you must furnish records pertaining to the individual (other than those relating to flight time, duty time, or rest time), including records that show whether the crewmember complied with the applicable subsections of § 125.401(a). This includes:
• Checks: proficiency and route checks.
• Qualifications: airplane qualifications.
• Disqualification: records of each action taken concerning the release from employment or physical or professional disqualification of the flightcrew member that the employer did not subsequently overturn.
4.11 Records You Must Furnish if You Are a Part 135 Air Carrier. In response to a PRIA records request, you must furnish records pertaining to the individual (other than those relating to flight time, duty time, or rest time), including:
4.11.1 Compliance. Records that show whether the pilot complied with the applicable subsections of § 135.63(a)(4), including:
1. Full name.
2. Pilot certificate (by type and number) and ratings held.
3. Aeronautical experience.
4. Current duties and the date of assignment to those duties.
5. Date and result of each of the initial and recurrent competency tests and proficiency and route checks required by part 135 and the type of aircraft flown during that test or check.
6. Check pilot authorization, if any.
7. Release from employment for physical or professional disqualification that the employer did not subsequently overturn.
8. Date of the completion of the initial phase and each recurrent phase of the training required by part 135.
4.11.2 Drug Testing. Records pertaining to drug and alcohol testing described in part 120 and maintained in accordance with 49 CFR § 40.333, including:
1. Confirmed alcohol test results indicating an alcohol concentration of 0.04 or greater.
2. Verified positive drug test results.
3. Documentation of refusals to take required alcohol and/or drug tests (including substituted or adulterated test results).
4. Documentation of other violations of DOT agency drug and alcohol testing regulations.