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1. Contact the nonresponsive previous employer to determine if it actually received the request and if it was the company that should have received the request, since many companies have similar names.
2. Check whether the correct fax number and/or address had been used.
3. Contact the pilot/applicant to verify that the information he or she provided concerning the previous employer was correct.
4. Determine the status of the former employer (e.g., whether it is still in business or has ceased operations, is in bankruptcy, or if its operating certificate is still current). If you cannot determine the company’s status, contact the PRIA program manager for assistance. If the former employer is out of business or in bankruptcy, follow the provisions of the good faith exception (see Chapter 3, PRIA Procedures for Hiring Employers). After completing the request, file the results in the pilot/applicant’s PRIA records file.
5. If the respondent is still operational and you have verified all items in paragraph 5.3, items 1 through 4, you can report the noncompliance to the PRIA program manager for limited assistance. Contact the Aviation Data Systems Branch (AFS-620) at 405-954-6367.
5.4 Actions to Take if a Former Employer Reports Lost or Destroyed PRIA Records.
When PRIA-related records have been legitimately lost or destroyed, follow the intent of the good faith exception as described in paragraph 3.5.2. Sometimes a previous employer is unable to comply with a PRIA records request because the records no longer exist
(e.g., from a flood, hurricane, or fire).
5.4.1 Respondent Statement. You should receive a statement from the respondent declaring that the requested records have been legitimately lost or destroyed and are not available for the former employer to forward per the request. This former employer should send the statement within 30 calendar-days of receiving your request.
5.4.2 Good Faith Exception. You may then follow the intent of the good faith exception.
After receiving this notification and fulfilling all of your other PRIA responsibilities, you are free to either hire or decline to hire the pilot.
5.4.3 Filing. File the respondent’s statement in the pilot/applicant’s PRIA-related records file for future reference and inspection by the FAA.
5.5 PRIA Obligations for Pilot Furloughs and Leaves of Absence.
5.5.1 Initial Check. PRIA only requires you to complete an initial records check for a new-hire pilot. If a pilot returns to work after a furlough or extended period of personal leave, military leave, medical leave, or other authorized absence, PRIA does not require or provide authority for you to perform any type of recurrent background check on that pilot. For the purposes of 49 CFR § 40.25, whether you must request additional drug and alcohol testing records for a pilot returning to work from a furlough or other extended leave of absence depends on your understanding of that absence.
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5.5.1.1 Terminated Pilots. If the pilot was terminated, you should consider the returning individual as a newly hired employee and initiate a completely new PRIA records request. Request drug and alcohol records in accordance with 49 CFR § 40.25 using FAA Form 8060-12.
5.5.1.2 Furloughed Pilots. If the pilot was furloughed or on an extended leave, consider the pilot as in a “non-paid” status or not a newly hired employee.
In this case, requesting drug and alcohol testing records would be at your discretion. Because PRIA (and the use of FAA Form 8060-12) is only for initial requests for newly hired employees, a PRIA records request for drug and alcohol testing records would be inappropriate.
5.5.2 Certificates. If your company policy requires a confirmation that the pilot still holds a current medical and Airman Certificate, do not submit a PRIA records request to AFS-620; you should instead send a request to AFS-620 under the authority of the Privacy Act of 1974 (“the Privacy Act”) or the Freedom of Information Act (FOIA) to determine the status of those certificates. Instructions on preparing and submitting an FOIA or Privacy Act request are available on the PRIA website at http://www.faa.gov/pilots/lic_cert/pria/guidance.
Note: Keep in mind the distinction between return to duty from furlough or extended leave, and return to duty as stated in part 120.
5.6 PRIA Management by a Major Holding Company. PRIA gives the certificate holder the primary responsibility for completing PRIA records requests. A major holding company is not authorized to complete PRIA records requests. However, at your discretion, you can request that your holding company act as your DA to complete all PRIA paperwork and maintain all original PRIA records at the holding company’s location.
5.6.1 Holding Company. As your DA, the holding company can maintain any or all of the following PRIA records in its human resources office:
• All company personnel records.
• Original PRIA reports.
• Other appropriate employment records.
5.6.2 Records. You can maintain any or all of the following PRIA records at your office:
• Training and other required records.
• Copies of PRIA reports.
Note: If you, not your holding company, complete your PRIA records requests, maintain all of the original records at your location and provide copies to your holding company.
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5.6.3 Transfer. If a pilot transfers to your company from another air carrier or air operator, and you are both owned by the same major holding company but you are each assigned a different and unique certificate number, you must conduct a PRIA records request before that pilot transfers. If the pilot has worked for other employers during the previous 5-year period as well, you must also contact those former employers for PRIA records.
Note: Paragraph 5.6.3 may also apply to an employer that is not, in and of itself, an air carrier, but serves as a company that provides contract pilot services to other air carriers, including foreign entities. The process of providing the services of contract pilots may differ slightly from that of a major holding company, but as long as the primary employer or the holding company has accomplished all PRIA background checks and the records have been maintained, the intent of the PRIA statutes will have been satisfied.
5.6.4 Checks. PRIA checks for bought or merged companies.
5.6.4.1 Changes in Air Carriers. As one air carrier acquires another, the new company is accepting responsibility for the pilots of the air carrier being acquired, and should exercise prudent judgment to ensure that either a current PRIA records request has been completed, or that new PRIA records requests are submitted for the new pilots.
5.6.4.2 Changes of Carriers by Sale or Merger. More specifically, if one air carrier acquires another by sale or merger, the acquired company remains intact with no change in the air carrier certificate number, and the pilots continue to work for the acquiring air carrier, the current PRIA file should be sufficient. The acquiring air carrier, however, must inspect company records to verify that all pilots have current PRIA checks.
5.6.4.3 Air Carrier Certificate Number Changes. If, however, in the process of the sale or merger, the air carrier certificate number changes, the acquiring company must complete new PRIA checks. A pilot cannot transfer their current PRIA file from one air carrier to another (i.e., you cannot take it with you). In addition, a PRIA file will lose its validity if the chain of custody of the records, between one air carrier and another, is broken.
5.6.5 Foreign Testing. Foreign air carriers do not conduct drug and alcohol testing under the FAA’s regulations. Therefore, they will not have the drug and alcohol testing records normally required by PRIA and 49 CFR § 40.25.
5.7 Use of Foreign Pilots.
5.7.1 PRIA Check. If you want to hire a pilot/applicant who has worked as a pilot for a foreign air carrier, you should request that individual’s PRIA records from the foreign carrier. In some cases, the foreign pilot may not have a U.S. driver’s license, so make a note of that in his or her file. If the foreign pilot does hold a U.S. driver’s license, you must query the NDR. Use of foreign pilots may vary from permanent employees to seasonal work in
5-5 which the foreign pilots return to their own country during the off-season. This could also include U.S. pilots who previously worked for a foreign air carrier(s).
5.7.2 Certificates. To participate in any U.S. commercial operation, a foreign pilot must hold both U.S. medical and Airman Certificates. Send your PRIA records request to AFS-620, and it will verify those certificates.
5.7.3 Foreign Employer. Notwithstanding paragraph 5.7.1, you should also query the foreign employer according to the best practices found in paragraph 1.6.4.1. Forward the request either certified, return receipt requested, or other similar instrument that will document the date of delivery. If the foreign employer never returns the records or if it refuses to acknowledge or comply with the request, you may follow the provisions of the good faith exception (see paragraph 3.5.2) and then either hire or decline to hire the foreign pilot.
5.8 Pilots Formerly Employed by a Government Agency. If the pilot/applicant previously worked for a government agency (Federal, state, or local), you must query that agency for PRIA records even though it is not a standardized PRIA records request (company-to-company). However, do not use FAA Form 8060-11, Air Carrier and Other Records Request (PRIA); and FAA Form 8060-11A, Airman Notice and Right to Receive Copy – Air Carrier and Other Records (PRIA), because 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.
5.8.1 Foreign Agency. Forward the letter of request to the most recent flight operations manager of the appropriate agency, region, and/or office that employed the pilot/applicant. Obtain the address of the agency that employed the pilot/applicant, since there is no central office for the processing of these requests. If these records have already been retired and subsequently sent to a records-holding area, personnel, or a human resources department, the government agency should forward the request accordingly.
5.8.2 Background Information. In the letter, ask for records that would provide any appropriate background information concerning the pilot’s flight training, experience and qualifications, proficiency, other related safety history, and drug and alcohol testing records, and any subsequent actions taken as a result of those tests.
5.8.3 Release. Have the pilot/applicant provide a brief statement and a signature consenting to the release of this information, either contained within the letter of request or as a separate attachment to the letter.
5.8.4 Testing. Government agencies do not conduct drug and alcohol testing under the FAA’s regulations. Therefore, they will not have the drug and alcohol testing records normally required by PRIA and 49 CFR § 40.25.
5.8.5 Forms. You must also request records from the FAA and NDR using FAA Forms 8060-10 and 8060-13, National Driver Register Records Request (PRIA), in the usual manner.
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5.9 Failure to Pay for Records Requested Through PRIA. A pilot/applicant’s former employer can bill you for the cost of processing the PRIA records request and furnishing copies of the records. However, that employer must still furnish PRIA records to you no later than 30 calendar-days after receiving the request; it cannot withhold the records pending your payment. Any dispute between you and that company regarding payment for the PRIA records would have to take place in civil court if you are unable to resolve the issue yourselves.
5.10 Access of PRIA-Related Records to FAA Inspectors.
5.10.1 Employer. A hiring air carrier or air operator cannot use 49 U.S.C. § 44703(h)(11) to deny an FAA inspector access to PRIA-related records for audit or surveillance.
5.10.2 U.S. Code. Part 119, § 119.59 and § 135.73, as well as 49 U.S.C. § 41709, clearly indicate that the FAA inspector assigned to that company is authorized to see those records. As a result, the inspector must always have free and unlimited access to a company’s PRIA-related records at any time during the course of that inspector’s normal surveillance or inspection duties.
5.10.3 Record Denial. Refusal to provide access to PRIA-related records when requested by the FAA for their review or inspection could result in the suspension of all or any part of the certificate holder’s operating certificate or operations specifications (OpSpecs) in accordance with § 119.59(e).
5.10.4 Privacy. Each FAA inspector, however, having viewed such records, also becomes subject to the privacy protection conditions as outlined in 49 U.S.C. § 44703(h)(11).
Therefore, the FAA inspector must make every effort to protect the privacy of the pilot and the confidentiality of the PRIA-related records of that pilot.
6-1 CHAPTER 6. USE PILOT RECORDS DATABASE TO COMPLY WITH PRIA
6.1 Purpose. The Pilot Records Database (PRD) automates the manual PRIA process and provides direct, uninterrupted access to FAA pilot records (such as failed practical tests that occurred on or after August 1, 2010) to a hiring air carrier or operator to make an informed hiring decision. An air carrier or operator required to comply with all of the PRIA requirements may elect to use the PRD in lieu of completing the manual process.
However, if an air carrier or operator elects to utilize the PRD, the guidance in this AC, and specifically this chapter, must be used to comply with the PRD’s operating requirements. The PRD can be accessed at http://prd.faa.gov/.
6.2 Individuals Eligible to Access the PRD. The following individuals are eligible to access the PRD, upon receiving appropriate approval:
ELIGIBLE INDIVIDUALS DESCRIPTIONS Responsible Person An individual serving in a required management position listed under § 119.65(a) or other prescribed operating rule part. These positions may include the following positions: Director of Safety (DOS), Director of Operations (DO), Chief Pilot, Director of Maintenance (DOM), or Chief Inspector.
Authorized User An individual that is employed by the air carrier or operator that has been assigned access rights to the PRD on behalf of his/her employer by the responsible person.
Proxy An organization or individual that is not directly employed by an air carrier or an operator that has been assigned access rights to the PRD on behalf of an air carrier or operator by the responsible person.
Pilot An individual certificated by the FAA at the commercial or airline transport pilot level that is the subject of a record in the PRD.
6.3 Using the PRD. An air carrier or operator may elect to use the PRD to comply with PRIA. A pilot must use the PRD if an air carrier or operator seeking to hire the individual utilizes the PRD to comply with PRIA. A user should follow the onscreen prompts and user guide to use the application, in correlation with the guidance in this AC.
6.4 FAA Records Contained in the PRD. The FAA includes certain certification records and enforcement records in the PRD. Additionally, the PRD incorporates accident and incident information. Any records maintained by the FAA that are not included in the PRD may be accessed and evaluated, with the consent of the subject, through a Privacy Act of 1974 (“the Privacy Act”) request.
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6.4.1 Airmen Certification. Airmen certification information maintained by the FAA should be used to validate a pilot’s qualifications to be hired by an air carrier or operator. The FAA will provide an individual’s current Airman Certificates, associated ratings, and any limitations to the certificate or ratings in the PRD. The date and certificate grade sought for any failed attempt to pass a practical test required to obtain a certificate or type rating under part 61 (since August 2010) is included in the airmen certification information.
The PRD also contains a pilot’s current medical certificate, including its class and any limitations.
Note: The PRD will not contain any medical data history (e.g., responses to medical history questions on the medical application).
6.4.2 Accident and Incident Information. Summaries of accidents and incidents existing on or after August 1, 2010, are included in the PRD in order to provide a hiring air carrier or operator the opportunity to review any negative data or helpful information that displays a pilot’s decisionmaking skills. The FAA provides data elements for accidents and a redirect link that will enable an air carrier or operator to search the National Transportation Safety Board’s (NTSB) accident database using the FAA data elements for a final report. The FAA also provides data on incidents that will facilitate an air carrier or operator’s evaluation of a pilot’s documented actions.
6.4.3 Enforcement Information. The PRD includes summaries of legal enforcement actions resulting in a finding by the Administrator of a violation of 49 U.S.C. or a regulation prescribed or order issued under 49 U.S.C. that was not subsequently overturned.
These records are limited to enforcement action resulting in a suspension, revocation, or civil penalty.
6.5 Information Entered by a Pilot into the PRD. A pilot seeking employment with an air carrier or operator required to comply with PRIA must include current and previous employer(s) information that the individual held a pilot position with. Additionally, the pilot should request his or her driving records from the National Driver Register (NDR) through the state in which the individual resides. After all pilot information included by the FAA and individual has been reviewed, the pilot must provide consent for specific air carriers or operators to view the PRD record.
6.5.1 Current and Previous Employers. A pilot must enter his or her current and/or previous employer(s) name and contact information that the individual held a pilot position with during the previous 5 years. The FAA encourages the pilot to include more than 5 years of employment, if applicable, as all air carriers and operators will be required to report pilot records documented as of August 1, 2005, through present, once the PRD has been fully implemented. In order to assist the pilot in completing this section, the PRD includes an “auto-complete” function that will permit partial entry of an FAA-certificated air carrier or operator that will autofill the required sections once the employer name is recognized by the PRD and selected by the pilot. If the “auto-complete” function does not operate properly or the operator is not listed in the FAA’s existing database, the pilot must provide the required fields in the PRD.
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6.5.2 NDR Search Date. A pilot should request his or her NDR records through the state in which the individual resides to provide to the air carrier or operator that the individual is seeking employment with. A link to each state driving authority is provided in the PRD.
The date that the pilot requests his or her driving record should be entered into the appropriate section of the PRD and provided to the air carrier or operator upon request.
Note: If a pilot does not enter a date in the NDR search field, the air carrier must request the individual’s NDR records through any state prior to making a hiring determination.
6.5.3 Pilot Consent. After all of the pilot’s information in the PRD has been reviewed and entered, the pilot must provide consent for specific air carriers or operators to view the PRD record for a selected period of time. The pilot must provide consent for the air carrier or operator to view all records in the PRD. Individual records cannot be omitted from the consent by the pilot.
6.6 Air Carriers and Operators Accessing the PRD. The FAA controls accessibility to the PRD by managing user access to the database and the activity within the PRD. The established rules of behavior ensure the highest practicable degree of protection of privacy and confidentiality of the information contained in the database while facilitating permissible actions by approved users. If an air carrier or operator does not accept the rules of behavior prior to accessing the PRD, access will not be granted. The following individuals are eligible to request access to the PRD by following the procedures in the PRD user guide.
Note: A PRD record may only be used to make a hiring determination.
6.6.1 Responsible Person. A responsible person is an individual serving in a required management position listed under § 119.65(a) or other applicable regulations.
These positions may include the following positions: Director of Safety (DOS), Director of Operations (DO), Chief Pilot, Director of Maintenance (DOM), or Chief Inspector. The following rules will apply:
1. Air carriers/operators are accountable for the responsible person.
2. Only one responsible person can be listed in the PRD at any given time.
Therefore, the air carrier or operator is responsible to choose which required management position is going to apply to the PRD and monitor all activity by the air carrier or operator in the PRD.
3. The air carrier/operator and responsible person are jointly responsible for accessing and monitoring all activity by the air carrier or operator in the PRD, subject to the limitations of use.
4. The responsible person may delegate PRD access to an authorized user with some or all access to the PRD.
5. If a responsible person changes, the FAA must be notified within 30 calendar-days of the change in position.
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6.6.2 Authorized User. An authorized user is an individual that is employed by the air carrier or operator that has been assigned access rights to the PRD on behalf of his or her employer by the responsible person. The following rules apply:
1. Only company personnel directly involved in the hiring process may view and evaluate an individual’s records in the PRD.
2. The responsible person can prescribe additional requirements for the authorized user prior to granting access to the authorized user.
6.6.3 Proxy. A proxy is an organization or individual that is not directly employed by an air carrier or operator but has been assigned access rights to the PRD on behalf of an air carrier or operator by the responsible person.
1. A proxy is referred to as a Designated Agent (DA) under PRIA.
2. Proxies may not be permitted to access the PRD at the present time.
6.7 Review and Evaluation of Records in the PRD. The review and evaluation of PRD records can be tailored to an individual air carrier or operator’s needs as long as an individual’s records are reviewed in the PRD prior to making a hiring decision. Only the personnel directly involved in the hiring decision is permitted to view an individual’s PRD records. The records in the PRD may be used to assess the qualifications of a pilot/applicant in determining whether to hire the individual as a pilot. Company personnel must take appropriate action to protect the privacy of the pilot and the confidentiality of the records, as well as ensure that the information contained in the database is not divulged to anyone not directly involved in the hiring decision, with the exception of an FAA inspector. The core activities and subprocesses in the PRD process depicted in Figure 6-1, Pilot Records Database Process, include the following:
1. The pilot logs into the PRD system to view his or her PRD record and enter information for an air carrier or operator to obtain additional records from current and/or previous employer(s).
2. The PRD application assembles and displays the pilot’s PRD record with a date and time stamp.
3. The PRD application permits the pilot to provide consent to release the pilot’s PRD record to one or more air carriers or operators.
4. The PRD application stores the pilot’s consent and the PRD record.
5. The PRD application receives an air carrier request for a PRD record.
6. The PRD system determines if the pilot has granted consent to the air carrier to retrieve the PRD record and the consent has not expired. If the consent has expired, the PRD system returns a notification to the air carrier the pilot’s records are unavailable. The PRD system also notifies the pilot that the air carrier has unsuccessfully attempted to access the pilot’s PRD record.
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7. The PRD system retrieves and presents the pilot’s current PRD record to the air carrier or operator in an appropriate format, such as a screen display.
An image of this record is stored as a “snapshot” in the PRD; the air carrier may save or print the snapshot. The PRD system also notifies the pilot that the air carrier has received a copy of the pilot’s PRD record.
8. The air carrier or operator must contact the pilot’s current and/or previous employer(s) listed in the PRD report in order to obtain the individual’s prior records. The requesting air carrier or operator should provide the PRD pilot consent pages with the employers listed on each page to the current and/or previous employers for response to the records request. These records must be reviewed before entering the pilot into service. If a date has been omitted in the NDR search field, the air carrier or operator is responsible in obtaining the pilot’s driving record prior to entering the individual into service.
Note: The FAA will conduct random audits of the application and its usage by air carriers and operators to ensure the PRD is being utilized appropriately. An air carrier or air operator cannot deny an FAA inspector access to PRD-related records for audit or surveillance in accordance with 49 U.S.C. § 41709.
Each FAA inspector, however, having viewed such records, also becomes subject to the privacy protection conditions as outlined in 49 U.S.C. § 44703(h)(11).
Therefore, the FAA inspector must make every effort to protect the privacy of the pilot and the confidentiality of the PRD-related records of that pilot.
Figure 6-1. Pilot Records Database Process Applicant • 1. View record 3. Provide 5. Apply as consent Pilot/Co-pilot Air Carrier 6. Request - Records, Notice records Records delivered Notice of attempt to access Records Notice of no active consent
2. Get Data 4. Store consent 7. Process on record & records Request PRD Process Dated pilot Consent expires dated record Consent & Consent?
record Consent Assembled record PRD Yes Dated 09. Provide Various pilot records Databases record
6.7.1 Allow Pilots/Applicants an Opportunity to Respond. Before making a final hiring decision, the air carrier or operator should permit the pilot/applicant with a reasonable opportunity to respond to the records contained in the database on the individual. This should be completed during the company's interview process in order to fully evaluate the individual for a pilot position.
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6.8 Questions. An air carrier, operator, or pilot should consult the PRD user guide for any questions related to the PRD. If you have a question related to the policy of the PRD’s usage, please submit an email to the PRD administrator at 9-amc-avs-prdsupport@faa.gov.