Instructions For The Designated Agent (DA) pria instructions For the Designated Agent



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PILOT RECORDS IMPROVEMENT ACT (PRIA)

PRIA Instructions For The Designated Agent (DA)

PRIA Instructions



For the
Designated Agent

Table of Contents


1. Introduction 3
2. Purpose 3
3. The PRIA Web Site 3
4. Background 3
5. General Tips 4
6. FAA Forms 8060-10 and 8060-10A 4
7. FAA Forms 8060-11 and 8060-11A 5
8. FAA Form 8060-12 6
9. FAA Form 8060-13 6
10. Basic Steps For The DA To Complete The PRIA Process 7
11. Response Time Of PRIA Requests 8
12. Non-Compliance Of PRIA Requests 8
13. Questions And Answers For The Designated Agent 8
14. Other Tools Available On-Line 9
15. Mailing Your Request(s) To The FAA 9
16. Customer Feedback 10
17. Sample Designation Letter 10

IMPORTANT NOTICE CONCERNING THIS REVISION: It has been determined that the abbreviation ‘TPA’ originally used for ‘Third Party Agent’ as related to PRIA, is in conflict with a previously established FAA term also with the abbreviation of ‘TPA.’ Therefore, the designation of ‘Third Party Agent’ (TPA) is discontinued and changed to ‘Designated Agent’ (DA) as related to PRIA. From this point forward, all such entities in the business of completing PRIA reports for their air carrier or air operator customers should now refer to themselves as ‘Designated Agents’ (DAs) as related to PRIA. All other PRIA documents are being changed to reflect this correction.

1. Introduction. These instructions have been developed specifically for you, the Designated Agent (DA), to assist in the processing of PRIA requests for your air carrier customers. When you have been contracted by an air carrier to complete their requests in accordance with PRIA, you must become the subject expert in the requirements set out in the statutes, even though the final responsibility rests with your air carrier customer.
2. Purpose. PRIA is a public law requiring background checks to be requested and received by air carriers operating under 14 CFR parts 121 or 135, and air operators under 14 CFR part 125, also referred to as the ‘hiring employer.’ The hiring employer itself may process the PRIA requests, or as an option, may designate a DA to process the requests for them.
3. The PRIA Web Site. The PRIA Web site contains much information as well as many useful tools needed for your request process, including specific instructions for the completion and use of all official PRIA forms. This information will provide you with invaluable assistance. You may visit us at: http://www.faa.gov/pilots/lic_cert/pria/
4. Background.
a. The most current version(s) of all PRIA request forms will be found on-line. These forms should be used instead of previous versions, or other forms that have been self-designed by industry. Self-designed versions of PRIA forms do not always guarantee that the regulatory intent of the statutes have been, or will be followed.
b. The PRIA forms have been carefully designed and will help to ensure a timely and accurate response for your requests in addition to regulatory compliance. PRIA forms are not to be used for Privacy Act, FOIA, mechanic, or other 14 CFR part 91 requests.
c. In addition to the PRIA Web site, all PRIA forms may be found and downloaded from: http://forms.faa.gov/ Enter the form number you are seeking in the top search box, and click on: “in form number.”
d. The air carrier certificate number MUST be included on all PRIA requests. As a DA hired to obtain pilot records from the FAA on behalf of your customer, you must ensure that EITHER the air carrier representative has signed in Part I of FAA Form 8060-10 OR include a letter of designation that authorizes you to request records on behalf of that hiring employer. If the air carrier representative has NOT signed the request form, a copy of this authorization must accompany EACH PRIA request. A sample designation letter is included in these instructions at paragraph 17 for your use.
VERY IMPORTANT: In order for the FAA to properly mail your report back to you, all Designated Agents must ensure that THEIR mailing address in shown in Part I of FAA Form 8060-10 INSTEAD of the address of the hiring employer. If you forward this form to FAA with the hiring employer’s address in Part I of FAA Form 8060-10, it will be mailed directly to them instead of to you as the designated agent. If this happens, you will not be receiving the report and will have no idea as to whether the report was processed or not.

5. General Tips. General tips for completing the PRIA request forms include the following:
a. Always type or print all information clearly. If you can’t read it, neither can we.
b. Your customer must have either an existing air carrier certificate number, or a pre-certification number obtained from the FAA which is entered on the request forms. Requests cannot be processed without an air carrier certificate number.
c. Do not use the words ‘Pending’ or ‘NA’ on any entry.
d. Ensure that all signatures and dates have been entered and are readable.
e. Include your phone and fax numbers, and email addresses on all requests.
f. A completed PRIA request consists of three sets of forms (FAA, previous employer, and NDR). All pilot/applicants must complete, sign, and date all forms, consenting to the release of their records, acknowledging that a request for their records will be made, and being provided with an opportunity to request a copy of the records if they so desire. The pilot/applicant(s) should then be furnished with a signed and legible copy of each form for their personal records. This is done by the hiring employer.
A PRIA records request cannot be considered complete until ALL forms have been returned from the respondents, have been assembled, returned to your customer, and are ready for evaluation by the hiring employer.
IMPORTANT: A designated agent is NOT authorized to establish and maintain their own system of records consisting of documents obtained as the result of PRIA requests. Designated agents are only authorized to request, receive, assemble, and then forward the records to their customer that contracted them for this purpose.
6. FAA Forms 8060-10 and 8060-10A.
a. FAA Forms 8060-10 and 8060-10A should be sent to the FAA in Oklahoma City, OK. IMPORTANT: A completed and signed copy of FAA Form 8060-10A serves as a written notification to the airman in accordance with 49 U.S.C. § 44703(h)(6). However, if the pilot/applicant receives initial notification of a records request from the hiring employer by being provided with a completed and signed copy of Form 8060-10A, further distribution of Form 8060-10A is not required. Only the 8060-10 needs to be forwarded to the FAA to request records. The hiring employer then maintains the original FAA Form 8060-10A in the pilot’s PRIA records file for future reference and inspection by the FAA. You do NOT need to receive a copy of FAA Form 8060-10A or to forward it on to the FAA.

b. Please note that ALL pilot/applicants, regardless of whether they have indicated a preference for the receipt of a copy, will be provided with a copy of their PRIA Pilot Profile Letter that is maintained by the FAA, and furnished, as requested, to the hiring employer. For security purposes, the report mailed by the FAA will be sent to the airman’s address as maintained in official FAA records at the Civil Aviation Registry.
c. The receipt of a PRIA Pilot Profile Letter by the applicant serves a dual purpose:
(1) The applicant has been provided with a confirmation of his/her ‘airman notice and right to receive a copy’ as specified in 49 U.S.C. § 44703(h)(6); and
(2) The applicant has received his/her copy of their records furnished by FAA.
d. From the FAA records request, you will receive an individual Pilot Profile Letter for each applicant that contains the following information from the previous 5 years:
(1) Medical certificate verification, including issue date, class, and any limitations.
(2) Airman certificate verification, including level, category, class, and type ratings.
(3) Summaries of closed FAA legal enforcement actions resulting in a finding by the Administrator of a violation that was not subsequently overturned.
(4) Reports of previous certificate revocation(s) which are reported for an indefinite period of time.
7. FAA Forms 8060-11 and 8060-11A.
a. FAA Forms 8060-11 and 8060-11A should be sent to all pilot/applicant’s previous employer(s) that used them as a pilot. IMPORTANT: Unlike the Form 8060-10A, use of Form 8060-11A is mandatory, and the hiring employer, as well as the applicant – if so indicated – could receive a statement from the respondent for the expense of being furnished with this information.
b. From the air carrier records request you should receive, from the previous 5 years:
(1) Records pertaining to the individual, including drug and alcohol, if applicable.
(2) Records pertaining to the individual’s professional performance as a pilot.
(3) Records pertaining to the individual’s employment history with that company.
(4) Disciplinary Records pertaining to the individual’s performance as a pilot.
c. 49 U.S.C. § 44703(h)(1)(B) contains the exact references for records to be furnished.
8. Form 8060-12.
a. Concerning the release of the appropriate drug and alcohol testing records, FAA Form 8060-12 is to be completed by the hiring employer, signed by the employee/applicant, and attached to FAA Forms 8060-11 and 8060-11A before the DA transmits them to the previous employer(s).
b. A list of the items to be furnished through this release is provided in Part I of FAA Form 8060-12. Any ‘NO’ response in Part II of FAA Form 8060-12 still requires the previous employer(s) to furnish a copy of the appropriate negative drug or alcohol testing results for that respective question. To further clarify, 49 U.S.C. § 44703(h)(1)(B) requires that ‘records’ be furnished when appropriately requested by a hiring employer. This includes records of positive as well as negative results of the applicant’s drug and/or alcohol testing records.
c. In addition to obtaining records from previous employers, the hiring employer (not the DA) must ask the employee/applicant about his/her drug and alcohol testing history under DOT-agency testing rules in order to satisfy 49 CFR part 40 section 40.25(j). Unlike the time period required under PRIA, the testing history obtained under section 40.25(j) would cover a period of only 2 years. The ‘employer-to-employee’ verbal questioning referred to in this section is unrelated to, and separate from, the ‘employer-to-employer’ questions found in Part II of FAA Form 8060-12.
d. PRIA drug and alcohol records are NOT subject to the document retention conditions found in 49 CFR part 40 section 40.333. ALL records under the purview of PRIA, including drug and alcohol testing records, are required by 49 U.S.C. § 44703(h)(4) to be maintained for at least a 5-year period.
e. Under 49 CFR section 40.163(c), an MRO cannot respond to an entity request ‘en masse’ and must instead, provide an individual report for each person tested. While 49 CFR section 40.163(d) permits the report to be conveyed in an electronic data file instead of a letter, there is no provision for reporting multiple results in the same electronic file.
9. Form 8060-13.
a. The DA will query the National Driver Registry (NDR) by using the following procedure:
(1) Refer to the instruction page attached to all FAA Forms 8060-13, in addition to those found on the PRIA web site before beginning the NDR request process.
(2) Contact your preferred State DMV to confirm, request, and receive the proper NDR request form, if FAA Form 8060-13 is not being accepted by that state. If that state has no preference, use FAA Form 8060-13.


(3) Notwithstanding paragraph 2 above, consider the following. Even though you can forward NDR requests to most States, we recommend that you utilize the State of Florida for the completion of your NDR requests. They require that all requests be on the original form with original signatures, forwarded by U.S. mail or a commercially expedited service only (such as UPS). Faxes are not authorized. Notarization is not required except for item IIIb if used. The use of a certified receipt request to verify the date-of-delivery is recommended. The cost for each application sent to the State of Florida is $3.10 per individual, and a check should be sent with each request.
(4) For regular or expedited mailing, use the following addresses:
Florida Dept of Highway Safety and Motor Vehicles

ATTN: Bureau of Records, Neil Kirkman Building

PO Box 5775

Tallahassee FL 32314
Or
2900 Apalachee Parkway

Tallahassee FL 32399
Phone: (850) 617-2606

b. You should expect to pay a small fee for the completion of any NDR request.
NOTE: FAA Form 8060-13 (10-05) REQUIRES the applicant to disclose their date-of-birth. Otherwise, many NDR bureaus will not even attempt to process the request and could return it with no action taken.
c. From the National Driver Registry request, you should receive:
(1) Status of the pilot’s current state driver’s license.
(2) Record of any suspension or revocation from the previous 5 years, if applicable.
(3) Driving under the influence of alcohol, if applicable.
d. Further NDR information is available at: www.nhtsa.dot.gov/people/perform/driver
10. BASIC STEPS FOR THE TPA TO COMPLETE THE PRIA PROCESS.


    1. Once received, verify that all incoming PRIA requests from your customers have

been completed correctly, including signatures.
b. Submit all PRIA requests to the FAA and previous employers via fax, US

Mail, or other commercial carrier in a timely manner. We suggest using a

certified return receipt to verify the date of receipt to the respondent. NDR

requests sent to the State of Florida require original signatures so they must be

mailed either by First Class U.S. Mail, or an expedited mail service.
c. Perform a follow-up procedure to confirm return receipt of the records from the

previous employer within 30 days after their receipt of your request.
d. Furnish your customer with the records without delay; or
e. Notify your customer of no-response from the previous employer.
11. RESPONSE TIME OF PRIA REQUESTS.
a. The FAA portion of your PRIA records request will be processed and returned by mail within 1 to 2 working days of receiving your request. Any request that requires a

corrective action or other specific clarification will be completed and returned as soon as possible after the request has been corrected or clarified, and then completed.


b. All previous employers and the NDR are required by law to furnish records that have been requested from them, not later than 30 days after receiving the request. A certified return receipt is an excellent way to document this requirement.
12. NON-COMPLIANCE OF PRIA REQUESTS.
In the event that a previous employer who has received a request under PRIA fails to respond by providing a copy of such records, the designated agent, after expiration of the 30-day processing period, must immediately notify their customer that contracted them to process the request. It then becomes the responsibility of the hiring employer to determine why their request has not been complied with, and determine a satisfactory resolution, UNLESS a prior arrangement between the employer and DA has designated the DA to complete this responsibility for them and the DA has agreed to do so.
13. QUESTIONS AND ANSWERS FOR THE DESIGNATED AGENT.
a. If a DA is processing records for a hiring employer, can that DA consider the request to be valid if only FAA Form 8060-11 was received?

NO. In order for the DA to respond to the PRIA request, a minimum of FAA Forms 8060-11 and 8060-11A must both be received from the requesting employer. FAA Form 8060-12 will usually be received also, but there are instances where it will be sent to an alternate address for completion. To review, if a PRIA request is received by the DA with only FAA Form 8060-11, it is to be considered an incomplete request and must be returned for correction. If FAA Forms 8060-11 and 11A are both received, they may be accepted and processed, under the assumption that FAA Form 8060-12 has been forwarded to another location by the air carrier for completion. In this instance, the responsibility for completion of the Form 8060-12 remains with the air carrier. The most ideal request, however, is when all three forms are received by the DA for completion.

b. Can any employer who has contracted with a DA to furnish records, assign to that DA the duty of providing copies of those records to the pilot/applicant?
YES. Generally speaking, the hiring employer will usually provide a copy of the records to the pilot/applicant. However, if the DA is willing to accept the duty of providing a copy of the requested records to the pilot/applicant, they may do so.
c. Who has the ultimate responsibility of ensuring that a copy of the requested records are provided to the pilot/applicant?
A hiring employer may assign to the DA the duty of providing a copy of the records to the pilot/applicant, but the ultimate responsibility for the fulfillment of this requirement will always remain with the hiring employer and not the DA.
14. OTHER PRIA TOOLS AVAILABLE ON-LINE.
a. ‘Introducing PRIA’ power point presentation.

  1. PRIA Process Overview.

  2. Pilot’s Expectations and Protections Under PRIA.

  3. Information Provided By PRIA, FOIA, and the Privacy Act.

  4. Public Law 49 USC § 44703 (h) (i) (j).

  5. Advisory Circular (AC) 120-68.

  6. PRIA Office Procedures For The Air Carrier and Compliance Checklist.

  7. Overview and Use of All PRIA Forms.

  8. PRIA Records After Cessation of Business, Liquidation, or Bankruptcy.


15. MAILING YOUR PRIA REQUEST(S) TO THE FAA.
a. Using REGULAR MAIL, send your completed FAA PRIA record requests to:
Federal Aviation Administration

Aviation Data Systems Branch, AFS-620 (PRIA)

PO Box 25082

Oklahoma City, OK 73125-0082



b. When using any commercial OVERNIGHT or EXPEDITED MAIL SERVICE, send your completed FAA PRIA record requests to the following street address:
Federal Aviation Administration

Aviation Data Systems Branch, AFS-620 (PRIA)

6500 South MacArthur Blvd, ARB Room 313

Oklahoma City, OK 73169
c. Your PRIA requests to FAA may be FAXED to: 405-954-4655, ATTN: PRIA.
d. For personal assistance, you may contact the PRIA Program Manager in Oklahoma City: John Ryan, 405-954-6367 or e-mail at: john.a.ryan@faa.gov

16. CUSTOMER FEEDBACK.
We would like to know if you were satisfied with the information that you have just received concerning these instructions. Your comments or suggestions that could help us improve our products or services are welcome at any time. Please contact John Ryan with your comments at the phone number or email address listed above.
17. SAMPLE DESIGNATION LETTER: (For designated agents)

(FLYAWAY INTERNATIONAL AIRLINES LOGO/ADDRESS)




DATE:

Federal Aviation Administration


AFS-620 (ATTN: PRIA)

PO Box 25082

Oklahoma City, OK 73125
TO WHOM IT MAY CONCERN:
Flyaway International Airlines has contracted with__________________________

to act as its Designated Agent (DA) to complete it’s requests for FAA pilot records in accordance with the Pilot Records Improvement Act (PRIA).
All of the information requested by Flyaway International Airlines should be forwarded within 30 days to_______________________________________(address).
Please feel free to contact me at_______________(phone),_______________(FAX), or_______________________________________(email), if you have any questions.
Sincerely,
James A. Herriot
James A. Herriot

Director of Human Resources

Flyaway International Airlines

________________________________________________________________________(AFS-620 PRIA 003) Version 3 / 9-16-2008 / JAR-PMK Page of


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