AC 120-68G

U.S. Department of Transportation Federal Aviation Administration Advisory Circular Subject: Pilot Records Improvement Act of 1996 Date: 6/21/16 AC No: 120-68G Initiated by: AFS-600 Change:

The Pilot Records Improvement Act of 1996 (PRIA), as amended, was enacted to ensure that air carriers and air operators adequately investigate a pilot’s background before allowing that pilot to conduct commercial air carrier flights. Under PRIA, a hiring employer cannot place a pilot into service until he or she obtains and reviews the last 5 years of the pilot’s background and other safety-related records as specified in PRIA.

This advisory circular (AC) is supplemented by the current edition of Federal Aviation Administration (FAA) Order 8000.88, PRIA Guidance for FAA Inspectors, and numerous other documents available on the PRIA Web site at http://www.faa.gov/pilots/lic_cert/pria.

These sources of detailed information related to PRIA provide invaluable assistance to the certificate holder or others concerning the PRIA records request process as well as other compliance issues.

A new application called the Pilot Records Database (PRD), currently under development, will soon begin to replace PRIA and provide electronic responses within a fraction of the time that the current process requires. The PRD will be used to facilitate the gathering and sharing of pilot records among the FAA and air carriers in a clearinghouse managed by the FAA.

Air carriers and operators will have direct, uninterrupted access to pilot records in order to make a more informed hiring decision through PRD rather than submitting multiple requests and waiting for the return of those records from multiple sources. The PRD will be deployed in multiple phases with availability for voluntary use in its initial stage (see paragraph 1.5.4).

The Flight Standards Service (AFS) is committed to a stakeholder-driven system of operation that will deliver FAA records and assistance to all parties subject to PRIA, and eventually PRD, when necessary.

ORIGINAL SIGNED by /s/ John Barbagallo Deputy Director, Flight Standards Service

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CONTENTS Paragraph Page

Chapter 1. General Information1-1

1.1 Purpose1-1

1.2 Cancellation1-1

1.3 How to Use This AC1-1

1.4 Applicability1-1

1.5 Background1-3

1.6 Company Records Versus PRIA Records1-4

Figure 1-1. PRIA Records Request and Maintenance Process1-6

1.7 The Request Process1-7

1.8 Best Practices1-7

Chapter 2. Information for the Pilot/Applicant2-1

2.1 Pilot/Applicant’s Tasks During PRIA Records Request Process2-1

2.2 Your Right to Receive Copies of Records2-2

2.3 A Pilot’s Expectations and Protections Under PRIA2-3

2.4 Pilots Formerly Employed by Government Agencies2-4

2.5 Previous Employers are to be Reported2-4

2.6 Additional PRIA Resources for Pilots2-4

Chapter 3. Information for the Hiring Employer on PRIA Procedural Considerations3-1

3.1 Initiate the PRIA Records Request Process3-1

3.2 Using a DA to Respond to PRIA Records Requests3-1

3.3 The Hiring Employer’s Role During the PRIA Records Request Process3-1

3.4 Process Responses3-3

3.5 Exceptions and Special Rules Regarding Certain Pilots3-4

3.6 Pilots Seeking Employment After Completing Military Duty3-5

3.7 Pilots Formerly Employed by a Government Agency3-5

3.8 Review and Evaluate the Records3-6

3.9 Maintain All PRIA-Related Records3-7

3.10 PRIA Records After Cessation of Business, Liquidation, or Bankruptcy3-7

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Chapter 4. Information for Previous Employers Responding to PRIA Records Requests4-1

4.1 Role of Former Employers Responding to a PRIA Records Request4-1

4.2 Records You Must Maintain and How to Maintain Them4-1

4.3 Documents You Should Receive from the Requestor4-1

4.4 What You Must Provide to the Pilot/Applicant4-1

4.5 Specific Records You Must Furnish4-2

4.6 Charging a Fee for Records That You Provide4-3

4.7 Request the Pilot/Applicant to Sign a Limitation on Liability Release4-3

4.8 Records You Must Furnish if You Are a Part 91 Operator4-3

4.9 Records You Must Furnish if You Are a Part 121 Air Carrier4-4

4.10 Records You Must Furnish if You Are a Part 125 Air Operator4-5

4.11 Records You Must Furnish if You Are a Part 135 Air Carrier4-5

4.12 Lost or Destroyed PRIA Records4-6

Chapter 5. PRIA Operational Considerations for the Hiring Employer5-1

5.1 PRIA Office Procedures and Compliance Checklist5-1

5.2 Assign PRIA Duties to a Designated Agent (DA)5-1

5.3 Resolve Noncompliances to Your PRIA Records Requests5-1

5.4 Actions to Take if a Former Employer Reports Lost or Destroyed PRIA

Records5-2

5.5 PRIA Obligations for Pilot Furloughs and Leaves of Absence5-2

5.6 PRIA Management by a Major Holding Company5-3

5.7 Use of Foreign Pilots5-4

5.8 Pilots Formerly Employed by a Government Agency5-5

5.9 Failure to Pay for Records Requested Through PRIA5-5

5.10 Access of PRIA-Related Records to FAA Inspectors5-6

Chapter 6. Administrative Information6-1

6.1 Related Regulations6-1

6.2 Definitions6-1

6.3 Other PRIA Resources6-3

6.4 PRIA Contact Information6-3

6.5 AC Feedback Form6-3

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Appendix A. Pilot Records Improvement Act of 1996 (6 pages)A-1

Appendix B. PRIA Records Request Process Flowchart (1 page)B-1

Appendix C. Overview and Use of FAA Form 8060-10 (3 pages)C-1

Appendix D. Overview and Use of FAA Form 8060-10A (2 pages)D-1

Appendix E. Overview and Use of FAA Form 8060-11 (2 pages)E-1

Appendix F. Overview and Use of FAA Form 8060-11A (2 pages)F-1

Appendix G. Overview and Use of FAA Form 8060-12 (2 pages)G-1

Appendix H. Overview and Use of FAA Form 8060-13 (3 pages)H-1

Appendix I. Additional Pilot Records (1 page)I-1

1-1 CHAPTER 1. GENERAL INFORMATION

1.1 Purpose. This advisory circular (AC) provides information that may be used to comply with the provisions of Title 49 of the United States Code (49 U.S.C.) § 44703(h), (i), and (j). This law is commonly referred to as the Pilot Records Improvement Act of 1996 (PRIA). PRIA requires the gathering and sharing of information relating to a pilot/applicant’s qualification and safety background. An air carrier or air operator is required to request those records so it can make an informed decision before an individual is placed into service as a pilot. PRIA applies to any hiring air carrier or air operator, whether they hire pilots directly or by contract (see paragraph 1.4).

1.2 Cancellation. This AC cancels AC 120-68F, Pilot Records Improvement Act of 1996, dated May 31, 2012.

1.3 How to Use This AC. The Federal Aviation Administration (FAA) wrote this AC with three audiences in mind: the pilot/applicant, hiring employers that must request PRIA records, and former employers that must respond to PRIA records requests. You do not have to read the entire document to find the information you need. Everyone should read this chapter to determine if PRIA affects them. Pilots applying for a job with an air carrier or air operator that will have to request PRIA records should read Chapter 2. Hiring employers should read Chapter 3 and 5, and those employers responding to PRIA records requests should read Chapter 4. Chapter 6 is for everyone, as it contains definitions, resources, and PRIA contact information.

1.4 Applicability. See paragraph 1.6 for a discussion that defines company records as opposed to PRIA records.

1.4.1 Affected Party. PRIA specifically applies to the following:

1.4.1.1 Any U.S. air carrier operating under Title 14 of the Code of Federal Regulations (14 CFR) part 121 or 135, or any U.S. air operator under 14 CFR part 125 for the purpose of requesting records.

1.4.1.2 Any U.S. air carrier operating under part 121 or 135, any U.S. air operator operating under part 125, other person, or trustee in bankruptcy for an operator that employed the individual as the pilot of a civil or public aircraft at any time during the 5-year period before the date of the individual’s employment application for the purpose of furnishing records.

1.4.1.3 Any individual who is applying for a position as a pilot with a U.S. air carrier or operator, and has been employed as a pilot of a civil or public aircraft at any time during the 5-year period before the date of the individual’s employment application for the purpose of employment.

Note: If you are a single pilot operator, you are still subject to the provisions of PRIA. Complete the PRIA forms as both the air carrier representative and the pilot (as subject of the request). In the margin

1-2 of the request, enter the statement “SINGLE PILOT OPERATOR” in large letters to identify yourself as such.

1.4.2 Determining if PRIA Applies to You When Hiring a Pilot. Use the following checklist to determine if PRIA requires you to request records for a pilot (see the definitions in Chapter 6). When hiring a pilot, PRIA applies, and you must request records concerning a pilot/applicant if you answer “yes” to either of the two questions below.

1.4.2.1 Are you an air carrier operator conducting operations in accordance with 14 CFR part 91 subpart K (part 91K), 121, 125, or 135?

1.4.2.2 Do you engage in air transportation, as defined in 49 U.S.C. § 40102(a)(5)?

You engage in air transportation if you provide:

• Foreign air transportation (flag operation),

• Air transportation on an interstate basis, or

• Transportation of U.S. mail.

Note: Notwithstanding the above comments, all operators should consider voluntarily requesting PRIA records and any other records that may be available (see Appendix I).

1.4.3 Contract and/or Shared Pilots Concerning PRIA. Before allowing an individual to begin service as a pilot, an air carrier or air operator must request and receive PRIA-related records, regardless of whether they hire the pilot directly or by contract. In all cases, the PRIA burden is on the air carrier or air operator, not the company providing the pilot under a contract, or the individual pilot. In other words, if an air carrier or air operator is going to utilize the temporary services of a contract or shared pilot provided by a staffing-type agency or other concern, the burden remains with the utilizing air carrier or air operator to comply with the PRIA statutes.

1.4.4 PRIA Participation by Part 91 Operators. If you are a part 91, § 91.147 operator (formerly a part 135, § 135.1(c) operator), you must request drug and alcohol testing records when hiring a pilot/applicant for your air tour operation. Other part 91 operators are not required to request records when hiring a pilot/applicant because they do not meet the definition of an air carrier (see the definitions in Chapter 6). However, if you operate under part 91 and you receive a request for records under the authority of PRIA, you should respond because you meet the definition of “person.” Thus, you should furnish any PRIA-related records you accumulated on an individual you employed as a pilot within the previous 5 years, or if there are no records to forward, simply state that there are none and return the request. This will enable the requestor to close out and complete their PRIA checks and then proceed with their hiring process. If you operate as a fractional ownership under part 91K (refer to § 91.1051), you are required to request and evaluate records in accordance with PRIA.

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1.4.5 Other Exceptions from PRIA When Hiring Pilots. If you are hiring a pilot, PRIA does not apply if you (1) conduct your operations on an intrastate basis only and are not operating air tours under § 91.147; and (2) you do not transport U.S. mail even if you carry passengers and cargo, and even if you use common carriage, adhere to a schedule, and operate under an air carrier certificate. In other words, the definition of air transportation must be fulfilled before PRIA will apply to your operation. However, we strongly encourage those that are not required to comply with PRIA to voluntarily request PRIA records. Other exceptions include:

1.4.5.1 Flights or other operations not operating under part 91K, 121, 125 or 135, or § 91.147.

1.4.5.2 Other operators would include 14 CFR part 133 external load operators, 14 CFR part 137 agricultural operations, part 91 subpart F (part 91F) and part 91K, or other unique part 91 operations. Air agencies include aviation-related companies operated in private industry but certificated by the FAA, including the following types of operations:

• Domestic satellite repair station,

• Parachute loft,

• Domestic repair station,

• Aviation maintenance technical schools,

• Training centers,

• Foreign repair station, and

• Foreign satellite repair stations.

1.4.5.3 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 PRIA 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 should respond by forwarding such records that you may have accumulated concerning the pilot/applicant within the previous 5-year period or a statement to the effect that there are no records available to be forwarded.

1.5 Background.

1.5.1 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 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 (PL) 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

1-4 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 A.

1.5.2 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.

1.5.3 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.

1.5.4 Pilot Records Database (PRD). The Airline Safety and Federal Aviation Administration Extension Act of 2010 (the Act) amends PRIA by requiring the FAA to create the PRD that will contain pilot records. The PRD is required to contain pilot records dating from August 1, 2005, for FAA certification events, enforcement records, air carrier employment history, training data, and drug and alcohol testing records. Once developed, the PRD will eventually replace the system implemented by PRIA. Until implementation of the PRD, PRIA and the current edition of AC 120-68 remain in effect. Therefore, air carriers and other operators who employ pilots must continue to provide pilot records to an air carrier seeking information on an individual pilot in accordance with PRIA.

As established through PRIA, air carriers are required to evaluate all available pilot records prior to making a hiring decision.

Note: All air carriers and operators must continue to generate and maintain pilot records as of August 1, 2005, through present.

1.6 Company Records Versus PRIA Records. Air carriers typically maintain records that exceed the scope of PRIA. Such records are referred to as “company records,” whereas the records maintained and provided by air carriers in accordance with PRIA are referred to as “PRIA records.” The difference between the record types can easily create confusion among those involved during review.

1. Company records are events or actions memorialized by an air carrier or operator to document compliance with a statute or regulation or those maintained through a company’s own initiative. These records typically comprise of documented training and qualification events, performance, and employment-related activities during the period that an individual is employed by a company as a pilot. Many company records exceed the scope of PRIA.

2. PRIA records are a collection of company records memorialized by a current or former employer during the previous 5 years from the date of the request

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.

1-5 that meet the policy outlined in the guidance of this AC. These records are used to assist an air carrier in making a hiring determination. PRIA records are not forwarded from a receiving air carrier to another requesting air carrier through a future PRIA records request.

3. This is how the system is supposed to work: The company, throughout a pilot’s tenure with them, generates and then maintains active records concerning that pilot’s training, performance, and qualifications as a pilot.

We refer to these documents as active company records. Then at some point, if the pilot decides to apply elsewhere for employment as a pilot, the new potential carrier will send a PRIA records request to the former company for records concerning that pilot’s history. Once the PRIA records request has been received, the current or former carrier will then select the appropriate documents from their company records and forward them to the requesting carrier.

4. Once the company records have been assembled to meet the policy of this AC by the current and/or former employers of the pilot applicant, at that point, that subset of company records become PRIA records and will serve only one purpose: that of assisting the potential carrier in making a more informed hiring decision concerning the applicant.

5. Those PRIA records will be archived and maintained completely separate from the hiring air carrier’s company records. PRIA records received through a PRIA records request should never be actively used again, other than for inspection and review by that company’s principal operations inspector (POI).

6. PRIA records are never to be considered as an air carrier’s own company records when a PRIA records request has been received. The company holding the PRIA records must respond to a PRIA records request only from their company records and never forward existing PRIA records as part of the records sharing process. The cycle of requesting and receiving records then begins again.

7. Figure 1-1, PRIA Records Request and Maintenance Process, describes the current PRIA records request and maintenance process.

Figure 1-1. PRIA Records Request and Maintenance Process Step 1: Air Carrier accumulates a Step 2: Pilot applies at Step 3: Current air carrier pilot's company records over the another air carrier and assembles certain records course of a pilot's employment current employer into a file that responds containing : receives a PRIA request. to the PRIA request.

Contact These are PRIA records information, now.

Driver's license, Received PRIA request fingerprints, TSA (This has a 5 year record clearance, known retention crewmember status, emergency contact information, insurance information, 401K, attendance, etc. (These do not have FAA record PRIA retention requirements) Pilot training, qualification events, drug and alcohol testing, disciplinary Step 4: A hiring decision is action, flight time, made and the hiring air carrier emergency training maintains records received for (These have a 5 year retention requirement) 5 years and begins to accumulate company records.

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1.7 The Request Process. The following is a brief overview of the entire PRIA process (see Appendix B). Subsequent chapters detail the roles and responsibilities for the pilot/applicant, the hiring employer, and the current or former employer.

1.7.1 Initiation. The hiring employer initiates the process.

1.7.2 PRIA Records Request. Both the pilot/applicant and the hiring employer complete the PRIA records request forms.

1.7.3 Employer. The hiring employer sends the request forms to the:

• FAA,

• National Driver Register (NDR), and

• Current and previous employers.

1.7.4 Response. Respondents answer the PRIA records requests.

1.7.5 Review. All pilots/applicants may review records submitted about them to the FAA, NDR, and current and previous employers.

1.7.6 Evaluation. The hiring employer reviews and evaluates the results.

1.7.7 Records Maintenance. The hiring employer maintains all PRIA-related records.

1.7.8 Designated Agent (DA). A requesting air carrier has the option of employing a “third-party processor,” commonly known as a DA, to complete all of their PRIA checks.

1.8 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.

1.8.1 PRIA Records 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 I).

1.8.2 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 paragraph 1.8.1.

1.8.3 Disclosure. The FAA expects a pilot applicant to disclose all pilot testing failures to any potential aviation employer.

1.8.4 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.

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.