AC 120-68H

U.

S. Department of Transportation Federal Aviation Administration Advisory Circular Subject: Pilot Records Improvement Act and the Pilot Records Database Date: 4/21/17 AC No: 120-68H 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 the employer 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 Federal Aviation Administration (FAA) Order 8000.88, PRIA Guidance for FAA Inspectors, and numerous other documents available on the PRIA website 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.

In order to comply with PRIA, the FAA offers a manual process to obtain a pilot’s records.

However, the FAA encourages each air carrier and operator to use the Pilot Records Database (PRD) application. Air carriers and operators will have direct, uninterrupted access to an individual’s FAA records and a pilot’s employment data in order to make a more informed hiring decision. The PRD application is offered by the FAA to ensure easier access to an individual’s information in a timely manner. The PRD will be deployed in multiple phases. An air carrier, operator, or pilot may access the PRD at http://prd.faa.gov/.

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 Where You Can Find This AC1-1

1.4 How to Use This AC1-1

1.5 Applicability1-1

1.6 Background1-3

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 Records2-3

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

2.4 Pilots Formerly Employed by Government Agencies2-5

2.5 Provide Previous Employers Information2-5

2.6 Additional PRIA Resources for Pilots2-5

Chapter 3. PRIA Procedures for Hiring Employers3-1

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 Process3-2

3.4 Process Responses3-3

3.5 Exceptions and Special Rules Regarding Certain Pilots3-4

3.6 Pilots Seeking Employment After Completing Military Duty3-6

3.7 Pilots Formerly Employed by a Government Agency3-6

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

3.11 Company Records Versus PRIA Records3-8

3.12 The PRD Request Process3-10

Chapter 4. PRIA Procedures for Former Employers4-1

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

4.2 Records to Be Maintained and How to Maintain Them4-1

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4.3 Documents to Be Received from the Requestor4-1

4.4 What Must Be Provided to the Pilot/Applicant4-2

4.5 Specific Records to Be Furnished4-2

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 to Be Furnished by the Part 91 Operator4-4

4.9 Records to Be Furnished by the Part 121 Air Carrier4-4

4.10 Records to Be Furnished by the Part 125 Air Operator4-5

4.11 Records to Be Furnished by the Part 135 Air Carrier4-5

4.12 Lost or Destroyed PRIA Records4-6

Chapter 5. Operational Considerations5-1

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 PRIA5-6

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

Chapter 6. Use Pilot Records Database To Comply With PRIA6-1

6.1 Purpose6-1

6.2 Individuals Eligible to Access the PRD6-1

6.3 Using the PRD6-1

6.4 FAA Records Contained in the PRD6-1

6.5 Information Entered by a Pilot into the PRD6-2

6.6 Air Carriers and Operators Accessing the PRD6-3

6.7 Review and Evaluation of Records in the PRD6-4

6.8 Questions6-7

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Chapter 7. Administrative Information7-1

7.1 Related Regulations7-1

7.2 Definitions7-1

7.3 Other PRIA Resources7-3

7.4 PRIA Contact Information7-3

7.5 AC Feedback Form7-3

Appendix A. PRIA Records Request Process FlowchartA-1

Appendix B. Overview and Use of FAA Form 8060-10B-1

Appendix C. Overview and Use of FAA Form 8060-10AC-1

Appendix D. Overview and Use of FAA Form 8060-11D-1

Appendix E. Overview and Use of FAA Form 8060-11AE-1

Appendix F. Overview and Use of FAA Form 8060-12F-1

Appendix G. Overview and Use of FAA Form 8060-13G-1

Appendix H. Additional Pilot RecordsH-1

Appendix I. Example PRD Output of Records ReportI-1

L ist of Figures

Figure 3-1. PRIA Records Request and Maintenance Process3-10

Figure 6-1. Pilot Records Database Process6-6

Figure A-1. PRIA Records Request Process FlowchartA-1

L ist of Tables

Table 1-1. Phases of the Pilot Records Database1-4

Table 2-1. Process of Protecting Your PRIA Records2-4

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). These laws are commonly referred to as the Pilot Records Improvement Act of 1996 (PRIA) and the Pilot Records Database (PRD). 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 1.5). The PRD automates the manual PRIA process and provides direct, uninterrupted access to Federal Aviation Administration (FAA) pilot records (e.g., failed practical tests) to a hiring air carrier or operator to make an informed hiring decision.

1.2 Cancellation. This AC cancels AC 120-68G, Pilot Records Improvement Act of 1996, dated June 21, 2016.

1.3 Where You Can Find This AC. You can find this AC on the FAA’s website at http://www.faa.gov/regulations_policies/advisory_circulars.

1.4 How to Use This AC. The FAA wrote this AC with three audiences in mind:

the pilot/applicant, the hiring employers that must request PRIA records, and the former employers that must respond to PRIA records requests. You do not have to read the entire document to find the information you need. However, everyone should read Chapter 1, General Information, to determine if PRIA affects them, and Chapter 7, Administrative Information, as it contains definitions, resources, and PRIA contact information.

The following bulleted list emphasizes the required chapters for each user:

• Pilots applying for a job with an air carrier or air operator that will have to request PRIA records should read Chapter 2, Information for the Pilot/Applicant;

• Hiring employers should read Chapter 3, PRIA Procedures for Hiring Employers, and Chapter 5, Operational Considerations;

• The employers responding to PRIA records requests should read Chapter 4, PRIA Procedures for Former Employers; and

• Employers and pilots utilizing the PRD to comply with PRIA should read Chapter 6, Use Pilot Records Database to Comply with PRIA, in addition to the other applicable chapters.

1.5 Applicability. See paragraph 3.11 for information that defines company records as opposed to PRIA records.

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1.5.1 Affected Party. PRIA specifically applies to the following:

1. Any U.S. air carrier operating under Title 14 of the Code of Federal Regulations (14 CFR) part 121 or 135, any U.S. air operator under 14 CFR part 125 or 135, and any fractional ownership operating under 14 CFR part 91 subpart K (part 91K) for the purpose of requesting records.

2. Any U.S. air carrier operating under part 121 or 135, any U.S. air operator operating under part 125 or 135, any fractional ownership operating under part 91K, 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.

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.

Note: If you are a single pilot operator, you are still subject to the provisions of PRIA. Conduct a records request in the PRD or complete the PRIA forms as both the air carrier representative and the pilot (as subject of the request). If completing the PRIA forms, enter the statement “SINGLE PILOT OPERATOR” in large letters to identify yourself as such in the margin of the request.

1.5.2 Does PRIA Apply to the Employer 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 7). 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. Are you an air carrier or operator conducting operations in accordance with part 91K, 121, 125, or 135?

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 (see Appendix I, Example PRD Output of Records Report).

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1.5.3 Applicability of PRIA for Pilots Employed or Utilized by the Air Carrier or Air Operator.

Before allowing any individual to begin service as a pilot, an air carrier or air operator must request and receive PRIA 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 utilizing the pilot.

1.5.4 PRIA Participation by Part 91 Operators. If you operate as a fractional ownership under part 91K (refer to part 91, § 91.1051), you are required to request and evaluate records in accordance with PRIA. If you are a § 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 comply with PRIA when hiring a pilot/applicant. However, all operators are encouraged to conduct a records request prior to hiring an individual as a pilot. 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.

1.6 Background.

1.6.1 PRIA Approval. On October 9, 1996, the President approved the Federal Aviation Reauthorization Act of 1996. 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 not been checked.1 PRIA was codified in 49 U.S.C. § 44703(h), (i), and (j).

1.6.2 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.

1.6.3 PRD. The Airline Safety and Federal Aviation Administration Extension Act of 2010 (“the Act”) amended PRIA by requiring the FAA to create the PRD containing certain pilot records. The PRD is required to contain pilot records that are maintained by the FAA, air carriers, and operators. Once the PRD is fully implemented, the Act requires the FAA to phase out PRIA. However, until the FAA has fully implemented the PRD, PRIA and the previous edition of AC 120-68 will remain in effect. Therefore, air carriers and other operators who employ pilots must continue to provide pilot records to an air carrier

1 U.S. Congress, House of Representatives Committee Report - House Rpt. 104-684, H. Rept. 3536, Airline Pilot Hiring and Safety Act of 1996, p. 6. 1996.

1-4 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 and releasing that pilot for line service.

Note 1: The records included in the PRD at this time include FAA records on any failed attempt of an individual to pass a practical test on or after August 1, 2010, that was required to obtain a certificate or type rating.

FAA records will also include records that are maintained concerning Airman Certificates with associated type rating and limitation, summaries of FAA legal enforcement action resulting in a finding of violation that was not overturned, as well as accident and incident information.

Note 2: All air carriers and operators must continue to generate and maintain pilot records as of August 1, 2005, through present.

1.6.3.1 Implementation of the PRD. The FAA is implementing the PRD in multiple phases. The phased approach was developed to provide air carriers and operators required to comply with PRIA immediate, uninterrupted access to FAA pilot records. The FAA records, such as pilot certification and failed practical tests, should be used by an air carrier or operator to make an informed hiring decision. Subsequent phases would apply additional aspects of the PRD until the requirements have been fully implemented through FAA rulemaking. The phased approach provides a combination of information technology (IT) with PRIA in the PRD for an easier transition for 14 CFR part 119 certificate holders and fractional ownerships required to comply with the evaluation of records prior to hiring a pilot.

Table 1-1. Phases of the Pilot Records Database

PHASE DESCRIPTION Phase I The FAA contracted an IT team to produce a proof of concept and conceptual resource documents consisting of a functional requirements document and a system design document. These conceptual documents were finalized January 29, 2016.

Phase II In December 2016, the PRD was made available to internal FAA employees eligible to access. The PRD provides users direct and uninterrupted access to FAA pilot records, such as failed practical test attempts. Phase II initiated the use of a pilot’s electronic consent to release FAA records to an air carrier or operator.

Phase III At the completion of Phase III, air carriers and operators required to comply with the PRIA guidance will begin to use the PRD exclusively for accessing a pilot’s FAA records. Additionally, PRIA Designated Agents (DA) will be permitted to access the PRD on behalf of an air carrier or operator as a proxy.

Phase IV Air carriers and operators employing pilots will be required to comply with the PRD reporting and accessing requirements that are defined by FAA rulemaking.

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1.6.4 PRIA Records Request. The FAA encourages each hiring air carrier and air operator 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).

1.6.4.1 Best Business Practices. The FAA encourages pilots, hiring air carriers and air operators, as well as past employers, to use the best business practices of requesting records from all available sources to ensure they are operating to the highest level of safety (see Appendix H, Additional Pilot Records).

1.6.5 Release Form. The FAA encourages 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 1.6.4.

1.6.6 Disclosure. The FAA encourages a pilot/applicant to disclose all pilot testing failures to any potential aviation employer.

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.

Note: If a hiring air carrier or operator chooses to utilize the Pilot Records Database (PRD), an individual seeking employment with that air carrier or operator must use the PRD to complete the records request. Please see Chapter 6, Use Pilot Records Database to Comply with PRIA, for accessing the PRD.

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. You need to complete and sign these forms to grant your consent to the request.

This is necessary for the FAA, your previous employer(s), and the National Driver Register (NDR) to release your records.

2.1.1.1 Medical Certificates. 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 Performance Records. 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 employer(s) were not aviation entities.

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2.1.1.2.1 Requests for Drug and Alcohol Test Results.

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. 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 Motor Vehicle Driving Records. The NDR will furnish your applicable motor vehicle driving records. Please visit the National Highway Traffic Safety Administration’s (NHTSA) website (http://www.nhtsa.gov/NCSA) for the latest information on how to request motor vehicle driving records.

2.1.2 Request Copies of Records.

2.1.2.1 PRIA Records from the FAA. AFS-620 will automatically send you an identical copy of the PRIA verification letter that it furnishes to the hiring employer. As a security measure, AFS-620 will send this report to your home address, as shown in the records maintained by the Airmen Certification Branch (AFS-760). Ensure that AFS-760 has your current home address by updating it online at http://registry.faa.gov or by calling toll-free at 866-878-2498. In addition, the hiring employer may, at its discretion, request a record of your Notices of Disapproval. For additional information, see paragraph 3.8.1.

2.1.2.2 PRIA Records from Previous Employers and the NDR. If desired, you can request copies of records that your previous employers maintained, including those from the NDR. If the hiring employer uses the recommended FAA forms to request records, then FAA Form 8060-11A, Airman Notice and Right to Receive Copy – Air Carrier and Other Records (PRIA), is the proper form to use when requesting copies of your pilot and drug and alcohol testing records from your previous employer(s). If you requested a copy of your current NDR records, the hiring employer should furnish them to you after receiving them from the NDR.

Note: By law, PRIA respondents are allowed to charge a reasonable fee in a “statement of payment” to recoup the cost of furnishing records to you.

2.1.3 Review Records and Submit Corrections. You may review the records received and, if necessary, submit a written statement to correct any inaccuracy or omission in your records. The hiring employer should include your statement in the PRIA-related records file that it compiles on you to represent your viewpoint concerning those records or

2-3 entries. It is recommended that you ensure that the hiring employer has a copy of any such corrections.

2.1.4 Sign Release of Liability. Hiring employers or former employers may require you to sign a release from liability for records other than the drug and alcohol testing records.

The release from liability can state that you will not make any claim against them for requesting or furnishing PRIA records, but would not apply if an employer furnishes information known to be false or maintained it in violation of a criminal statute.

Under 49 CFR part 40, § 40.27, an employer must not ask an employee to sign a consent, release, waiver of liability, or indemnification agreement with respect to any part of the drug or alcohol testing process.

2.2 Your Right to Receive Copies of Records. Within 20 calendar-days of receiving a PRIA records request, the FAA and your former employers are required to give you written notice of the request and notice of your right to receive copies of the records.

2.2.1 PRIA Records Request. If you requested a copy of your records, the respondents (FAA or former employer) can fulfill this requirement by providing the records to you within 20 calendar-days.

2.2.2 Notification. If the processing time will exceed the 20 calendar-days, the respondent must send you written notification (e.g., postcard or letter) to this effect. You must receive the records, however, no later than 30 calendar-days after they received your request.

2.2.3 PRD Records Request. See Chapter 6.

2.3 A Pilot’s Expectations and Protections Under PRIA. All professional pilots considered for employment by a hiring employer have certain protection concerning the request, transfer, receipt, evaluation, and maintenance of their records.

2.3.1 What You Should Expect. Aside from the protection specified in the PRIA statute, you should expect fair and timely treatment from the FAA, NDR, and past, present, and potential future employers concerning the process for the request, transfer, receipt, evaluation, and maintenance of the appropriate PRIA-related records.

2.3.2 PRIA Statutory Provisions. According to the PRIA statutory provisions, the hiring employer must provide you with the following:

1. Written notification that they will make a request for your PRIA-related records.

2. A consent form to sign for the release of those records.

3. An opportunity to request a copy of those records if so desired.

Note: Use of the FAA forms can fulfill the three requirements stated above.

4. An opportunity to submit a written comment or memorandum to a former or potential employer when you believe there are inaccuracies in your