The Pilot Records Improvement Act of 1996

1. The Pilot Records Improvement Actof 1996 An Introduction To PRIA and the PRIA Customer Service Website U.S. Air Carriers and Air Operators John Ryan, PRIA Program Manager, AFS-620 Prepared 8-10-11 (Document Version 1.5)

2. In The Beginning: • Between 1987 and 1994, errors made by professional pilots, whose backgrounds had not been checked prior to being hired, were identified as contributing factors in seven major crashes of various U.S. air carriers, that involved 111 fatalities.

3. The NTSB found: • That each pilot involved, had been hired despite a poor performance record, and/or prior safety violations. • In each case, the hiring air carrier had lacked access to, or had failed to obtain, the pilot’s flight qualifications and other safety related records from the FAA and any previous employer, before extending a firm offer of employment to the pilot-applicant.

4. As A Result: • The Pilot Records Improvement Act of 1996 (PRIA) was enacted by Congress on Oct 3, 1996, and became effective on Feb 6, 1997. • Title 49 U.S.C. Section 44703: (h) – Records Of Employment Of PilotApplicants (i) – Limitation On Liability; Preemption Of State Law (j) – Limitation On Statutory Construction

5. How Does PRIA Work? • PRIA requires that a hiring air carrier request, receive, and evaluate certain performance and safety related information before allowing the individual to begin service as the pilot of an airplane for that air carrier or air operator. • These records enable the hiring air carrier or air operator to make a more informed hiring decision before extending a firm offer of employment to the pilot-applicant.

6. What Records Are Included? • From the FAA: 1. Verification of the current medical certification, including date of issue, class, and any current limitations; 2. Verification of the current airman certification, including date of issue, category, class, type ratings, and any limitations; 3. Summaries of closed FAA enforcement actions within the previous 5-year period; 4. Any past or current certificate revocations.

7. What Records Are Included? • From the Previous Employer: 1. Records pertaining to the individual, found in – 49 U.S.C. Section 44703 (h) (1) (B) (i) 2. Records pertaining to the individual’s performance as a pilot, found in – 49 U.S.C. Section 44703 (h) (1) (B) (ii) (This includes disciplinary actions; however, these actions must be related directly to the individual’s performance as a pilot, and not other types of employment related actions)

8. What Records Are Included? • From the National Driver Register (NDR): 1. A clean report indicating no problems; 2. A report indicating a problem and the state(s) in which it occurred; (in these cases, an additional NDR request must be sent to the state(s) listed in the report) (Problems may include DUI convictions, suspensions, or revocations of the applicant’s drivers license)

9. Accident or Incident Records: • The FAA, through PRIA, does notfurnish records of this type since it may not have any bearing related to the individual’s airmanship and professional competence as a pilot. • The use of accident or incident information could result in an airman being unfairly denied an employment opportunity when he or she is otherwise perfectly qualified for the position. • An air carrier should not use this information in a manner that could unfairly compromise the applicant’s chance for employment as a pilot.

10. Where are PRIA records identified? • 49 U.S.C. Section (h) (1) (B) (i) identifies the pilot records to be furnished through a PRIA request: 1. 14 CFR Part 121.683 2. 14 CFR Part 121, Appendices ‘I’ and ‘J’ 3. 14 CFR Part 125.401 4. 14 CFR Part 135.63(a)(4) 5. 14 CFR Part 135.251(b) and 135.255(b) 6. 49 CFR Part 40.25 and 40.333

11. Who Is Affected By PRIA? • For the purpose of requestingrecords, any U.S. air carrier, air operator, or other ‘person’ who is hiring an individual as the pilot of an airplane for their company or operation. • For the purpose of furnishingrecords, any U.S. air carrier, air operator, or other ‘person’ who employed the individual as a pilot during the preceding 5-year period. • For the purpose of seeking employment, any individual who is applying for a position as a pilot with a U.S. air carrier, air operator, or ‘person.’

12. PRIA Applies If: • The company is an air carrier operating under 14 CFR parts 121 or 135; this also includessingle pilot operators; • The company is an air operatorunder 14 CFR part 125; • The definition of air transportation is being fulfilled: 1. When foreign air transportation is being provided; 2. When air transportation is being provided on an interstate basis; 3. When transportation of U.S. mail is being provided; 4.When common carriage orholding out is being utilized; 5. When U.S. mail is being transported either on an interstate or intrastate basis. Reference: 49 U.S.C. section 40102 (a) (5).

13. PRIA Does NotApply If: • Operations are conducted (1) on an intrastate basis only, and (2) mail is nottransported – even if passengers and cargo are carried, and even if the entity is utilizing common carriage, adheres to a schedule, and operates under an air carrier certificate. • In other words, the official definition of air transportation must be fulfilled before PRIA will apply. • SOME RESTRICTIONS MAY APPLY. Please review AC 120-68 chapter 6-2, paragraphs 6-2 a (5) and (6). Reference: 49 U.S.C. section 40102 (a) (25) and (27).

14. Examples of Other Exemptions From PRIA: • Flights or other operations not under 14 CFR parts 121, 125, or 135, including those operations expressly excluded from air carrier certification requirements under 14 CFR part 119.1(e). • Agricultural applications under 14 CFR Part 137. • External load operations under 14 CFR Part 133. • 14 CFR Part 91 Subparts F, and K operations.

15. 14 CFR Part 91 Considerations: • For the purpose of requestingrecords for new-hire pilots, Part 91 companies are exempt from the statutory requirements of PRIA and need not comply. • For the purpose of furnishing records if a PRIA related request is received by a Part 91 company, that company should furnish any records that they may have established concerning the pilot-applicant when applying to a part 121, 125, or 135 operation.

16. The Pilot Has Certain Rights: • The pilot-applicant must provide consent by signature, for the release of all PRIA-related records, and also be notified in writing that a request for those records will be made either by the air carrier or the third party agent. • The pilot-applicant may be provided with a copy of their Air Carrier records, if requested. A duplicate copy of FAA records are automatically provided to all pilot-applicants without charge. • All PRIA-related records must be (1): kept confidential to protect the pilot’s right to privacy; (2): must be used only for the hiring process; and (3): viewed only by the air carrier personnel that are involved in that companies hiring process.

17. The Principal Operations Inspector: • The air carrier cannot use 49 U.S.C. Section 44703 (h) (11) as an instrument to deny access of that companies PRIA-related pilot records to the FAA Inspector (POI). • However, once those records have been viewed by the FAA inspector, the POI then becomes subject to the same privacy conditions required of the air carrier, and must make every effort to protect the privacy of the pilot as well as the confidentiality of the records.

18. Every Pilot-Applicant: • May review and comment on their PRIA-related records file by written memo, either at the previous air carrier, the hiring air carrier, or both. • May submit a written comment or memorandum to the previous air carrier, the hiring air carrier, or both, representing the pilot’s point of view concerning any inaccuracies that appear in that pilot’s PRIA-related records file. • Must be given the opportunity to complete the review and correction process before the final employment decision, by the hiring air carrier, is made concerning that pilot-applicant.

19. Official PRIA Forms: • For FAA Records – use FAA Forms 8060-10 and 8060-10A, found on the PRIA Website; • For Previous Air Carrier Records – use FAA Forms 8060-11, 8060-11A, and 8060-12, found on the PRIA Website; • For National Driver Registry Records – use FAA Form 8060-13 found on the PRIA Website, or other form that is acceptable to that State’s Department of Motor Vehicles, usually found on their Website.

20. PRIA Website Resources: • FAA ORDER 8000.88 • FAA Advisory Circular 120-68, as amended • PRIA Process Overview • PRIA Office Procedures for the Air Carrier • PRIA Air Carrier Compliance Checklist • PRIA Instructions For The Designated Agent • And many other official PRIA Website tools

21. The FAA Inspector (POI) • The Air Carrier’s Principal Operations Inspector (POI) provides regulatory guidance as well as being the primary surveillance source for PRIA compliance. • The POI may also investigate an alleged violation and impose a sanction on the air carrier for violations of the PRIA statutes.

22. The PRIA Website: http://www.faa.gov/pilots/lic_cert/pria/ • The information contained on this Website is intended to assist our customers as they prepare, submit, and receive requests under the authority of PRIA, and to provide any needed guidance throughout the PRIA process to help the air carrier maintain compliance with the statutes.

23. If You Need Program Assistance Contact John Ryan, PRIA Program Manager, AFS-620 at 405-954-6367 or john.a.ryan@faa.gov

24. If You Need Customer Service Contact the PRIA Administrative Assistants: Vickie at 405-954-9700 or Diane at 405-954-1220

25. In Closing, Our Pledge To You Is: • “To enhance, within the scope of our regulatory mission, the safety of the air carrier community and the general public- by providing a high quality, dependable, and reliable product, along with a high level of personal service during the process of requesting and receiving your PRIA records.”