3-6 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) DD Form 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), it is necessary to query that specific agency for records. Do not use FAA Forms 8060-11 and 8060-11A, as these methods are inappropriate for querying a government agency. Instead, send a letter requesting the appropriate pilot safety-related records, including any available drug and alcohol testing records. Have the pilot/applicant provide a brief statement and a signature consenting to the release of this information, either with the letter or as a separate attachment (see paragraph 5.8).
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 is 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 (e.g., PRIA reports, closed certificate suspensions, civil penalties, and revocations indefinitely).
Note: Hiring employers may use the PRD to obtain a pilot’s Notices of Disapproval for flight checks for certificates and ratings (if any) that occurred on or after August 1, 2010. A pilot’s Notices of Disapprovals (if any) that occurred prior to August 1, 2010, may be requested through a Freedom of Information Act (FOIA) request directed to the Airmen Certification Branch (AFS-760).
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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, PRIA Procedures for Former Employers, 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 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 Filing 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 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.
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3.10.1.1 Possible Option for Continued PRIA Services. 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.
3.10.2.1 Good Faith Exception to Provide PRIA Records. 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 Direct Requests to Trustee of Defunct Airlines. 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.
3.11 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 are typically comprised 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 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 (see item 7 below).
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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 3-1, PRIA Records Request and Maintenance Process, visually describes the current PRIA records request and maintenance process (also see paragraph 3.9). The following is a brief overview of the entire PRIA process (see Appendix B, Overview and Use of FAA Form 8060-10).
Subsequent chapters detail the roles and responsibilities for the pilot/applicant, the hiring employer, and the current or former employer.
3.11.1 Initiation. The hiring employer initiates the process.
3.11.2 PRIA Records Request. Both the pilot/applicant and the hiring employer complete the PRIA records request forms.
3.11.3 Employer. The hiring employer sends the request forms to the:
• FAA,
• NDR, and
• Current and previous employers.
3.11.4 Response. Respondents answer the PRIA records requests.
3.11.5 Review. All pilots/applicants may review records submitted about them to the FAA, NDR, and current and previous employers.
3.11.6 Evaluation. The hiring employer reviews and evaluates the results.
3.11.7 Records Maintenance. The hiring employer maintains all PRIA-related records.
3.11.8 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.
3.12 The PRD Request Process. See Chapter 6 for instructions related to the use of the PRD.
Figure 3-1. 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.
These are PRIA records Contact information, now.
Driver's license, Received PRIA request (This has a 5 year record fingerprints, TSA 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 5 years and begins to retention requirement) accumulate company records.
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4-1 CHAPTER 4. PRIA PROCEDURES FOR FORMER EMPLOYERS
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 7.2.1) receiving a PRIA records request for records concerning a former employee (such as a 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 to Be Maintained 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.
Note 1: 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 2: The 5-year period required by PRIA supersedes other references to records maintenance time periods in Title 14 of the Code of Federal Regulations (14 CFR) part 121, 125, or 135.
4.3 Documents to Be Received from the Requestor.
4.3.1 Consent for the Release of Records. 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 or the pilot’s Pilot Records Database (PRD) consent page).
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, Airman Notice and Right to Receive Copy – Air Carrier and Other Records (PRIA), to designate whether or not they want a copy of their records. A pilot/applicant using the PRD may contact current/previous employers to request a copy of their records. If you receive a request without this form, consider it an incomplete request and return it for correction.
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4.4 What Must Be Provided 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.
4.5 Specific Records to Be Furnished. 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 the records described below.
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 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 Required Disciplinary Records. 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
4-3 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 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 of company dress code,
• 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
4-4 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 to Be Furnished by the 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 § 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 91 subpart K (part 91K) fractional ownerships, are not required to establish and 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, signed response to the records requestor stating so.
4.9 Records to Be Furnished by the 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 part 121, § 121.683(a), including:
• Proficiency and route checks.
• Airplane and route qualifications.
• Training.
• 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 include:
• Confirmed alcohol test results indicating an alcohol concentration of 0.04 or greater.
• Verified positive drug test results.
• Documentation of refusals to take required alcohol and/or drug tests (including substituted or adulterated test results).
• Documentation of other violations of Department of Transportation (DOT) agency drug and alcohol testing regulations.
• Substance Abuse Professional (SAP) reports.
• All followup test results and schedules for followup tests, including documentation of the return-to-duty test.
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• Information obtained from previous employers under 49 CFR § 40.25 concerning drug and/or alcohol violations.
• Records of negative and canceled drug test results, and confirmed alcohol test results with an alcohol concentration of less than 0.039.
4.10 Records to Be Furnished by the 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 part 125, § 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 to Be Furnished by the 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:
• Full name.
• Pilot certificate (by type and number) and ratings held.
• Aeronautical experience.
• Current duties and the date of assignment to those duties.
• 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.
• Check pilot authorization, if any.
• Release from employment for physical or professional disqualification that the employer did not subsequently overturn.
• 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:
• Confirmed alcohol test results indicating an alcohol concentration of 0.04 or greater.
• Verified positive drug test results.
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• Documentation of refusals to take required alcohol and/or drug tests (including substituted or adulterated test results).
• Documentation of other violations of DOT agency drug and alcohol testing regulations.
• SAP reports.
• All followup test results and schedules for followup tests, including documentation of the return-to-duty test.
• Information obtained from previous employers under 49 CFR § 40.25 concerning drug and/or alcohol violations.
• Records of negative and canceled drug test results, and confirmed alcohol test results with an alcohol concentration of less than 0.039.
4.12 Lost or Destroyed PRIA Records. If your PRIA-related records have been legitimately lost or destroyed (e.g., from a flood, hurricane, or fire), you must still respond to a PRIA records request.
4.12.1 Record Availability. First, verify whether any records are available, perhaps maintained at another location or by another service agent (e.g., a drug and alcohol testing agent).
Then, prepare a statement declaring that the requested records have been legitimately lost or destroyed, and are not available for forwarding per the request. The person preparing this statement should verify the loss by signature.
4.12.2 Deadline. Return this statement and any records you were able to recover to the requestor within 30 calendar-days from when you received the request to fulfill your responsibility.
Note: If providing a statement that your records have been lost or destroyed, you must ensure that this is actually the case. You cannot use this provision as an excuse to avoid providing the requested records.
5-1 CHAPTER 5. OPERATIONAL CONSIDERATIONS
5.1 PRIA Office Procedures and Compliance Checklist. While PRIA does not require you to establish and maintain a written office procedure for completing the PRIA records request process, we recommend that you establish one. You can obtain a generic office procedure and compliance checklist that you can customize from the PRIA website at http://www.faa.gov/pilots/lic_cert/pria/requesting.
5.2 Assign PRIA Duties to a Designated Agent (DA). You can hire a DA to conduct the task of requesting records under PRIA (see paragraph 3.2).
Note: A DA is referred to as a “Proxy” in the Pilot Records Database (PRD).
Proxies may not be able to access the PRD at this time.
5.2.1 DA. A DA cannot retain any of these records in their own system. They must forward to you any records they receive within the required period of time, using appropriate measures to ensure the privacy and security of those records.
5.2.2 DA Responsibilities. Unless your company PRIA representative signs all of the completed request forms, he or she must prepare and sign a designation letter that verifies the DA’s responsibility over the PRIA records request process. The DA must include this letter in its request for FAA records (FAA Form 8060-10, FAA Records Request (PRIA)). On 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, the contracting company must specifically name the DA as the recipient of the documents. Under 49 CFR §§ 40.321(b) and 40.351(d), the contracting company must name the DA as the recipient of the documents, and blanket releases are explicitly prohibited. A designation letter is not required for requests to a previous employer or to the National Driver Register (NDR). Designation letters are a specific requirement for requests to the FAA only.
5.2.3 Former Employer. If a former employer does not provide records after 30 calendar-days, the DA must immediately notify you. You are responsible for determining why the former employer did not comply with the PRIA records request and determining a satisfactory resolution, unless you designate this responsibility to the DA.
Note: A guidance document titled: “PRIA Instructions for the Designated Agent (DA)” is available on the PRIA website at http://www.faa.gov/pilots/lic_cert/pria/ requesting.
5.3 Resolve Noncompliances to Your PRIA Records Requests. If a pilot/applicant’s former employer fails to respond within 30 calendar-days of receiving your PRIA records request, you must take immediate followup action to determine why this noncompliance has occurred. If you used a DA to conduct your PRIA records requests, the DA will notify you of the noncompliance when the 30-day period ends. You are responsible for determining why the former employer did not comply with the PRIA records request and determining a satisfactory resolution, unless you designate this responsibility to the DA.
We suggest that you (or the DA):