Appendix D D-1 APPENDIX D. OVERVIEW AND USE OF FAA FORM 8060-10A Note: Consult the Pilot Records Improvement Act of 1996 (PRIA) Web site at http://www.faa.gov/pilots/lic_cert/pria/forms_docs for the most current information on the overview and use of Federal Aviation Administration (FAA) Form 8060-10A, Airman Notice and Right to Receive Copy – FAA Records (PRIA).
1. Part I, Airman Notice and Right to Receive Copy. The hiring air carrier in operation under Title 14 of the Code of Federal Regulations (14 CFR) part 121 or 135, air operator under 14 CFR part 125, or other person (collectively referred to as the “hiring employer”) uses part I to:
a. Notify the pilot/applicant that the FAA will conduct a records request under PRIA.
b. Notify the pilot/applicant of their right to receive a copy of the records furnished by the FAA to the requesting air carrier.
2. Part II, Airman Request or Non-Request for Records. The pilot/applicant uses part II to notify the FAA whether or not they want a copy of the records that the FAA will furnish to the requesting employer.
3. Distribution. A completed and signed copy of FAA Form 8060-10A serves as a written notification to the airman in accordance with Title 49 of the United States Code (49 U.S.C.)
§ 44703(h)(6). In lieu of forwarding FAA Form 8060-10A to the FAA, if the hiring employer provides the pilot/applicant with initial notification of a records request by providing him or her with a completed and signed copy of FAA Form 8060-10A, further distribution of FAA Form 8060-10A is not required. The hiring employer needs to forward only FAA Form 8060-10, FAA Records Request (PRIA), to the FAA to request records. The hiring employer then files and maintains the original FAA Form 8060-10A in the pilot/applicant’s PRIA-related records file for future company reference and surveillance by the FAA.
Note: The FAA will provide all pilots/applicants, regardless of whether they indicated a preference to receive a copy of their records, with a courtesy copy of their PRIA Background Report that the FAA maintains and furnishes to the hiring employer. For security purposes, all FAA records will be mailed to the individual’s existing address as maintained in FAA records by the Airmen Certification Branch (AFS-760).
4. Requestor. As the requestor of records under the authority of PRIA, you should develop and use a system to track all outstanding requests. After receiving the responses, organize them into a format that management can easily use to evaluate the pilot/applicant’s suitability for employment. The process is not complete until the requestor has completed these activities.
5. Respondent. As the person receiving a records request under the authority of PRIA, you must furnish:
a. A copy of the appropriate records to the requestor no later than 30 calendar-days after receiving the request, as prescribed by 49 U.S.C. § 44703(h)(5).
Appendix D D-2
b. An identical copy, if so requested, to the pilot/applicant on or before 20 calendar-days after receiving the request, as prescribed by 49 U.S.C. § 44703(h)(6).
c. A written notification to the pilot/applicant to satisfy 49 U.S.C. § 44703(h)(6) if the processing time will exceed 20 calendar-days. In other words, an additional document is required to provide written notification if your response time will be over 20 calendar-days. In no case can you take longer than the authorized 30-calendar-day period.
6. Instructions. Instructions for completing FAA Form 8060-10A are attached to the form itself. Overviews and information on using this form are also in the PRIA Office Procedures for the Air Carrier and on the PRIA Web site.
7. The Form. There are two online sources for FAA Form 8060-10A:
a. http://www.faa.gov/pilots/lic_cert/pria/forms_docs.
b. http://www.faa.gov/forms.
Appendix E E-1 APPENDIX E. OVERVIEW AND USE OF FAA FORM 8060-11 Note: Consult the Pilot Records Improvement Act of 1996 (PRIA) Web site at http://www.faa.gov/pilots/lic_cert/pria/forms_docs for the most current information on the overview and use of Federal Aviation Administration (FAA) Form 8060-11, Air Carrier and Other Records Request (PRIA).
1. Part I, Records Request. The hiring air carrier in operation under Title 14 of the Code of Federal Regulations (14 CFR) part 121 or 135, air operator under 14 CFR part 125, or other person (collectively referred to as the “hiring employer”) uses part I to request certain pilot records. A previous employer that used the individual as a pilot at any time during the 5-year period preceding the date on the employment application of the individual or the trustee in bankruptcy for such operator maintains these records. Title 49 of the United States Code (49 U.S.C.) § 44703(h)(1)(B) identifies and references the records that a previous employer must provide.
2. Part II, Airman Consent for the Release of Records. The hiring employer uses part II to obtain written consent for the release of the records from the individual who is the subject of the request.
3. Distribution. The hiring employer either mails or faxes FAA Form 8060-11 to all previous employers that used the applicant as a pilot at any time during the previous 5-year period.
The hiring employer should then provide a copy to the pilot/applicant for that individual’s personal records.
4. Exceptions. Certain exceptions may apply that would either not require the hiring employer to comply with the statutes of PRIA, or could allow an amended request procedure. To foster the most efficient use of its personnel and flight operations, the hiring employer should be familiar with all exceptions that may apply. These exceptions are:
a. Operations expressly excluded from air carrier certification requirements under 14 CFR part 119, § 119.1(e). These, and certain other 14 CFR part 91 operators, are not required to request pilot records under PRIA. However, if they receive a request under PRIA, they are required to furnish such records that they may have maintained on the individual who is the subject of the request. If the former employer did not maintain the records, it must return a brief letter stating such to the requestor to allow it to complete the request process.
b. Pilots of certain small aircraft, as described in 49 U.S.C. § 44703(h)(14)(A).
c. Good faith exception, as described in 49 U.S.C. § 44703(h)(14)(B).
5. Inappropriate Records. The respondent should not include records that are not relevant to the individual’s performance as a pilot in the transmission to the requestor. For example, an agreement between the pilot and employer to pay for training, personal bankruptcy papers, or unemployment compensation disputes between a pilot and employer are not considered appropriate to the individual’s performance as a pilot.
Appendix E E-2
6. Requestor. As the requestor of records under the authority of PRIA, you should develop and use a system to track all outstanding requests. After receiving the responses, organize them into a format that management can easily use to evaluate the pilot/applicant’s suitability for employment. The process is not complete until the requestor has completed these activities.
7. Respondent. As the person receiving a records request under the authority of PRIA, you must furnish:
a. A copy of the appropriate records to the requestor no later than 30 calendar-days after receiving the request, as prescribed by 49 U.S.C. § 44703(h)(5).
b. An identical copy, if so requested, to the pilot/applicant on or before 20 calendar-days after receiving the request, as prescribed by 49 U.S.C. § 44703(h)(6).
c. A written notification to the pilot/applicant to satisfy 49 U.S.C. § 44703(h)(6) if the processing time will exceed 20 calendar-days. In other words, an additional document is required to provide written notification if your response time will be over 20 calendar-days. In no case can you take longer than the authorized 30-calendar-day period.
8. Instructions. Instructions for completing FAA Form 8060-11 are attached to the form itself.
Overviews and information on using this form are also in the PRIA Office Procedures for the Air Carrier and on the PRIA Web site.
9. Reasonable Charges. The former employer furnishing records as the result of a request under PRIA may assess a reasonable charge from the records requestor and from the individual who is the subject of the request, provided he or she has requested an identical copy of the records.
10. The Form. There are two online sources for FAA Form 8060-11:
a. http://www.faa.gov/pilots/lic_cert/pria/forms_docs.
b. http://www.faa.gov/forms.
Appendix F F-1 APPENDIX F. OVERVIEW AND USE OF FAA FORM 8060-11A Note: Consult the Pilot Records Improvement Act of 1996 (PRIA) Web site at http://www.faa.gov/pilots/lic_cert/pria/forms_docs for the most current information on the overview and use of Federal Aviation Administration (FAA) Form 8060-11A, Airman Notice and Right to Receive Copy – Air Carrier and Other Records (PRIA).
1. Part I, Airman Notice and Right to Receive Copy – Air Carrier and Other Records.
The hiring air carrier in operation under Title 14 of the Code of Federal Regulations (14 CFR) part 121 or 135, air operator under 14 CFR part 125, or other person (collectively referred to as the “hiring employer”) that has used the individual as a pilot at any time during the 5-year period preceding the date on the employment application uses part I to notify that individual:
a. That any previous employer will conduct a PRIA records request for pilot-related air carrier records.
b. Of that pilot’s right to receive a copy of the records furnished by the previous employer to the requesting employer.
2. Part II, Airman Request or Non-Request for Records. The pilot/applicant uses part II to notify the previous employer(s) whether they want a copy of the records that the previous employer will furnish to the requesting employer.
3. Distribution.
a. Unlike FAA Form 8060-10A, Airman Notice and Right to Receive Copy – FAA Records (PRIA), when using the FAA forms, completing FAA Form 8060-11A is mandatory. If the pilot/applicant wishes to receive a copy of all air carrier and other records and has checked the “yes” box on FAA Form 8060-11A, the previous employers must make two sets, one for the requestor and one for the individual, and they must mail each one separately.
b. The hiring employer should attach FAA Form 8060-11A to FAA Form 8060-11, Air Carrier and Other Records Request (PRIA), and either mail or fax them to all employers that previously employed the applicant as a pilot at any time during the previous 5-year period.
The hiring employer should then provide a copy to the pilot/applicant for that individual’s personal records.
4. Exceptions. Certain exceptions may apply that would either not require the hiring employer to comply with the statutes of PRIA, or could allow an amended request procedure. To foster the most efficient use of its personnel and flight operations, the hiring employer should be familiar with all exceptions that may apply. These exceptions are:
a. Operations expressly excluded from air carrier certification requirements under 14 CFR part 119, § 119.1(e). These, and certain other 14 CFR part 91 operators, are not required to request pilot records under PRIA. However, if they receive a request under PRIA, they are required to furnish such records that they may have maintained on the individual who is the
Appendix F F-2 subject of the request. If the former employer did not maintain any records, it must return a brief letter stating such to the requestor to allow it to complete the request process.
b. Pilots of certain small aircraft, as described in Title 49 of the United States Code (49 U.S.C.) § 44703(h)(14)(A).
c. Good faith exception, as described in 49 U.S.C. § 44703(h)(14)(B).
5. Requestor. As the requestor of records under the authority of PRIA, you should develop and use a system to track all outstanding requests. After receiving the responses, organize them into a format that management can easily use to evaluate the pilot/applicant’s suitability for employment. The process is not complete until the requestor has completed these activities.
6. Respondent. As the person receiving a records request under the authority of PRIA, you must furnish:
a. A copy of the appropriate records to the requestor no later than 30 calendar-days after receiving the request, as prescribed by 49 U.S.C. § 44703(h)(5).
b. An identical copy, if so requested, to the pilot/applicant on or before 20 calendar-days after receiving the request, as prescribed by 49 U.S.C. § 44703(h)(6).
c. A written notification to the pilot/applicant to satisfy 49 U.S.C. § 44703(h)(6) if the processing time will exceed 20 calendar-days. In other words, an additional document is required to provide written notification if your response time will be over 20 calendar-days. In no case can you take longer than the authorized 30-calendar-day period.
7. Instructions. Instructions for completing FAA Form 8060-11A are attached to the form itself. Overviews and information on the use of this form are in the PRIA Office Procedures for the Air Carrier and on the PRIA Web site.
8. Reasonable Charges. The former employer furnishing records as the result of a request under PRIA may assess a reasonable charge from the records requestor and from the individual who is the subject of the request, provided he or she has requested an identical copy of the records.
9. The Form. There are two online sources for FAA Form 8060-11A:
a. http://www.faa.gov/pilots/lic_cert/pria/forms_docs.
b. http://www.faa.gov/forms.
Appendix G G-1 APPENDIX G. OVERVIEW AND USE OF FAA FORM 8060-12 Note: Consult the Pilot Records Improvement Act of 1996 (PRIA) Web site at http://www.faa.gov/pilots/lic_cert/pria/forms_docs for the most current information on the overview and use of Federal Aviation Administration (FAA) Form 8060-12, Authorization for Release of DOT Drug and Alcohol Testing Records Under PRIA and Maintained Under Title 49 of the Code of Federal Regulations (49 CFR) Part 40.
1. Part I, Records and Airman Consent for the Release of Records. The hiring air carrier in operation under Title 14 of the Code of Federal Regulations (14 CFR) part 121 or 135, air operator under 14 CFR part 125, or other person (collectively referred to as the “hiring employer”) uses part I to provide a list of specific drug and alcohol testing records that the previous employer will furnish through this request.
a. Send this form to previous employers that used the individual as a:
• Department of Transportation (DOT)-regulated employee subject to drug and alcohol testing under Title 49 of the Code of Federal Regulations (49 CFR) part 40,
• Non-pilot safety-sensitive employee subject to drug and alcohol testing such as flight attendant (F/A) or maintenance duties, or
• Pilot at any time during the 5-year period preceding the date on the employment application.
b. Use FAA Form 8060-12 to notify the individual:
• That an FAA records request under PRIA for certain DOT drug and alcohol testing records will be conducted.
• Of a request for certain DOT drug and alcohol testing records under PRIA concerning that individual.
• To obtain written consent for the release of such records from that individual who is the subject of the request.
• If the individual has requested a copy of the records, as indicated on FAA Form 8060- 11A, Airman Notice and Right to Receive Copy – Air Carrier and Other Records (PRIA), any related DOT drug and alcohol testing records must be copied and included with other PRIA-related records as a result of that request.
2. Part II, Records to Provide. The hiring employer uses part II to provide a list of questions that the previous employer will complete and return to the hiring employer. The previous employer(s) also use part II to document the existence of certain DOT drug and alcohol testing records that the previous employer(s) provides to the hiring employer. Consider the following guidelines when either requesting or providing DOT drug and alcohol testing records.
Appendix G G-2
a. Any “no” response in part II of FAA Form 8060-12 still requires the previous employer(s) to furnish a copy of the appropriate negative drug or alcohol testing results for that respective question. To further clarify, previous employers must provide all test results, including both positive as well as negative DOT drug and alcohol testing results, from over the last 5 years to the requestor. Obtaining a copy of the form on the DOT Web site, where previous employers simply “check off” that there were no rule violations, is not acceptable.
b. In addition to obtaining records from all previous employers over the last 5 years, the hiring employer must ask all applicants about their drug and alcohol testing history under DOT agency testing rules to satisfy 49 CFR part 40, § 40.25(j). Unlike the time period required under PRIA, this testing history obtained under 49 CFR § 40.25(j) covers a period of only 2 years. However, PRIA drug and alcohol testing records are not subject to the document retention conditions found in 49 CFR § 40.333. All PRIA records, including drug and alcohol testing records, are required by Title 49 of the United States Code (49 U.S.C.)
§ 44703(h)(4) to be maintained for at least 5 years. Therefore, to fulfill the requirements of PRIA, a hiring employer must obtain both positive and negative test results for the individual from the last 5 years.
3. Distribution. The hiring employer should attach FAA Form 8060-12 to FAA Forms 8060-11, Air Carrier and other Records Request (PRIA), and 8060-11A and either mail or fax the forms to all previous employers that used the applicant as a pilot at any time during the previous 5-year period. The hiring employer should provide a copy to the pilot/applicant for that individual’s personal records.
4. Use of FAA Form 8060-12. Even though the use of FAA Form 8060-12 is not currently required, this form has been carefully designed to combine both the records requirements of PRIA with those of 49 CFR part 40. Any employer not in compliance with the drug and alcohol testing record check requirements of 49 CFR part 40 could be subject to an additional inquiry by the Drug Abatement Division (AAM-800). It is a good business practice, therefore, to use FAA Form 8060-12 even if you do not use the other FAA PRIA forms.
5. Instructions. Instructions for completing FAA Form 8060-12 are attached to the form itself.
Overviews and information on the use of this form are in the PRIA Office Procedures for the Air Carrier and on the PRIA Web site.
6. The Form. There are two online sources for FAA Form 8060-12:
a. http://www.faa.gov/pilots/lic_cert/pria/forms_docs.
b. http://www.faa.gov/forms.
Note: Additional information concerning the inspection of drug and alcohol testing records is in FAA Order 8000.88, PRIA Guidance for FAA Inspectors, paragraph 3-3.
Appendix H H-1 APPENDIX H. OVERVIEW AND USE OF FAA FORM 8060-13 Note: Consult the Pilot Records Improvement Act of 1996 (PRIA) Web site at http://www.faa.gov/pilots/lic_cert/pria/forms_docs for the most current information on the overview and use of Federal Aviation Administration (FAA) Form 8060-13, National Driver Register Records Request (PRIA).
1. Part I, National Driver Register (NDR) Records Request. The hiring air carrier in operation under Title 14 of the Code of Federal Regulations (14 CFR) part 121 or 135, air operator under 14 CFR part 125, or other person (collectively referred to as the “hiring employer”) uses part I to request NDR records concerning an individual seeking employment as a pilot with the employer.
2. Part II, Consent to the Release of Records. The hiring employer uses part II to obtain written consent for the release of the records from the individual who is the subject of the request.
3. Part III, Notice to the Prospective Employee. The hiring employer uses part III to certify the identity of the individual who is the subject of the request.
a. The hiring company’s representative completes part IIIa when the individual applies in person.
b. The pilot/applicant must have a notary public complete parts IIIa and IIIb when the individual does not apply in person.
4. Use of the Pilot/Applicant’s Date of Birth. For all requests to a state’s Department of Motor Vehicles (DMV) or to the NDR, notwithstanding the Privacy Act, disclosure of the pilot/applicant’s date of birth is mandatory. This is for identification purposes, and the DMV or NDR will return most requests without the date of birth with no action being taken by the respondent.
5. Distribution. NDR requirements vary from state to state, and therefore, it is not practical to establish one firm procedure that will satisfy all requests. Notwithstanding, the requesting employer should begin its NDR request process in the manner described in the current version of Advisory Circular (AC) 120-68 or in the PRIA Office Procedures for the Air Carrier to establish a request process that will produce the most reliable and consistent results for the state.
6. National Highway Traffic Safety Administration (NHTSA). The NHTSA maintains an Internet database with current addresses and telephone numbers for state DMVs. This information is available at http://www.onlinedmv.com.
7. Copies Requested by the Pilot/Applicant. Neither the DMV of any state nor the NDR will furnish an additional copy of a report requested under the authority of PRIA. Therefore, if a pilot/applicant has checked the “yes” block on FAA Form 8060-11A, Airman Notice and Right to Receive Copy – Air Carrier and Other Records (PRIA), the hiring employer will need to furnish the copy after it receives the report.
Appendix H H-2
8. The Form. There are two online sources for FAA Form 8060-13:
a. http://www.faa.gov.pilots/lic_cert/pria/forms_docs.
b. http://www.faa.gov/forms.
NOTE: Not all state DMVs accept FAA Form 8060-13 because they are not familiar with the form itself, or prefer to use their own form. If this is the case, use the NDR or DMV request form provided by the state, which is usually available on their Web site.
9. Instructions. Instructions for completing FAA Form 8060-13 are attached to the form itself.
Overviews and information on the use of this form are in the PRIA Office Procedures for the Air Carrier and on the PRIA Web site.
10. Additional Tips. Many state DMVs will not accept copies of a request form, so it is advisable to always submit the request in original form. As a result, the hiring employer must mail the request instead of faxing it. We recommend that you use a certified mail delivery that will document the receipt of your request. It is also a good idea to start the request process with a phone call to the state DMV to make sure you have covered all of the requirements of that particular state.
11. NDR Data System Match. The hiring employer receives an NDR report that will state that a data system match was not found, meaning that the record of the individual is clean, or that a data system match concerning the motor vehicle driving record of the individual was found and indicated a:
a. Record of suspension from the previous 5-year period, if applicable.
b. Record of revocation from the previous 5-year period, if applicable.
c. Any conviction of driving under the influence (DUI), if applicable.
12. The NDR Report.
a. A completed NDR report without reference to an action taken against the pilot’s driver’s license is considered a clean report. If the report does indicate a clean record, add the report to the pilot/applicant’s PRIA-related records file and the NDR request process is considered complete.
b. If the report does indicate a problem, however, it will point to a specific state(s) in which the problem(s) occurred. In these cases, the record will indicate a possible match, and the hiring employer is required to conduct further investigation. The hiring employer must disclose this information to the individual in an attempt to verify whether a positive match with the pointer record exists, or if the possible match pertains to another individual with similar identifying information.
Appendix H H-3
c. If the resulting investigation confirms the individual as a positive match with the pointer record, the potential employer or the Designated Agent (DA) must send a second NDR request to the state(s) indicated in the initial report to determine the exact nature of the problem.
d. If the resulting investigation confirms that the individual is not a match with the pointer record, then, along with the results of the investigation, the report is considered clean, the matter closed, and the NDR request process completed for that individual.
Appendix I I-1 APPENDIX I. ADDITIONAL PILOT RECORDS What are the additional pilot records that an air carrier or air operator is expected to request to assist in the applicant review, selection, and hiring process?
An air carrier or an air operator is expected to request Federal Aviation Administration (FAA) records of proficiency/competency and airmen certification practical test results, in addition to the standard Pilot Records Improvement Act of 1996 (PRIA) request. This will require a release signed by the pilot in addition to the standard release found on all PRIA forms.
What other additional pilot records may an air carrier or air operator request to assist in the applicant review, selection, and hiring process?
An air carrier or air operator can request pilot records that include an airman’s record history concerning accidents/incidents and enforcement actions (notwithstanding those records that have been expunged by the FAA) and are available through a Privacy Act or a Freedom of Information Act (FOIA) request made to the Aviation Data Systems Branch (AFS-620).
Complete information and sample requests are available on the PRIA Web site at http://www.faa.gov/pilots/lic_cert/pria/guidance.
An air carrier or air operator can request pilot records that include a certificate holder’s “complete airman file” that includes FAA Form 8060-5, Notice of Disapproval of Application, available by request from the Airmen Certification Branch (AFS-760) using Form AC 8060-72, FOIA Request for Copies to 3rd Party, which is available on the FAA Web site at https://www.faa.gov/documentLibrary/media/Form/AC8060-72.pdf. For additional details, contact AFS-760 toll-free at 866-878-2498.
Other airman records that may be requested include FAA Form 8060-5, including the accompanying FAA Form 8710-1, Airman Certificate and/or Rating Application, indicating a failed airman practical test by using Form AC 8060-72, which is available on the FAA Web site at https://www.faa.gov/documentLibrary/media/Form/AC8060-72.pdf. For additional details, you may contact AFS-760 toll-free at 866-878-2498.