[Federal Register Volume 85, Number 61 (Monday, March 30, 2020)]
[Proposed Rules]
[Pages 17660-17720]
[FR Doc No: 2020-04751]

Vol. 85

Monday,

No. 61

March 30, 2020

Part III

Department of Transportation

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Federal Aviation Administration

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14 CFR Parts 91, 111, et al.

Pilot Records Database; Proposed Rule

Federal Register / Vol. 85, No. 61 / Monday, March 30, 2020 /
Proposed Rules

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DEPARTMENT OF TRANSPORTATION

Federal Aviation Administration

14 CFR Parts 91, 111, 121, 125, and 135

[Docket No.: FAA-2020-0246; Notice No. 20-05]
RIN 2120-AK31

Pilot Records Database

AGENCY: Federal Aviation Administration (FAA), DOT.

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: The FAA is proposing to require the use of an electronic Pilot
Records Database (PRD) and implement statutory requirements. The PRD
would be used to facilitate the sharing of pilot records among air
carriers and other operators in an electronic data system managed by
the FAA. Air carriers, specific operators holding out to the public,
entities conducting public aircraft operations, air tour operators,
fractional ownerships, and corporate flight departments would be
required to enter relevant data on individuals employed as pilots into
the PRD, and this would be available electronically to those entities.
In addition, this proposal identifies all air carriers, fractional
ownerships, and some other operators or entities that would be required
to access the PRD and evaluate the available data for each pilot
candidate prior to making a hiring decision.

DATES: Send comments on or before June 29, 2020.

ADDRESSES: Send comments identified by docket number [FAA-2020-0246]
using any of the following methods:
     Federal eRulemaking Portal: Go to http://www.regulations.gov and follow the online instructions for sending your
comments electronically.
     Mail: Send comments to Docket Operations, M-30; U.S.
Department of Transportation (DOT), 1200 New Jersey Avenue SE, Room
W12-140, West Building Ground Floor, Washington, DC 20590-0001.
     Hand Delivery or Courier: Take comments to Docket
Operations in Room W12-140 of the West Building Ground Floor at 1200
New Jersey Avenue SE, Washington, DC, between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays.
     Fax: Fax comments to Docket Operations at<PHONE_NUMBER>.
    Privacy: In accordance with 5 U.S.C. 553(c), DOT solicits comments
from the public to better inform its rulemaking process. DOT posts
these comments, without edit, including any personal information the
commenter provides, to www.regulations.gov, as described in the system
of records notice (DOT/ALL-14 FDMS), which can be reviewed at
www.transportation.gov/privacy.
    Docket: Background documents or comments received may be read at
http://www.regulations.gov at any time. Follow the online instructions
for accessing the docket or go to the Docket Operations in Room W12-140
of the West Building Ground Floor at 1200 New Jersey Avenue SE,
Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays.

FOR FURTHER INFORMATION CONTACT: For technical questions concerning
this action, contact Christopher Morris, 3500 S MacArthur Blvd.,
ARB301, Oklahoma City, Oklahoma 73179; telephone<PHONE_NUMBER>; email
<EMAIL_ADDRESS>
Table of Contents

I. Overview of the Proposal
    A. Summary of Current PRIA Guidance, Public Law 111-216 Section
203 (49 U.S.C. 44703(i)), and Proposed Requirements for the PRD
    B. Summary of the Costs and Benefits of This Proposed Rule
II. Background
    A. Statement of the Problem
    1. Response to NTSB Recommendations
    2. Congressional Action
    1. Current Elements of PRIA
    a. Pilot Employment Background
    b. Pilot Rights and Protection in Accordance With PRIA
    c. Exceptions to PRIA
    d. FAA Guidance for Compliance With PRIA
    2. History of the Pilot Records Database
    a. Pilot Records Database Aviation Rulemaking Committee
    b. Electronic Database Development
    c. Related Actions to the Pilot Records Database
III. Discussion of the Proposal
    A. Persons Affected by the Proposal (Sec.  111.1)
    1. Air Carriers and Operators That Must Evaluate Records
(Sec. Sec.  111.100, 111.105)
    2. Operators Employing Pilots That Must Enter Data (Sec. Sec.
111.200, 111.205)
    3. Overview of Affected Entities (Sec. Sec.  111.200, 111.205,
111.270)
    a. Part 121 Air Carriers
    b. Part 135 Air Carriers and Operators
    c. Part 125 Operators
    d. Part 91, Subpart K Fractional Ownership Programs
    e. Section 91.147 Air Tour Operators
    f. Corporate Flight Departments
    g. Public Aircraft Operations
    h. Trustees in Bankruptcy
    4. Entities That Will Not Be Required to Report Information
    5. Other Sources of Pilot Records
    a. Training Providers
    b. Institutions of Higher Education
    B. FAA Records To Be Reported to the Pilot Records Database
(Sec.  111.140)
    1. Comprehensive Airmen Information System
    2. Enforcement Information System
    a. Summaries of Legal Enforcement Actions
    b. Expunction of Legal Enforcement Actions and Airman Records
    c. Pilot Records Database Aviation Rulemaking Committee's
Position on the FAA's Expunction Policy
    3. Accident/Incident Data System
    4. Drug and Alcohol Records To Be Entered by the FAA
    a. Pre-Employment Testing Records
    C. Reporting Requirements of Historical Records Maintained by
Air Carriers and Operators Employing Pilots (Sec. Sec.  111.210,
111.250, 111.265, 111.420)
    1. Data Required for Submission of Historical Records to the
Pilot Records Database
    2. Reporting Method Option 1: Data Transfer Using an Automated
Utility
    3. Reporting Method Option 2: Manual Data Entry
    4. Alternative Solutions Considered
    5. Public Input on Historical Records
    D. Reporting Requirements: Present and Future Records
(Sec. Sec.  111.210, 111.250)
    1. Data Pertaining to the Individual's Performance as a Pilot
    a. Pilot Training, Qualification, and Proficiency Records (Sec.
111.220)
    i. Part 121 Air Carrier Training Records
    ii. Part 125 Operator Training Records
    iii. Part 135 Air Carrier and Operator Training Records
    iv. Part 91 Subpart K Fractional Ownership Training Program
Records
    v. Pilot Training Records Documented by Commercial Air Tour
Operators, Corporate Flight Departments, and Entities Conducting
Public Aircraft Operations
    2. Drug and Alcohol Testing Records (Sec.  111.215)
    3. Disciplinary Action Records (Sec. Sec.  111.225, 111.255,
111.260)
    a. Definition of Disciplinary Action Record
    b. Timeframes for Entry and Correction of Overturned Records
    4. Proposal for Reporting Records Concerning Separation From
Employment (Sec.  111.230)
    a. Information to Enter Into the Database
    b. Final Date of Employment
    c. Reinstatement of Employment
    d. Types of Separation
    i. Separation From Employment That Was Not Due to Pilot
Performance and Was Initiated by an Air Carrier or Operator
    ii. Air Carrier/Operator-Initiated Separation Related to Pilot
Performance
    iii. Pilot-Initiated Separation Unrelated to Pilot Performance
    5. State Driving Records and the National Driver Register (Sec.
111.110)
    a. Background on the National Driver Register
    b. Current Process for Air Carrier National Driver Register
Requests Under the PRD Act
    c. Proposal for Evaluation of Driving Records (Sec.  111.240)
    E. Exclusion of Voluntary Aviation Safety Program Records (Sec.
111.245)

    F. Good Faith Exception (Sec.  111.115)
    G. Pilot Records Improvement Act (PRIA) Transition (Sec.
111.400)
IV. Database Design and Security
    A. Management of Users
    1. Overview of User Roles (Sec. Sec.  111.15, 111.20, 111.25)
    2. Registration for Pilot Records
    3. Registration for User Access (Sec. Sec.  111.15, 111.20,
111.25)
    B. General Eligibility Requirements for Access to the Pilot
Records Database
    1. Responsible Persons (Sec. Sec.  111.15, 111.20, 111.25)
    2. Responsible Persons' Delegation Authority (Sec. Sec.  111.15,
111.20, 111.25)
    3. Authorized Users (Sec. Sec.  111.20, 111.25, 111.30, 111.35)
    4. Proxies (Sec.  111.20, 111.25)
    5. Pilot Users (Sec. Sec.  111.25, 111.300, 111.305)
    C. Protection of the Privacy and Confidentiality of Pilots and
Other Users (Sec. Sec.  111.45, 111.100, 111.105, 111.135)
    D. Overview of Steps for Processing a Record Request
    1. Pilot Consent (Sec.  111.120, 111.125, 111.310)
    2. Hiring Employer's Role During the Request Process
    3. Record Retention and Removal Upon Death of a Pilot (Sec.
111.50)
V. User Fee for Accessing the PRD for Purposes of Evaluation (Sec.
111.40)
VI. Regulatory Notices and Analyses
    A. Regulatory Evaluation, Regulatory Flexibility Determination,
International Trade Impact Assessment, and Unfunded Mandates
Assessment
    1. Total Benefits and Costs of This Proposed Rule
    2. Those Potentially Affected by This Proposed Rule
    3. Assumptions
    4. Benefits of This Proposed Rule
    5. Costs of This Proposed Rule
    B. Regulatory Flexibility Determination
    1. Description of Reasons the Agency is Considering the Action
    2. Statement of the Legal Basis and Objectives
    3. Description of the Recordkeeping and Other Compliance
Requirements
    4. All Federal Rules That May Duplicate, Overlap, or Conflict
    5. Description and an Estimated Number of Small Entities
Impacted
    6. Alternatives Considered
    C. International Trade Impact Assessment
    D. Unfunded Mandates Assessment
    E. Paperwork Reduction Act
    F. International Compatibility and Cooperation
    G. Environmental Analysis
VII. Executive Order Determinations
    A. Executive Order 13132, Federalism
    B. Executive Order 13211, Regulations That Significantly Affect
Energy Supply, Distribution, or Use
VIII. Additional Information
    A. Comments Invited
    B. Availability of Rulemaking Documents
IX. The Proposed Amendments

SUPPLEMENTARY INFORMATION:

Authority for This Rulemaking

    The FAA's authority to issue rules on aviation safety is found in
Title 49 of the United States Code (49 U.S.C.). This rulemaking is
promulgated under the general authority described in 49 U.S.C. 106(f),
which establishes the authority of the Administrator to promulgate
regulations and rules, and the specific authority provided by Sec.  203
of the Airline Safety and Federal Aviation Administration Extension Act
of 2010 (``the PRD Act''), codified at 49 U.S.C. 44703(h)-(j). The PRD
Act identifies several rulemaking requirements.
    The PRD Act requires the Administrator to promulgate regulations to
establish an electronic pilot records database containing records from
the FAA and records maintained by air carriers and other operators that
employ pilots. At a minimum, air carriers and operators employing
pilots must report ``records that are generated by the air carrier or
other person after [August 1, 2010,]'' as well as ``records that the
air carrier or other person [was] maintaining, on [August 1, 2010],''
on any person employed as a pilot.\1\ The PRD Act also requires air
carriers to access the database and evaluate any relevant records
maintained therein pertaining to an individual before allowing that
individual to begin service as a pilot.
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    \1\ 49 U.S.C. 44703(i)(4)(B)(ii). Also, Sec.  44703(h)(4) states
that ``the Administrator and air carriers shall maintain pilot
records described in paragraphs (1)(A) and (1)(B) for a period of at
least 5 years.''
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    The FAA is further required to issue regulations to protect and
secure the personal privacy of any individual whose records are
accessed in the new electronic database; to protect and secure the
confidentiality of those records; and, to prevent further dissemination
of those records once accessed by an air carrier. The PRD Act also
requires the implementing regulations to prescribe a timetable for the
implementation of the PRD as well as a schedule for sunsetting the
Pilot Records Improvement Act of 1996.

I. Overview of the Proposal

    This proposed rule would require all Title 14, Code of Federal
Regulations (14 CFR) part 119 certificate holders, fractional ownership
programs, persons authorized to conduct air tour operations in
accordance with Sec.  91.147,\2\ persons operating a corporate flight
department, and governmental entities conducting public aircraft
operations (collectively referred to as ``covered entities'') to report
relevant records to an electronic pilot record database (PRD) managed
by the FAA.
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    \2\ Hereafter referred to as ``air tour operators'' for the
purposes of this preamble.
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    Currently, the FAA, air carriers and other operators maintain pilot
records pursuant to the statutory requirements contained in the Pilot
Records Improvement Act (PRIA).\3\ The FAA maintains records related to
airman certificates and legal enforcement actions that result in a
finding of a violation that was not subsequently overturned. Air
carriers and other operators maintain records related to pilot training
and qualification, final disciplinary actions, final separation from
employment actions, and drug and alcohol testing. Currently, under
PRIA, an employer is required to have a candidate for employment as a
pilot complete a series of paper forms. Some of the forms are mailed to
the previous employers to request copies of any available records as
specified by PRIA. Another form is submitted to the FAA to request the
FAA records as specified by PRIA. The FAA typically processes the
requests and provides the appropriate records within 3 business days.
These records may be provided via mail or email. The FAA processes
approximately 20,000 individual requests per year. The FAA does not
have an estimate for how many records requests are exchanged between
employers annually. FAA currently co-locates its PRIA records in an
electronic database called the PRD, which was created with funds
appropriated by Congress and is in beta testing. Air carriers and other
operators share their records with each other in accordance with a
manual, paper-based process. Congress mandated the creation of a fully
electronic database for all of these records collectively, which was
the genesis for this rulemaking.
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    \3\ 49 U.S.C 44702(h)
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    The proposal does not impose new substantive recordkeeping
requirements on air carriers or operators. Rather, the proposal would
require that covered entities report specific data to the PRD from
records that are required to be kept pursuant to regulations, or from
records that are otherwise kept by covered entities in their role as an
employer. When this rule is finalized, the current PRD, which is
currently populated with FAA records, will also be populated with air
carrier and operator airman records. Air carriers and other operators
would be required to electronically transfer into the PRD historical
records they currently maintain (in accordance with statutory
requirements) as well as new records they create in the future. The PRD
would contain the required air carrier, operator, and FAA records for

the life of the pilot and would be permitted to be used only as a
hiring tool in an air carrier or operator's decision-making process for
pilot employment. Pilot consent would be time-limited to a designated
air carrier to view that pilot's records. Air carriers cannot search
PRD broadly--the system would limit them to a specific individual's
records only if the pilot gives consent and the consent period is still
in effect.
    All air carriers and operators would be required to continue to
comply with the PRIA until two years and 90 days after the publication
of the final rule that follows this proposal. As a result, for a period
of time air carriers and operators would have to comply with both the
PRIA record retention requirements and the PRD reporting requirements.
All air carriers and operators that are subject to the reporting
requirements in this proposal would be required to begin entering
specific pilot records within one year of the publication date of the
final rule. Air carriers and operators employing pilots would be
required to input all historical records into the PRD within two years
of the publication date of the final rule. Finally, PRIA would cease to
be effective two years and 90 days after publication of the final rule,
as set forth in statute.

A. Summary of Current PRIA Requirements, the PRD Act, and Proposed
Requirements for the PRD

    The establishment of the PRD would eventually phase out the current
PRIA request process. In addition, the FAA proposes to add certain
additional requirements that are responsive to the mandates in Public
Law 111-216 section 206, as well as beneficial from a safety
perspective. The following table summarizes the current recordkeeping
and reporting requirements under PRIA, the requirements imposed by
legislation, and the key recordkeeping and reporting requirements of
this proposal.

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             Subject               Current PRIA requirements         The PRD Act                  NPRM
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Accessibility....................  Physical and Electronic..  Electronic..............  Electronic.
Affected Entities................  Part 119 certificate       Part 119 certificate      Part 119 certificate
                                    holders, governmental      holders, governmental     holders, air tour
                                    entities conducting        entities conducting       operators, fractional
                                    public aircraft            public aircraft           ownership programs,
                                    operations, air tour       operations, and other     corporate flight
                                    operators, and             persons.                  departments, and
                                    fractional ownership                                 governmental entities
                                    programs.                                            conducting public
                                                                                aircraft operations.
FAA Records......................  Current airman             Current airman            Current airman
                                    certificates with          certificates with         certificates with
                                    associated type ratings    associated type ratings   associated type ratings
                                    and limitations; current   and limitations;          and limitations;
                                    airman medical             current airman medical    current airman medical
                                    certificate, including     certificate, including    certificate, including
                                    any limitations; and       any limitations; any      any limitations; any
                                    summaries of FAA legal     failed attempt of an      failed attempt of an
                                    enforcement actions        individual to pass a      individual to pass a
                                    resulting in a finding     practical test required   practical test required
                                    by the Administrator of    to obtain a certificate   to obtain a certificate
                                    a violation that was not   or type rating under 14   or type rating under 14
                                    subsequently overturned.   CFR part 61; and          CFR part 61; and
                                                               summaries of FAA legal    summaries of FAA legal
                                                               enforcement actions       enforcement actions
                                                               resulting in a finding    resulting in a finding
                                                               by the Administrator of   by the Administrator of
                                                               a violation that was      a violation that was
                                                               not subsequently          not subsequently
                                                               overturned.               overturned; accident
                                                                                and incident
                                                                                information.
Air Carrier and Operator Records.  Records maintained in      Records maintained in     Records proposed to be
                                    accordance with            accordance with Sec.      reported to the FAA in
                                    appendices I and J to      120.211(a) (drug and      accordance with Sec.
                                    part 121, section VI       alcohol testing           111.215 (drug and
                                    paragraph (A) (drug and    records); Sec.            alcohol testing
                                    alcohol testing            121.683, Sec.             records); Sec.
                                    records); Sec.             125.401, and Sec.         111.220 (training,
                                    121.683, Sec.   125.401;   135.63(a)(4)              qualification, and
                                    and Sec.   135.63(a)(4)    (crewmember records),     proficiency records);
                                    (crewmember records),      excluding records         Sec.   111.225
                                    excluding records          related to flight time,   (disciplinary action
                                    related to flight time,    duty time, and rest       records); Sec.
                                    duty time, and rest        time; disciplinary        111.230 (separation
                                    time, disciplinary         action records not        from employment
                                    action records not         subsequently              records); Sec.
                                    subsequently overturned;   overturned; separation    111.240 (verification
                                    separation from            from employment           of motor vehicle
                                    employment records;        records; national         driving record search
                                    national driver register   driver register records.  and evaluation); and
                                    records, as required in                              Sec.   111.265
                                    accordance with PRIA's                               (historical record
                                    implementing statute.                                reporting).
National Driver Register Search..  Required in accordance     Required................  Required.
                                    with Public Law 104-264,
                                    Section 502.
User Fee.........................  Industry established.....  Reasonable charges by     Fee per record accessed
                                                               the FAA for processing    by an air carrier or
                                                               requests and furnishing   operator.
                                                               copies.
Timeframe of Records Documented..  Previous five years from   (1.) Part 121 and 135     (1.) Part 121 and 135
                                    the date of request as     air carrier records       air carrier records
                                    required in accordance     dating back to August     dating back to August
                                    with Public Law 104-264,   1, 2005 through the       1, 2005, through the
                                    Section 502.               life of the pilot;        life of the pilot or 99
                                                              (2.) Part 125 and 135      years, whichever is
                                                               operator records dating   less;
                                                               back to August 1, 2010   (2.) Part 125 and 135
                                                               through the life of the   operator as well as 91K
                                                               pilot; and,.              fractional ownership
                                                              (3.) FAA records dating    records dating back to
                                                               back to August 1, 2010,   August 1, 2010 through
                                                               through the life of the   the life of the pilot
                                                               pilot.                    or 99 years, whichever
                                                                                is less; and,
                                                                                (3.) FAA records dating
                                                                                back to August 1, 2010,
                                                                                through the life of the
                                                                                pilot.
Timeline for Records to be         Within 30 days as          Promptly................  Reported to the PRD
 Reported to a Hiring Air Carrier   required in accordance                               within 30 days of the
 or Operator.                       with Public Law 104-264,                             reportable event and
                                    Section 502.                                         available for review
                                                                                immediately.

Compliance Schedule..............  In effect................  Established by the FAA    (1.) One year after the
                                                               Administrator.            publication of the
                                                                                final rule--report
                                                                                present and future
                                                                                records; access and
                                                                                evaluate records in the
                                                                                PRD, subject to a user
                                                                                fee.
                                                                                (2.) Two years after the
                                                                                publication of the
                                                                                final rule--report
                                                                                historical records.
                                                                                (3.) Two years and 90
                                                                                days after the
                                                                                publication of the
                                                                                final rule--sunset of
                                                                                PRIA.
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B. Summary of the Costs and Benefits of This Proposed Rule

    The FAA estimated quantified costs and savings of this proposed
rule. After the effective date of the final rule that follows this
proposal, air carriers and other operators would incur costs to report
pilot records to the PRD, and to train and register as users of the
PRD. Air carriers would also receive cost savings once PRIA is phased
out. The FAA would incur costs of the proposed rule related to the
operations and maintenance of the PRD.
    Over a 10-year period of analysis from 2021 through 2030,\4\ the
FAA estimates the proposed rule would result in present value net costs
to industry and the FAA of about $12.8 million or $1.8 million
annualized using a 7% discount rate. Using a 3% discount rate, the
proposed rule would result in present value net costs of about $11.5
million over the same 10-year period or about $1.4 million annualized.
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    \4\ For this preliminary analysis, the FAA assumes the effective
date of the final rule to be in calendar year 2021 with the 10-
period of analysis of future regulatory impacts to be 2021 through
2030.
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    However, the FAA estimates industry would receive a net cost
savings from the proposed rule from the discontinuance of PRIA. Over
the same 10-year period, the present value net cost savings of the
proposed rule to industry are about $2.6 million or $0.4 million
annualized using a 7% discount rate. Using a 3% discount rate, the
proposed rule would have a present value net cost savings to industry
of about $7.0 million over the same 10-year period or about $0.8
million annualized.
    In addition to future regulatory costs, the FAA has incurred costs
to develop the PRD since 2010.\5\ From 2010 through 2020, the FAA
estimates the present value PRD development costs are about $14.1
million or $1.5 million annualized using a 7% discount rate. Using a 3%
discount rate, the present value PRD development costs are about $18.0
million over the same period or about $2.4 million annualized.
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    \5\ On August 1, 2010, Congress directed the Administrator to
establish the PRD (Pub. L. 111-216, Section 203 (49 U.S.C.
44703(i)).
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    Therefore, the FAA estimates the total impacts of this regulatory
action over a 21-year period of analysis from 2010 through 2030 that
includes PRD development costs before the effective date of the final
rule and future PRD regulatory impacts after the effective date of the
final rule. Over this 21-year time period, this regulatory action would
result in present value net costs of about $30.8 million or $2.8
million annualized using a 7% discount rate. Using a 3% discount rate,
this regulatory action would result in present value net costs of about
$25.6 million over the 21-year period of analysis or about $1.7 million
annualized.
    This rulemaking also proposes a user fee to be applied to costs
related to the operations and maintenance of the PRD beginning one year
after the effective date of the final rule. Government fees and taxes
are considered transfer payments per OMB Circular A-4 and are not
considered a societal cost. These transfers are reported separately
from the costs and cost savings of this proposed rule. The proposed PRD
user fee would effectively be a transfer payment from industry to the
FAA to cover the FAA's PRD operation and maintenance (O&M) costs. The
FAA estimates the 10-year present value of the user fees to be about
$13.2 million or $1.9 million annualized using a 7% discount rate,
reflecting the FAA's underlying O&M costs. Using a 3% discount rate,
the total present value of the user fees would be about $16.3 million
over 10 years or about $1.9 million annualized.
    This proposed rule would enhance aviation safety by assisting air
carriers in making informed hiring and personnel management decisions
using the most accurate and complete pilot records available and
electronically accessible. The database created by the proposed rule
would contain information maintained by the FAA concerning current
airman certificates with any associated type ratings and current
medical certificates, including any limitations or restrictions to
those certificates, airman practical test failures, and summaries of
legal enforcement actions. The PRD would contain air carrier, operator,
and FAA records on an individual's performance as a pilot that could be
used as a hiring tool in an air carrier's decision-making process for
pilot employment. These records would remain in the PRD for the life of
the pilot.

II. Background

A. Statement of the Problem

    The Pilot Records Improvement Act (PRIA) \6\ was enacted in 1997 in
response to a series of air carrier accidents attributed to pilot
error.\7\ The National Transportation Safety Board (NTSB) found that
although the pilots had a history of poor training performance or other
indicators of impaired judgment, their backgrounds had not been
investigated by their current employers.
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    \6\ Public Law 104-264, Sec.  502; 110 Stat. 3259. The
requirements of PRIA were initially codified at 49 U.S.C. 44936, and
PRIA became effective on February 7, 1997. Substantive amendments
were made to PRIA on December 5, 1997 (Pub. L. 105-142; 111 Stat.
2650) and April 5, 2000 (Pub. L. 106-181; 114 Stat. 61). Currently
the PRIA requirements are codified at 49 U.S.C. 44703(h) and (j).
    \7\ Congressional Committee report dated October 31, 1997 (H.R.
Rep. 105-372), explained certain clarifying amendments made to PRIA
in Public Law 105-142 (H.R. 2626; Dec. 5, 1997), listed the
following accidents as evidence supporting the enactment of PRIA:
Continental Airlines flight 1713 (November 15, 1987); Trans-Colorado
flight 2286 (January 19, 1988); AV Air flight 3378 (February 19,
1988); Aloha Island Air flight 1712 (October 28, 1989); Scenic Air
flight 22 (April 22, 1992); Express II flight 5719 (December 1,
1993); and American Eagle flight 3379 (December 13, 1994). All of
these operators held a part 119 air carrier certificate, and most of
these flights were operated under part 135, except Continental
Airlines flight 1713, which was operated under part 121.
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    Two accidents following the enactment and implementation of PRIA
led the NTSB to make additional findings and recommendations regarding
pilot record retention, the sharing of information related to pilot

performance among air carriers and operators, and the review of
previous performance records by air carriers. On July 13, 2003, Air
Sunshine Incorporated flight 527 (d/b/a Tropical Aviation Services,
Inc.) ditched in the Atlantic Ocean about 7 nautical miles west-
northwest of Treasure Cay Airport (MYAT), Bahamas, after an in-flight
failure of the right engine. The flight was operating under the
provisions of 14 CFR part 135 as a scheduled international, passenger-
commuter flight. Out of the nine total passengers, two passengers died
after evacuating the airplane and five passengers sustained minor
injuries. The pilot sustained minor injuries, and the airplane
sustained substantial damage.
    The NTSB determined that ``the probable cause of the accident was
the in-flight failure of the right engine and the pilot's failure to
adequately manage the airplane's performance after the engine failed.''
\8\ The NTSB also found that ``the pilot had a history of below-average
flight proficiency, including numerous failed flight tests, before the
flight accident, which contributed to his inability to maintain maximum
flight performance and reach land after the right engine failed.'' \9\
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    \8\ See NTSB Report AAR-04/03 (Adopted October 13, 2004) at page
47, which can be obtained at http://www.ntsb.gov/investigations/AccidentReports/Reports/AAR0403.pdf.
    \9\ See NTSB Report AAR-04/03 at page 43.
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    In response to the Air Sunshine 527 accident, the NTSB issued
recommendation A-05-01, which advised the FAA to require all ``part 121
and 135 air carriers to obtain any notices of disapproval for flight
checks for certificates and ratings for all pilot-applicants and
evaluate this information before making a hiring decision.'' \10\ The
NTSB recognized the importance of validating FAA ratings and
certifications, as required by PRIA, but noted that ``additional data
contained in FAA records, including records of flight check failures
and rechecks, would be beneficial for a potential employer to review
and evaluate.'' The NTSB acknowledged that while ``a single notice of
disapproval for a flight check, along with an otherwise successful
record of performance, should not adversely affect a hiring decision,''
a history of ``multiple notices of disapproval for a flight check might
be significant[. . .] and should be evaluated before a hiring decision
is made.'' There is not likely a single algorithm which can tell the
potential employer if they should hire a pilot based on a ratio of
satisfactory and unsatisfactory flight checks.\11\ However, providing
this information about the airman would assist the potential employer
in developing a more complete picture of that airman's overall
performance as a pilot.
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    \10\ The January 27, 2005, safety recommendation letter may be
accessed at http://www.ntsb.gov/safety/safety-recs/RecLetters/A05_01_02.pdf.
    \11\ The purpose of flight checks is to validate certificates
and ratings--they were not originally developed to inform hiring
decisions. Accordingly, the FAA has not conducted research to
document their relationship to general pilot performance.
---------------------------------------------------------------------------

    On February 12, 2009, Colgan Air, Inc. flight 3407 (d/b/a
Continental Connection), crashed into a residence in Clarence Center,
NY, about 5 nautical miles northeast of the Buffalo-Niagara
International Airport, New York resulting in the death of all 49
passengers on board and one person on the ground. The flight was
operated under 14 CFR part 121.
    The NTSB determined that ``the probable cause of this accident was
the captain's inappropriate response to activation of the stick shaker,
which led to an aerodynamic stall from which the airplane did not
recover.'' \12\ Contributing factors included: ``(1) The flightcrew's
failure to monitor airspeed in relation to the rising position of the
low-speed cue, (2) the flightcrew's failure to adhere to sterile
cockpit procedures, (3) the captain's failure to effectively manage the
flight, and (4) Colgan Air's inadequate procedures for airspeed
selection and management during approaches in icing conditions.'' \13\
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    \12\ See NTSB Report AAR-10/01 (adopted February 2, 2010) at
page 155, which can be obtained at http://www.ntsb.gov/investigations/AccidentReports/Reports/AAR1001.pdf.
    \13\ See NTSB Report AAR-10/01 at page 155.
---------------------------------------------------------------------------

    Additional safety issues identified by the NTSB in the Colgan Air
3407 accident report included certain deficiencies in the air carrier's
recordkeeping system, as well as the air carrier's analysis of the
flightcrew's qualifications and previous performance. Specifically,
Colgan Air's records showed that the captain had failed his initial
proficiency check on the Saab 340 on October 15, 2007, received
additional training, and passed his upgrade proficiency check on
October 18, 2007. In addition to this particular failed check at
Colgan, the NTSB stated that the captain failed his practical tests for
the instrument rating (airplane category) on October 1, 1991; the
commercial pilot certificate (single-engine land airplane) on May 14,
2002; and required additional training in three separate training
events while a first officer at Colgan. The NTSB deemed these
discrepancies in the captain's training records as noteworthy because
the captain had demonstrated previous training difficulties during his
tenure at Colgan Air.
    As a result of its investigation, the NTSB issued recommendation A-
10-19, which provided that the FAA require all ``part 121, 135, and 91K
operators to provide the training records requested in Safety
Recommendation A-10-17 to hiring employers to fulfill their requirement
under PRIA.'' Safety Recommendation A-10-17 advises the FAA to require
all ``part 121, 135, and 91K operators to document and retain
electronic and/or paper records of pilot training and checking events
in sufficient detail so that the carrier and its principal operations
inspector can fully assess a pilot's entire training performance.''
\14\
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    \14\ By letter dated February 21, 2014, the NTSB reported that
``pending implementation of the PRD, including guidance about when
comments are needed in PRD entries, Safety Recommendation A-10-17
remains classified Open--Acceptable Response.''
---------------------------------------------------------------------------

    In the Colgan Air 3407 final aircraft accident report, the NTSB
noted the issuance of Safety Recommendation A-05-01 as a result of the
Air Sunshine 527 accident. The NTSB indicated its continued
recommendation that airman certification information concerning
previous notices of disapproval should be included in an air carrier's
assessment of the suitability of a pilot-applicant. The NTSB also
indicated that notices of disapproval should be considered safety-
related records that must be included in an air carrier's evaluation of
a pilot's career progression. While recognizing that the FAA had
revised Advisory Circular (AC) 120-68: The Pilot Records Improvement
Act of 1996 \15\ to indicate that the hiring employer may, at its
discretion, request a record of an individual's notices of disapproval
for flight checks from the FAA,\16\ the NTSB advised that a more
permanent action through rulemaking would ensure that air carriers be
required to obtain and evaluate notices of disapprovals for pilot-
applicants.
---------------------------------------------------------------------------

    \15\ Including subsequent updates and revisions.
    \16\ See AC 120-68F, paragraph 3-8, Note.
---------------------------------------------------------------------------

    This proposed rule both implements requirements of the PRD Act and
responds to several open NTSB recommendations. First, consistent with
NTSB recommendation A-05-01, the FAA proposes to require all air
carriers and operators to access and evaluate an individual's records
in the PRD before making a hiring decision. These records would include
any notices of disapproval that the individual received during a
practical test attempt for a certificate or rating. The FAA would
upload data processed in the

Certification Airmen Information System (CAIS) on a nightly basis to
ensure both air carriers and operators have the most accurate and up-
to-date information to make an informed hiring decision. Second,
consistent with A-10-17 and A-10-19, the FAA proposes to require air
carriers and operators to enter relevant information into the PRD in a
standardized format. This information is intended to help an air
carrier to make an informed hiring decision.

B. History of PRIA and PRD

    Following the Colgan Air 3407 accident, Congress enacted the
Airline Safety and Federal Aviation Administration Extension Act of
2010 (Pub. L. 111-216; August 1, 2010).\17\ Section 203 of the PRD Act
required the FAA to establish an electronic pilot records database and
provided for the subsequent sunset of PRIA. Additionally, Congress has
since enacted the FAA Extension, Safety, and Security Act of 2016
(FESSA) (Pub. L. 114-190; July 15, 2016). Section 2101 of FESSA
required the FAA to establish an electronic pilot records database by
April 30, 2017. This proposed rule implements those statutory mandates.
---------------------------------------------------------------------------

    \17\ Referred to as ``the PRD Act'' for the remainder of this
NPRM.
---------------------------------------------------------------------------

1. Current Elements of PRIA
a. Pilot Employment Background
    As previously mentioned, Congress enacted PRIA to ensure that air
carriers adequately investigate an individual's employment background
and other information pertaining to the individual's performance as a
pilot before allowing that individual to serve as a flight crewmember
in air carrier operations. PRIA requires a hiring air carrier to obtain
records from three distinct sources utilizing standardized forms
including: (1) Current and previous air carriers or operators that had
employed the individual as a pilot, (2) the FAA, and (3) the National
Driver Register (NDR).
    The records that must be requested by a hiring air carrier and
provided by a pilot's current and previous employers in response to a
PRIA request include all records kept pursuant to particular provisions
of Title 14, Code of Federal Regulations related to maintaining current
crewmember records and drug and alcohol testing records,\18\ excluding
records related to flight time, duty time, and rest time. Also required
to be in the PRIA request are ``any other records pertaining to the
individual's performance as a pilot that are maintained by the air
carrier or person concerning the following: (1) The training,
qualifications, proficiency, or professional competence of the
individual, including comments and evaluations made by a check pilot;
(2) any disciplinary action taken with respect to the individual that
was not subsequently overturned; and (3) any release from employment or
resignation, termination, or disqualification with respect to
employment.''
---------------------------------------------------------------------------

    \18\ Sec.  121.683; paragraph (A), of section VI of appendix I
to part 121 and paragraph (A), of section VI of appendix J to part
121;1 Sec.  125.401; and, Sec.  135.63(a)(4).
---------------------------------------------------------------------------

    In accordance with PRIA, an air carrier must request records
related to the individual for ``the 5-year period preceding the date of
the employment application of the individual.'' No person is permitted
to furnish records in response to a PRIA request ``if the record was
entered more than 5 years before the date of the request, unless the
information concerns a revocation or suspension of an airman
certificate or motor vehicle license that is in effect on the date of
the request.'' The FAA and previous air carrier and/or operators are
required to retain all pilot records which would be furnished in
response to a PRIA request, except NDR-related records, for a period of
at least 5 years. PRIA permits an air carrier or other person who
receives a request for records under PRIA to ``establish a reasonable
charge for the cost of processing the request and furnishing copies of
the requested records.'' \19\
---------------------------------------------------------------------------

    \19\ Sec.  44703(h)(7).
---------------------------------------------------------------------------

    The records furnished in response to a PRIA request are commonly
used as a ``validation'' tool, rather than a research, screening, or
selection tool.\20\ Many employers will hire a pilot and then ensure
all records are received prior to permitting the pilot to begin service
because the PRIA process can take an extensive amount of time.
---------------------------------------------------------------------------

    \20\ Report from the PRD ARC, page 12. Available at https://www.faa.gov/regulations_policies/rulemaking/committees/documents/media/PRDARC-2032011.pdf.
---------------------------------------------------------------------------

b. Pilot Rights and Protection in Accordance With PRIA
    Since records provided in accordance with PRIA may affect an
individual's future employment status as a pilot with an air carrier,
the hiring air carrier must ``obtain written consent to the release of
those records from the individual that is the subject of the records
requested.'' \21\ The air carrier is permitted to ``require the
individual. . . to execute a release from liability for any claim
arising from the furnishing of such records to or the use of such
records by such air carrier (other than a claim arising from furnishing
information known to be false and maintained in violation of a criminal
statute).'' If an individual seeking employment as a pilot with the air
carrier refuses to provide written consent to obtain the subject's
records or refuses to execute a release from liability, an air carrier
may refuse to hire that individual as a pilot, and no action or
proceeding may be brought against the air carrier as a result. Notably,
an air carrier receiving records in response to a PRIA request must
``take such actions as may be necessary to protect the privacy of the
pilot and the confidentiality of the records, including ensuring that
information contained in the records is not divulged to any individual
that is not directly involved in the hiring decision.'' \22\
---------------------------------------------------------------------------

    \21\ Sec.  44703(h)(5).
    \22\ Sec.  44703(h)(11).
---------------------------------------------------------------------------

    Records obtained from the various sources required in accordance
with PRIA may only be used by an air carrier to assess the
qualifications of the individual in deciding whether to hire the
individual as a pilot. Therefore, a person who receives a request for
records under PRIA must ``provide to the individual who is the subject
of the records . . . written notice of the request and of the
individual's right to receive a copy of such records'' as well as a
copy of such records, if requested by the individual.\23\ Accordingly,
PRIA requires the current or previous employer to ``make available,
within a reasonable time, but not later than 30 days after the date of
the request, to the pilot for review, any and all employment records .
. . pertaining to the employment of the pilot'' that are maintained by
the air carrier and subject to being furnished in response to a PRIA
request.\24\ The subject of the records must also be given the
``reasonable opportunity to submit written comments to correct any
inaccuracies contained in the records before an air carrier makes a
final hiring decision with respect to the individual.'' \25\
---------------------------------------------------------------------------

    \23\ Sec.  44703(h)(6).
    \24\ Sec.  44703(h)(10).
    \25\ Sec.  44703(h)(9).
---------------------------------------------------------------------------

c. FAA Guidance for Compliance With PRIA
    The provisions of PRIA were self-implementing and the FAA's role in
the PRIA process was limited; therefore, the FAA did not develop
implementing regulations. The FAA issued Advisory Circular (AC) 120-68:
Pilot Records Improvement Act of 1996 to provide guidance material for
air carriers, operators and pilots regarding compliance with the PRIA
statute. AC

120-68 contains information for FAA inspectors as well as for air
carriers and operators that must comply with PRIA requirements. The FAA
has developed and made available on its website additional PRIA-related
information to further facilitate compliance with the statutory
requirements.\26\
---------------------------------------------------------------------------

    \26\ See http://www.faa.gov/pilots/lic_cert/pria.
---------------------------------------------------------------------------

    Under PRIA, and as described in AC 120-68, every request for
records pursuant to PRIA involves three parties: The potential
employer, the past employer, and the pilot-applicant. When an
individual seeks employment as a pilot for an air carrier, the hiring
air carrier initiates the process to request and receive all relevant
records as required under PRIA. The hiring air carrier completes its
part of the forms for requesting records from current and past
employers, the FAA, and the NDR, and the pilot-applicant completes the
necessary forms to provide written consent for the release of his or
her PRIA-related records before the hiring entity can send the records
requests forward to the appropriate respondent(s). The pilot-
applicant's completion of these forms satisfies the PRIA requirement
that a pilot receive written notice that a request for his or her
records was made. A pilot-applicant is also entitled to a copy of all
records provided to the hiring carrier under PRIA.
4. History of the Pilot Records Database
a. Pilot Records Database Aviation Rulemaking Committee
    In response to the mandate of Sec. 203 of Public Law 111-216, the
FAA Administrator chartered the PRD Aviation Rulemaking Committee (ARC)
on February 3, 2011.\27\ The purpose of the ARC was to assemble a broad
cross-section of entities involved in pilot records and safety to
develop recommendations for the FAA on the best way to implement an
electronic PRD. Participants included representatives from the aviation
industry, professional associations, organized labor, safety
organizations, as well as FAA representatives.
---------------------------------------------------------------------------

    \27\ The PRD ARC charter may be found at http://www.faa.gov/regulations_policies/rulemaking/committees/documents/media/PRD.ARC.cht.20110203.pdf.
---------------------------------------------------------------------------

    Specifically, the ARC examined where the data for the PRD should be
maintained; what information should be kept in the new database; who
would have access to the information and what methods would be used to
make the information accessible; methods for the timely transfer of
relevant information to the database on an ongoing basis; methods to
safeguard the data; establishing a written consent/release from
liability process; developing a common process for air carriers to
handle disputes by pilots concerning the accuracy of PRD entries;
developing common definitions and terms for PRD users; determining a
suitable structure for data tables to maintain training, qualification,
employment action, and NDR records required by this legislation; and
methods to initially load the database with historical records.
    The PRD ARC submitted a final report to the Associate Administrator
for Aviation Safety on July 29, 2011. A complete copy of the report,
including ARC recommendations, dissenting recommendations, and a list
of participating organizations has been placed in the public docket for
this rulemaking.\28\
---------------------------------------------------------------------------

    \28\ A copy of the complete final ARC report will be placed in
the docket for this rulemaking and is also available at https://www.faa.gov/regulations_policies/rulemaking/committees/documents/index.cfm/document/information?documentID=312.
---------------------------------------------------------------------------

    The ARC focused primarily on proposals for implementing the PRD in
a manner that would most enhance aviation safety for the flying public,
but did not necessarily consider whether the recommendations would meet
congressional intent. Thus, the ARC made certain recommendations
contrary to the plain language of the PRD Act. The ARC Report also
explicitly stated that certain congressionally mandated requirements
were left to be interpreted by the FAA at a later date.\29\
---------------------------------------------------------------------------

    \29\ https://www.faa.gov/regulations_policies/rulemaking/committees/documents/index.cfm/document/information?documentID=312.
---------------------------------------------------------------------------

b. Electronic Database Development
    In advance of this rulemaking, the FAA determined it prudent to
move its PRIA records to an electronic pilot record database, also
called the PRD.\30\
---------------------------------------------------------------------------

    \30\ The FAA was appropriated ``under section 106(k)(1) of the
PRD Act and codified at U.S.C. 44703(i)(14), a total of $6,000,000
for fiscal years 2010 through 2013'' in order to establish a pilot
records database.
---------------------------------------------------------------------------

    In September 2015, the FAA initiated a phased approach to establish
the PRD. During the initial implementation stages, the PRD will only
include FAA records, as required by PRIA. Upon adopting a final rule in
this rulemaking proceeding, the PRD would include not only the FAA
records mandated under PRIA, but also the employer records mandated by
Section 203 of the PRD Act.
    The phased approach was developed to provide direct, uninterrupted
access to FAA pilot records to air carriers and operators required to
comply with PRIA. The FAA records, such as pilot certification and
failed practical tests, would be available for an air carrier or
operator to make an informed hiring decision. Implementing the FAA
records portion of the PRD is an important step in fulfilling the
objective that Congress articulated in the PRD Act. It allows the FAA
to have at least one portion of the database ready for use on when the
rule is effective and to allow air carriers to familiarize themselves
with that process.
c. Related Actions to the Pilot Records Database
    Following the Colgan Air 3407 accident, the FAA issued a Call to
Action on Airline Safety and Pilot Training, which began with a meeting
on June 15, 2009 (including participants from the FAA, airlines and
labor organizations), to specify concrete actions and to elicit
voluntary commitments from industry.\31\ As a result of that meeting,
the FAA published an Airline Safety and Pilot Training Action Plan \32\
that included a number of key initiatives including a focused review of
air carrier flight crewmember training, qualification, and management
practices. In addition, the FAA released an updated version of the PRIA
AC 120-68E on July 2, 2010, incorporating elements from the Plan.
---------------------------------------------------------------------------

    \31\ A final report, dated January 2010, ``Answering the Call to
Action on Airline Safety and Pilot Training'' is available at:
http://www.faa.gov/news/updates/?newsId=60224&print=go.
    \32\ https://www.faa.gov/news/fact_sheets/news_story.cfm?newsId=11125.
---------------------------------------------------------------------------

    The FAA also published an Information for Operators (InFO) \33\ on
August 15, 2011 (InFO 11014), advising all operators that conduct
operations in accordance with part 91, 121, 125, and 135 to
indefinitely retain any records on pilots employed in those
operations.\34\ The FAA published a second InFO on March 13, 2014 (InFO
14005), further reminding the regulated entities of their
responsibility to retain pilot records dating back as early as August
1, 2005.\35\ To verify that air carriers and operators that employ
pilots are retaining pilot records in accordance with PRIA for future
inclusion in the database, the

FAA issued a national policy notice titled ``Pilot Records Retention
Responsibilities Related to the Airline Safety and Federal Aviation
Administration Act of 2010.'' The notice directed FAA inspectors to
verify that air carriers or operators have a system in place to retain
records that must be reported for inclusion in the database, as
required by the statute.\36\
---------------------------------------------------------------------------

    \33\ An InFO message contains valuable information for operators
that should help them meet administrative requirements or certain
regulatory requirements with relatively low urgency or impact on
safety. InFOs contain information or a combination of information
and recommended action to be taken by the respective operators
identified in an InFO.
    \34\ http://www.faa.gov/other_visit/aviation_industry/airline_operators/airline_safety/info/all_infos/media/2011/InFO11014.pdf.
    \35\ http://www.faa.gov/other_visit/aviation_industry/airline_operators/airline_safety/info/all_infos/media/2014/InFO14005.pdf.
    \36\ A copy of national policy notice N8900.279, ``Pilot Records
Retention Responsibilities Related to the Airline Safety and Federal
Aviation Administration Act of 2010,'' may be viewed at http://www.faa.gov/documentLibrary/media/Notice/N_8900.279.pdf. The
statutory cite can be found at 49 U.S.C. 44703(i)(4)(B)(ii)(II).
---------------------------------------------------------------------------

    Section 203 of the PRD Act directed the FAA to submit a statement
to Congress by February 2012, and at least once every three years
thereafter for a periodic review of the statutory requirements. The
statement to Congress must contain any FAA recommendations to change
the records required to be included in the database or the reasons why
the FAA does not recommend any changes to the records referenced in
Section 203. In its September 2015 report to Congress the FAA indicated
that it had initiated a rulemaking project entitled Pilot Records
Database, Regulation Identifier Number (RIN) 2120-AK31. In its most
recent report to Congress, in February 2018, the FAA indicated that it
did not recommend any changes in the records referenced in Section 203,
until it considers public comments on the Pilot Records Database
rulemaking proposal.

III. Discussion of the Proposal

    The FAA proposes new part 111, Pilot Records Database, to codify
requirements for accessing and evaluating records, reporting of
records, and pilot rights and responsibilities. Subpart A contains
general requirements. Subpart B contains requirements for database
access and evaluation of records. Subpart C contains requirements for
record reporting. Subpart D contains pilot rights and responsibilities.
Subpart E contains requirements regarding compliance with PRIA during
the PRD transition.

A. Persons Affected by the Proposal

    The PRD Act requires air carriers to access and evaluate the
records maintained in the PRD pertaining to an individual pilot before
allowing that individual to begin service as a pilot. The PRD Act also
requires air carriers, as well as any other person that employs an
individual as a pilot of a civil or public aircraft, to report
information concerning the pilots they employ for inclusion in the
database.\37\
---------------------------------------------------------------------------

    \37\ The PRD Act explicitly excludes the Armed Forces and
National Guard, including reserve components, from the information
reporting requirements.
---------------------------------------------------------------------------

    The FAA is proposing in subpart C of part 111 to require all part
119 certificate holders, 91K fractional ownership programs, persons
authorized to conduct air tour operations in accordance with Sec.
91.147, persons operating a corporate flight department, covered
governmental entities conducting public aircraft operations and
employing pilots, and trustees in bankruptcy to enter relevant data on
individuals employed as pilots into the PRD. As of May 30, 2018, there
were an estimated 5,006 air carriers and operators employing pilots
that would be required to report pilot records to the database. Any
other entity that employs pilots, such as pilot schools or training
centers, would not be required to enter data into the PRD.
1. Air Carriers and Other Employers Required To Assess and Review
    The FAA proposes to require all air carriers \38\ who have been
issued a part 119 air carrier certificate and are authorized to conduct
operations under part 121 or part 135 to comply with the pilot
employment background check requirements of subpart B of the proposed
rule. The PRD Act requires air carriers and certain other persons to
report information to the FAA for inclusion in the PRD and requires air
carriers to access the PRD for purposes of evaluating all pertinent
information pertaining to an individual before allowing that individual
to begin service as a pilot.
---------------------------------------------------------------------------

    \38\ As defined in 49 U.S.C. 40102, ``air carrier'' means a
citizen of the United States undertaking by any means, directly or
indirectly, to provide air transportation (i.e. foreign air
transportation, interstate air transportation, or the transportation
of mail by aircraft).
---------------------------------------------------------------------------

    Additionally, the FAA proposes that part 125 and 135 operators, 91K
fractional ownership programs, and air tour operators, be required to
access and evaluate an individual's records in the PRD before making a
hiring decision. The FAA determined that it was in the interest of
safety to include these employers, in addition to air carriers, for
several reasons. Operators that conduct operations under part 125, 135
or 91K are currently required to review pilot records in accordance
with PRIA. The FAA interprets the PRD Act to require an enhancement to
safety. The FAA does not believe that it would enhance safety to remove
this requirement with respect to this population of employers.
    This proposed rule would also include air tour operators within the
scope of its applicability. Although PRIA does not require these
operators to review pilot records, the FAA believes that extending this
requirement to air tours operators is consistent with the safety
philosophy underpinning the PRD Act. Air tour operators share some
similarities with aspects of part 121 and part 135 air carriers. These
operators are responsible for the carriage of passengers for hire and
the PICs who conduct these operations must hold at least a commercial
pilot certificate. Given the similarity to air carrier responsibilities
to the traveling public, the FAA believes that it is in the interest of
safety to require air tour operators to review records in the PRD prior
to making a hiring decision.
    While the requirement for air carriers to conduct a pilot
employment background check before allowing an individual to begin
service as a pilot would be mandatory, the FAA proposes to permit
voluntary compliance with the provisions for access and evaluation of
records in subpart B for other operators that are required to report
data to the PRD. If an operator opts into the requirements of subpart B
for evaluating an individual's records in the PRD, the operator would
be required to comply with all other aspects of subpart B of the
proposal and would be included in those persons affected by the
proposal.\39\ Although not mandated by the PRD, the FAA believes that
other potential employers of pilots could benefit from accessing the
information in the PRD prior to making a hiring decision. If an
employer chooses to opt in, it would be required to comply with all of
the regulations in subpart B to protect pilots' privacy rights and the
integrity of the database.
---------------------------------------------------------------------------

    \39\ With one exception--other employers opting into subpart B
would not have to complete the NDR search and verification.
---------------------------------------------------------------------------

    As mentioned previously, currently, PRIA is often used as a tool
for validating the record of a pilot rather than as a research,
screening, or selection tool prior to actually hiring the pilot because
of the length of time the PRIA process takes. The ARC, in its report,
asserted that immediate electronic access to information would be a
benefit of an electronic database in lieu of continuing the paper-based
PRIA process.\40\ The FAA is requesting comment on whether employers
believe that PRD will be utilized as a validation tool after an initial
hiring decision has

been made, or whether, because of the ease of electronic access, it
will be utilized earlier in the decision-making process. The FAA
requests that commenters consider the cost, in terms of employee time
and processing fees (discussed further in the RIA), when responding to
this question.
---------------------------------------------------------------------------

    \40\ Report from the PRD ARC, p. 72, available at https://www.faa.gov/regulations_policies/rulemaking/committees/documents/media/PRDARC-2032011.pdf
---------------------------------------------------------------------------

2. Operators Employing Pilots That Must Enter Data
    The express language of the PRD Act requires pilot records from any
air carrier and ``other person'' to be included in the PRD. While the
Act did not define ``other person'' \41\ or otherwise define who other
than air carriers should be subject to the reporting requirements, the
FAA interprets ``other person'' to mean those ``other persons'' that
employ pilots that would likely be air carrier pilots or prospective
air carrier pilots at some later date. The principal reason for this
interpretation is that the PRD Act mandates that air carriers, but not
other employers, access the data for hiring decisions. Accordingly, a
reasonable interpretation of the PRD Act, read in its entirety, is that
the reporting requirements are limited to those records that would
assist with air carrier hiring decisions. The FAA does not interpret
the PRD Act to require other types of employers to incur the burden of
submitting documents to the PRD that are either unlikely to ever be
accessed by a hiring air carrier, or that would not assist with an air
carrier's hiring decision.
---------------------------------------------------------------------------

    \41\ Hereinafter these ``other persons'' are referred to as
``operators employing pilots'' or ``operators.''
---------------------------------------------------------------------------

    To determine which employers, other than air carriers, should be
subject to the proposed reporting requirements, the FAA reviewed its
implementation of PRIA, the requirements of the PRD Act, the relevance
of the records kept by other employers of pilots (who are not air
carriers) to air carriers in making hiring decisions, and the
characteristics of the different types of requisite flight time that
pilots accumulate before seeking employment with an air carrier.
    The FAA also studied the following operating characteristics in
comparison to part 121 air carrier operations to determine which
operators should be subject to the proposed rule: The operating
conditions of the flight (including the complexity of the operation and
the type and complexity of the aircraft flown), the applicable
operating rules, the applicable recordkeeping rules, and the progress
and career path of the pilot as affected by the July 15, 2013 Pilot
Certification and Qualification Requirements for Air Carrier Operations
final rule.\42\
---------------------------------------------------------------------------

    \42\ 78 FR 42324. Prior to this rulemaking, pilots obtained a
large portion of their flight hours serving as SIC in part 121
operations.
---------------------------------------------------------------------------

    Individuals desiring a career as a professional pilot for an air
carrier can seek experience with other operators to obtain the
requisite flight time. These ``gateway operators'' will be utilized
with greater frequency in the future as a result of FAA's Pilot
Certification and Qualification Requirements for Air Carrier Operations
final rule. That final rule significantly increased the total number of
required flight hours from 250 to 1,500 for part 121 air carrier
second-in-command pilots to hold an airline transport pilot (ATP)
certificate.\43\ The FAA recognizes that an individual may acquire
flight time various ways to be eligible for a position with a part 121
air carrier. However, because it is now more time-intensive to receive
the requisite experience for operations with a 121 carrier than before,
the FAA expects the traditional path toward a pilot position at a part
121 air carrier will continue to be used, as opposed to more
alternative methods of gaining experience, which are discussed below.
To identify the typical paths for a pilot to acquire the minimum
aeronautical experience to serve as a PIC in part 121 operations, the
FAA examined the various aircraft operations and associated operating
rules through which pilots can acquire flight time towards an ATP.
---------------------------------------------------------------------------

    \43\ Certain pilots can obtain a restricted privileges ATP
certificate with fewer than 1500 logged hours.
---------------------------------------------------------------------------

    Similar operating conditions to a part 121 air carrier include
operating large, turbine-powered airplanes, carrying passengers from a
departure to an arrival point, and required training and checking
events as a function of regulation or pilot certification. The FAA
further considered which operations are subject to recordkeeping
requirements on pilot training and performance similar to part 121
operations by using information identified in GAO reports, the
Department of Transportation's Office of Inspector General (DOT OIG)
reports, data from internal FAA databases, and current FAA regulations.
    The FAA believes that the most useful information for the database
is captured by applying the record reporting requirements to the
operators that most likely serve as a gateway for pilots to accumulate
the required aeronautical experience necessary for an ATP to conduct in
air carrier operations. As a result of these analyses, the FAA
identified categories of employers that serve as gateway operators--
that is, operators that often serve as points on the career path of a
pilot for an air carrier or other passenger-carrying operation. The FAA
identified gateway operators based on its expertise and experience with
those pilots and their typical employment pathways and is not based on
a quantitative analysis of different employment pathways for obtaining
an ATP. The FAA proposes to define ``operators employing pilots'' that
would be subject to PRD reporting requirements to include the following
groups that employ one or more individuals as pilot flight
crewmember(s): (a) Each person that holds an operating certificate
issued by the FAA in accordance with part 119 of this chapter; (b) each
person that conducts air tour operations pursuant to a letter of
authorization issued in accordance with 14 CFR 91.147; (c) each person
that conducts operations pursuant to a fractional ownership program
authorized in accordance with subpart K of part 91 of this chapter; (d)
each person that operates a corporate flight department, as defined in
part 111, pursuant to the general operating and flight rules in part 91
of this chapter; (e) each person that conducts operations of public
aircraft; and (f) a trustee in bankruptcy. This proposal largely is
consistent with existing PRIA requirements, with the addition of
corporate flight departments.
    The FAA considered extending the record-reporting provisions of the
proposal to other civil aviation operators who employ pilots such as
part 91 operations utilizing smaller general aviation aircraft, other
part 91 business aviation operations involving a single aircraft, part
133 external load operators, part 137 agricultural operators, and
research and testing flights conducted by aircraft manufacturers.\44\
However, the FAA decided not to extend the PRD reporting provisions to
these operators because they are not ``gateway'' employers to air
carriers. Since pilots employed by the previously-referenced operators
do not often transition to careers as pilots in passenger-carrying
operations, the FAA questions the value that this information would
provide relative to the attendant regulatory burdens it would impose on
those operators. The FAA invites comments, with supporting
documentation, about whether PRD reporting should extend to part 133
and 137 operators.

3. Overview of Affected Entities
a. Part 121 Air Carriers
    Part 121 prescribes rules governing the domestic, flag, and
supplemental operations conducted by persons holding an air carrier or
operating certificate issued under part 119.\45\ Part 121 air carriers
operate multi-engine, transport category airplanes with more than nine
passenger seats or airplanes having a payload capacity of more than
7,500 pounds between scheduled service cities within the United States,
as well as internationally originating or terminating in the United
States, while carrying passengers and freight. These air carriers are
held to the highest safety standard by the FAA, as required by 49
U.S.C. 44701-44716, to ensure the public's safety in air travel. As of
May 30, 2018, the FAA has issued 70 part 119 certificates to persons
authorizing operations under part 121.
---------------------------------------------------------------------------

    \45\ 14 CFR 121.1(a).
---------------------------------------------------------------------------

b. Part 135 Air Carriers And Operators
    Part 135 air carriers and operators operate aircraft that are
configured for 30 or fewer passengers or 7,500 pounds of payload or
less. The operators comprising the commuter and on-demand industry
segment range from a company with one pilot and one aircraft to a
company with over 600 aircraft. Operations include short flights to
small regional airports, cross-country domestic flights to larger
cities, or international flights. As of May 30, 2018, the FAA had
issued part 119 air carrier or operating certificates to 2,011 persons
authorizing operations under part 135, compared to the 70 air carriers
operating under part 121.
    The operations conducted in accordance with part 135 provide a wide
array of operating environments for pilots, including airspace
complexity and operational tasks, similar to those encountered in
operations conducted in accordance with part 121. Pilots serving in the
following part 135 operations must also hold an ATP certificate prior
to acting as pilot-in-command:
    (1) Commuter operations using multiengine airplanes with nine or
fewer passenger seats (Scheduled 135);
    (2) on-demand operations using airplanes with 10 or more passenger
seats; and
    (3) turbojets.
c. Part 125 Operators
    Part 125 operators conduct operations not involving common
carriage, with airplanes having a seating capacity of 20 or more
passengers or a maximum payload capacity of 6,000 pounds or more.\46\
As of May 30, 2018, 71 persons have been issued certificates or letters
of deviation authority (LODAs) authorizing operations under part 125.
---------------------------------------------------------------------------

    \46\ Non-common carriage is defined in 14 CFR 110.2 as meaning
``an aircraft operation for compensation or hire that does not
involve a holding out to others.''
---------------------------------------------------------------------------

    While part 125 operators do not offer air transportation services
to the general public, the type of operation conducted in accordance
with part 125 is similar in many respects to part 121 and 135 air
carriers and part 135 operations, including airspace complexity and
operational tasks. Additionally, a part 125 operator must ensure that
specific crewmember training is conducted and recorded in accordance
with Sec.  125.401.\47\
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    \47\ In addition, Sec.  125.401 requires records to be kept
concerning the release of employment or physical or professional
disqualification of any flight crewmember for at least 6 months.
---------------------------------------------------------------------------

    Like part 121 air carriers and part 135 air carriers and operators,
part 125 operators would be required to access and evaluate the
information contained on an individual in the database, pursuant to
subpart B of proposed part 111. The proposal for part 125 operators is
consistent with the FAA's current guidance for compliance with PRIA.
That guidance advises part 125 operators to obtain an individual's
pilot records prior to making a hiring decision.
    The FAA is proposing to consider part 125 letter of deviation
(LODA) holders as corporate flight departments subject to the reporting
requirements of the PRD. Part 125 LODA holders are part 125 operators
who do not have to comply with all aspects of part 125 because they
hold a letter of deviation authority and many operate in a manner that
is similar to corporate flight departments. The FAA believes those
operators should be required to comply with the reporting aspects of
PRD, though not the review elements unless they elect to opt in. The
FAA addresses LODA holders as a part of the corporate flight department
discussion in section f.
d. Part 91, Subpart K Fractional Ownership Programs
    Part 91, subpart K (``part 91K'') fractional ownership programs are
issued management specifications (MSpecs) by the FAA and have
recordkeeping requirements similar in most respects to part 135
operators. The part 91K fractional ownership program provides both
entry-level pilots and highly experienced pilots access to many
aircraft with operating environments similar to part 135 air carriers,
especially the type of aircraft operated by a part 91K fractional
ownership program. The aircraft are typically multi-engine, turbine-
powered fixed wing aircraft that require the pilot in command (PIC) to
hold an airline transport pilot (ATP) certificate during part 91K
operations.\48\ However, the PIC can hold a commercial pilot
certificate with an instrument rating if operating any other aircraft.
As of May 30, 2018, there were 8 part 91K programs, employing about
3,364 pilots, flying general aviation business aircraft. Many part 91K
fractional ownerships also hold part 119 air carrier or operating
certificates.
---------------------------------------------------------------------------

    \48\ See 14 CFR 91.1053(a)(2)(i).
---------------------------------------------------------------------------

    A pilot's ability to fly at the ATP certificate level and
demonstrating this proficiency during evaluation is an important
regulatory distinction between commercial and private pilot
certification. Specifically, these pilots gain experience as a PIC of a
turbine-powered airplane in operations closely aligned with part 121
operations, such as the carriage of passengers in technologically
advanced aircraft through complex airspace, as discussed in more detail
previously. Thus, part 91K programs are more likely than other part 91
operations, such as private/recreation flying, personal business, or
banner towing operations, to facilitate a pilot's career progression to
a part 121 air carrier due to the similarity to part 121 operations.
    Additionally, the FAA also proposes to update the process required
to be completed by a part 91K program manager in accordance with
current Sec.  91.1051 to include compliance with proposed part 111. The
FAA proposes to amend Sec.  91.1051 to require that the pilot safety
background check include the records maintained in the PRD. A part 91K
program manager would be required to comply with the requirements of a
pilot safety background check by requesting an individual's record in
the PRD, as well as obtaining relevant information on the individual's
aeronautical experience. This amendment would provide regulatory relief
to 91K program managers and former employers because they would be able
to obtain certain pilot records from the PRD instead of requesting them
from the pilot's previous employers.
e. Section 91.147 Air Tour Operators
    An air tour operator is an individual or company that holds a
letter of authorization (LOA) to conduct air tours

within a defined geographic location.\49\ Air tour operators, which
share some similarities with aspects of part 121 and part 135 air
carriers, generally maintain useful and reliable information on pilots
serving in these operations. Like air carriers, these operators are
responsible for the carriage of passengers and the PICs who conduct
these operations must hold a commercial pilot certificate or
higher.\50\ In this regard, air tour operators provide a means by which
pilots may acquire significant flight time in a short timeframe while
operating in an environment with similarities to air carrier
operations. Air tour operators often employ commercial pilot
certificate holders who ultimately pursue a career as a pilot with a
part 121 or part 135 air carrier.
---------------------------------------------------------------------------

    \49\ As of May 30, 2018, the FAA has issued 1,111 LOAs to
operators in order to conduct air tours. Many of the LOAs have been
issued to existing part 119 certificate holders.
    \50\ See 14 CFR 61.133, Commercial pilot privileges and
limitations.
---------------------------------------------------------------------------

    In order for a pilot to operate an aircraft for an air tour
operator, that pilot would be provided with training in the authorized
aircraft, airspace, and procedures in conducting the air tour to
maintain a safe operation.\51\ The training provided, however, is
likely to be less robust than an air carrier's training and, as such,
fewer data points exist from which an air tour operator can glean
information in order to determine a pilot's capability. As a result,
reviewing prior employer and FAA records could be beneficial to air
tour operators and, by extension, to the traveling public. Therefore,
the FAA is proposing to require all air tour operators to comply with
the access and evaluation requirements of subpart B of part 111 as well
as enter data on the performance of an individual employed as a pilot
into the PRD in accordance with subpart C of part 111.
---------------------------------------------------------------------------

    \51\ The FAA requires a responsible person to be named on the
application for authorization to conduct air tours and provide a
purpose and details of the air tour. The responsible person must
ensure that the flight is conducted for compensation or hire while
using a powered aircraft within a pre-established area of airspace.
Additionally, the air-tour operator must comply with any other
requirements listed in the FAA-issued LOA.
---------------------------------------------------------------------------

f. Corporate Flight Departments
    The FAA is proposing to require all corporate flight departments to
enter data on the performance of an individual employed as a pilot into
the PRD in accordance with subpart C of part 111 of the proposed rule.
The FAA is proposing to define a corporate flight department as a
person that operates: (1) A fleet (two or more) of standard
airworthiness airplanes, (2) that require a type rating under 14 CFR
61.31(a), and are operated in furtherance of, or incidental to, a
business, pursuant to the general operating and flight rules of part 91
or airplanes being operated under a deviation authority issued under
Sec.  125.3.
    Corporate flight departments are typically owned and operated by a
company and offer the opportunity for company executives and employees
to reach customers in a short period of time. The FAA believes that
corporate flight departments typically operate airplanes that provide
both entry-level pilots and experienced pilots access to many type-
rated airplanes that offer similarities to those operated by air
carriers. The operations within these departments are structured in
ways that resemble many aspects of the air carrier environment
including aircraft type, airspace complexity, and the carriage of
passengers. As a result, the FAA believes that the records maintained
by corporate flight departments would be useful for air carriers to
review prior to making a hiring decision on a pilot.
    During the analysis of information on corporate flight departments,
the FAA encountered several significant issues in determining the
number of corporate flight departments that would be affected by the
proposed regulations. First, corporate flight departments generally
conduct operations under part 91 since these operators are not engaged
in common carriage. Second, the FAA would not be able to determine the
number of pilots affected by the proposal as the total number of
corporate flight departments was unknown. Thus, the FAA could not rely
on its own internal data to substantiate the number of companies that
have corporate flight departments.
    Several business aviation industry advocates, such as the General
Aviation Manufacturers Association (GAMA) and the National Business
Aviation Association (NBAA), provided data on specific segments of the
business aviation industry, which is comprised of about 14,960
individuals, companies, and corporations. Large corporate flight
departments often employ pilots that continue in their career
progression to work at an air carrier, whereas this is less common for
single-aircraft corporate flight departments. Therefore, the FAA
decided to extend the proposed reporting requirements to only corporate
flight departments with a fleet of two or more aircraft, as a result of
weighing the impact of including all business aviation entities against
the usefulness of the records for air carriers in making a hiring
decision.
    The FAA examined the data on the number of business jets and large
turbine powered airplanes in the national airspace system. The FAA
analyzed the data from the Civil Aviation Registry to differentiate the
type of aircraft registered in the United States by type certification
and standard airworthiness certificates. All large airplanes (weighing
more than 12,500 pounds) or that are turbojet-powered were included in
the analysis. The FAA further analyzed the number of aircraft in this
group to determine the number of persons that own more than one
aircraft, or a fleet of aircraft (excluding single aircraft operators)
since these operators likely have multiple flight crews assigned to
their aircraft.
    In the FAA's history of overseeing a variety of types of
certificate holders, the FAA has learned that a pilot's employment with
a small operator, such as one with only a single aircraft, does not
typically lead to employment with a certificate holder that conducts
operations with many passengers. As a result, the minimal amount of
pilot records from a small operator is unlikely to result in
information beneficial for making an air carrier hiring decision. In
contrast, for corporate flight departments with a fleet of two or more
aircraft, it is common for insurance companies to require annual formal
training at a part 142 training center. Because insurance providers
often require formal flight training provided by a part 142 flight
school, high quality records will most likely be available to document
each pilot's performance. These types of pilot records that large
corporate flight departments hold contain precisely the data that
hiring air carriers will find beneficial to use when making hiring
decisions. Additionally, many single aircraft operators only have one
crewmember. These operators would likely only be reporting records on
themselves on an individual basis and might not complete formal flight
training. Furthermore, many might not have the financial resources to
justify formal flight training when it is not required. In these cases,
both the records available and the number of associated pilots would be
minimal; in general, the modest amount of records available might not
be helpful to operators. Therefore, the FAA concludes only those
operators who have a fleet of at least two aircraft should be subject
to the proposed reporting requirement.
    The FAA further believes that a part 125 LODA holder is similar in
nature to corporate flight departments. A part 125 LODA holder is an
operator who holds a deviation from Sec. Sec.  119.23 and 125.5 (the
requirements to hold an operating

certificate and OpSpecs). The FAA is proposing that part 125 LODA
holders be considered corporate flight departments that are subject to
the reporting requirements of the PRD. These operators use
U.S.[hyphen]registered civil airplanes that have a seating
configuration of 20 or more passengers, or a maximum payload capacity
of 6,000 pounds or more when common carriage is not involved. As of
May, 2018, there were 57 LODA holders. Historically, part 125 LODA
holders have been regulated most similarly to part 91 operators and are
typically used in business aviation, serving some of the same functions
as corporate flight departments. Accordingly, the FAA proposes to treat
them like corporate flight departments.
    The FAA is seeking comment, with supporting documentation, on
current corporate, flight departments' safety practices and invites
commenters to respond to the following:
     Would it be beneficial to require corporate flight
departments operating a single aircraft to report to PRD? Why or why
not?
     Do corporate flight departments maintain substantive
records documenting pilot training, evaluation, performance,
disciplinary actions, or release from employment or other professional
disqualification? If so, for how long are such records typically
retained?
     Would the proposal create a disincentive for corporate
flight departments to create and retain records that are not otherwise
mandated by federal regulation?
g. Governmental Entities Conducting Public Aircraft Operations
    The FAA has limited oversight of governmental entities conducting
public aircraft operations (PAOs), though such operations must comply
with the regulations applicable to all aircraft operating in the
National Airspace System (NAS) (i.e., part 91 general operating flight
rules). The government entity conducting the PAO is responsible for
oversight of the operation, including aircraft airworthiness and any
operational requirements imposed by the government entity. Although a
government entity conducting a PAO is not required to use an FAA-
certificated pilot, many government entities require their pilots to
hold an FAA pilot certificate and undergo recurrent training throughout
their employment with the operator.\52\ As a result, pilot records
maintained by an operator of public aircraft would relate to part 61
currency requirements and would be similar to those maintained by
holders of a part 119 operating certificate authorized to conduct
operations in accordance with part 125. The FAA recognizes that some
operators of public aircraft contract with part 135 or certificated air
carriers but they are accounted for in those sections of the proposed
rule and regulatory analysis. A search of FAA records found 322 current
entities conducting PAO as of May 30, 2018.\53\
---------------------------------------------------------------------------

    \52\ Referenced 14 CFR 61.3(a).
    \53\ The FAA maintains records related to known entities
conducting public aircraft operations that are conducted by local,
State, and Federal governments. These records are maintained in the
FAA's Safety Performance Analysis System (SPAS).
---------------------------------------------------------------------------

    Pursuant to the PRD Act, the FAA is proposing to require government
entities that conduct PAO to enter records maintained by the entity on
individuals who hold an FAA pilot certificate and conduct PAO. These
requirements are proposed in subpart C. Pilots holding an FAA pilot
certificate and employed by operators who perform public aircraft
operations may seek subsequent employment with an air carrier. Pilots
who do not hold an FAA pilot certificate do not typically proceed
directly to further employment with air carriers, because in order to
progress to further employment with an air carrier they would need to
first obtain the relevant pilot certificate and then likely work for a
``gateway'' operator to an air carrier. Accordingly, the FAA sees
limited utility in maintaining these records and do not interpret Sec.
203 of the PRD Act to include them.
    The FAA seeks comment on: (1) The level of data that would be
provided to the PRD by government entities on individuals employed as
pilots for PAO; (2) the type of records maintained by PAOs; and (3)
cost to government entities to provide these records.
h. Trustees in Bankruptcy
    The PRD Act also requires that a ``trustee in bankruptcy for the
air carrier or person'' continue to provide records to the PRD in event
that an air carrier or other operator files for bankruptcy.\54\
Therefore, the FAA is proposing in subpart C to 14 CFR 111.270 to
require trustees in bankruptcy, or the debtor-in-possession if no
bankruptcy trustee is appointed, to continue to comply with the
reporting requirements for the PRD. This practice is consistent with
other safety-based regulations that continue to be enforced while an
air carrier or other operator is in bankruptcy. The FAA is proposing to
require the individual accessing the database to be able to have their
identity validated prior to the FAA granting PRD access, consistent
with minimum requirements for database access.
---------------------------------------------------------------------------

    \54\ See 49 U.S.C. 44703(i)(2)(B).
---------------------------------------------------------------------------

    When an air carrier or operator is in bankruptcy and maintains its
certificate, the bankruptcy does not alter any regulatory or statutory
requirements. However, if a hiring air carrier is unable to obtain
records because an individual's previous employer ceases to exist or is
otherwise unable to submit pilot records, the PRD Act provides that as
long as the hiring air carrier makes a ``documented good faith
attempt'' to access the information and the Administrator provides
``written notice'' of this lack of information, the pilot may begin
service with the air carrier.\55\ The FAA proposes to codify this good
faith exception in Sec.  111.115.
---------------------------------------------------------------------------

    \55\ Id., at Sec.  44703(i)(12).
---------------------------------------------------------------------------

4. Entities That Will Not Be Required To Report Information
    As previously explained, the FAA interprets the PRD Act requires
the following employers of pilots to report information about those
pilots: Part 119 certificate holders, 91K fractional ownership
programs, persons authorized to conduct air tour operations in
accordance with Sec.  91.147, persons operating a corporate flight
department, covered governmental entities conducting public aircraft
operations and employing pilots, and trustees in bankruptcy. The FAA
does not interpret the PRD Act to require the following entities to
report information to the PRD:

 Part 91: Aerial Advertising (Banner Towing), Aerial
Photography Operators, Airshow Performers and Acrobatic Teams, Business
Aviation Operators (other than operators of a fleet of airplanes that
require a type rating under 14 CFR 61.31(a)), Glider Operations,
Pipeline Patrol, Commercial Hot Air Balloon Operators; and charitable
sightseers under 14 CFR 91.147(k)
 Part 129: Foreign Air Carriers
 Part 133: External Load Operators
 Part 137: Agriculture Operators
 Aircraft and Equipment Manufacturers
 Living History Flight Experience Exemption Holders

    Most of these entities have historically not been subject to
recordkeeping requirements, or operating rules and limitations
comparable to air carriers.
    The operators listed in the preceding paragraph represent those
that would be

unlikely to generate useful records for a hiring air carrier. For
example, not many of their records would be subject to PRD reporting;
this would create an unnecessary burden on these operators to
participate in PRD reporting. In addition, even if they have records,
those records would be of limited value to hiring employers. In the
FAA's experience, most pilots whom these operators employ are unlikely
to advance to employment with an air carrier. If they did want to
eventually work for an air carrier, however, the FAA's experience shows
that they will, over the course of their careers, progress to
employment with another ``gateway'' operator required to enter records
into the PRD, before becoming eligible to seek employment with an air
carrier. Additionally, the entities excluded from the requirements to
enter data offer stark differences from the part 121 air carrier
environment. Many aircraft owners operate their own aircraft, but some
hire a pilot to fly their aircraft for them. For many of these owners
who also operate their own aircraft, the operation is purely for
pleasure or perhaps in furtherance of a business. While some of these
pilots are trying to acquire flight experience to move into aviation as
a career, many have no intentions of moving into the industry as a
commercial pilot. Since PRD is intended to capture the airman history
for those pilots seeking employment with aviation employers (part 135/
121, for example), these types of operations are not the group targeted
by the statute. Additionally, many pilots performing operations such as
these are operating at the floor of the FAA risk assessment. Thus,
their proficiency and recordkeeping requirements are low. Beyond
passing the practical test (private pilot for example), they are only
required to complete a flight review with an instructor every two
years. This is an informal review, not a practical test, and is
normally only documented as an endorsement in the pilot's logbook if it
was satisfactory. The only consistent data the FAA would obtain as
required records would be flight reviews and perhaps recency of
takeoffs and landings. These sorts of details are routinely evaluated
by the hiring air carrier during the logbook reviews. PRIA and PRD was
designed to make records available to the hiring air carrier which were
historically difficult to obtain. Of all the record sources to be
reviewed by the hiring air carrier, the pilot logbook is the most
accessible and considered a fundamental item reviewed in the hiring
process.
    Under this proposal, foreign air carriers are excluded from the
reporting requirements. The FAA assumes that Congress intended the PRD
requirements to apply only to U.S. citizens because it used the term
``air carrier'', which is defined in 49 U.S.C. 40102 and includes a
U.S. citizenship requirement. The agency further assumes that ``or
other person'' also applies only to U.S. citizens because, if Congress
had intended for the reporting requirement to apply to non-citizens, it
would have included the term ``foreign air carrier'' which is also
found in 49 U.S.C 40102.
    The FAA invites comments on whether data from excluded entities
would provide information relevant to the evaluation of a pilot
candidate for employment.
5. Other Sources of Pilot Records
    The FAA also considered applying the record reporting requirement
in the proposed rule to training providers and institutions of higher
education. These groups were not addressed by the Act because they do
not actively employ individuals to serve as pilots in civil or public
aircraft operations.
    A review of the sources of air carrier pilots (parts 121 and 135)
by the GAO indicates that the majority of pilots hired by air carriers
accumulated their hours by working as a flight instructor (CFI).\56\
Pilots selected as flight instructors provide training to pilot
applicants for an FAA certificate or rating. Since individuals employed
as flight instructors to provide flight training are not employed for
purposes of operating an aircraft, but for instructing or ``teaching'',
the FAA does not find that the Act contemplates the reporting to the
PRD by training providers. Therefore, the FAA is not proposing to
require compliance by parts 61 or 141 pilot schools or part 142
training centers with part 111.
---------------------------------------------------------------------------

    \56\ United States Government Accountability Office report
titled ``Aviation Workforce: Current and Future Availability of
Airline Pilots,'' p. 23, available at https://www.gao.gov/assets/670/661243.pdf (February 2014).
---------------------------------------------------------------------------

    Similarly, the FAA does not believe the PRD Act extends to
institutions of higher education (where pilots obtain flight training)
because these institutions do not employ individuals to serve as pilots
in commercial operations. As a result, the FAA is not proposing to
require institutions of higher education that hold an LOA from the FAA
to report records to the PRD. Individuals obtaining the training for an
FAA certificate or rating are not employed as pilots but instead are
paying for flight instruction, or paying the instructors or evaluators
employed by the institutes of higher education.

B. FAA Records To Be Reported to the Pilot Records Database

    The PRD Act requires the PRD to contain certain records maintained
by the FAA. The FAA must include records concerning current airman
certificates, associated ratings, and any limitations to the
certificate or ratings. Also, the PRD must contain a pilot's current
medical certificate including any limitations, documentation of a
failed attempt of an individual to pass a practical test required to
obtain a certificate (since August 2010) or type rating under 14 CFR
part 61, and summaries of legal enforcement actions resulting in a
finding by the Administrator that was not subsequently overturned.
    The above records are currently maintained by the FAA in a manner
consistent with the PRIA statute. However, since the implementation of
PRIA, the FAA has received many inquiries from air carriers on how to
obtain additional FAA information such as accident and incident
information and other drug and alcohol test records.\57\ The FAA also
received recommendations from the DOT OIG on any additional information
that should be provided to an air carrier through a PRIA request.\58\
The FAA proposes in Sec.  111.140 to include the previously-mentioned
records in the PRD, as well as FAA accident and incident information
and certain drug and alcohol testing records. The additional
information, including FAA records as identified in Sec.  111.140,
would provide a holistic historical record of a pilot, when combined
with the records proposed to be reported to the PRD by air carriers and
operators that previously employed the individual as a pilot. These
records are described in greater detail in the text that follows.
---------------------------------------------------------------------------

    \57\ The FAA receives on average 177,533 airmen requests for
records from air carriers per year via the FOIA. This average was
deviated from requests accumulated from 2009-2014.
    \58\ The final report was published on August 20, 2015. https://www.oig.dot.gov/sites/default/files/FAA%20Pilot%20Records%20Database%20Progress%20Final%20Report%5E8-20-15.pdf. Specifically, the DOT OIG recommended that as part of the
FAA response to a request for records, the FAA should incorporate a
written notification to air carriers that additional records may be
available through FOIA and Privacy Act requests.
---------------------------------------------------------------------------

    For the appropriate FAA records to be contained in the PRD, the
proof-of-concept system included several interfaces with current FAA
systems: The Comprehensive Airmen Information System, Enforcement
Information System, and Accident/

Incident Data System. Additionally, the FAA would enter certain records
related to drug and alcohol testing into the PRD. Any error discovered
in FAA data must be addressed by the Flight Standards District Office
or the Drug Abatement Division that originated the record. Any changes
to the source record would be reflected in the PRD.
1. Comprehensive Airmen Information System
    The Comprehensive Airman Information System (CAIS) contains key
information derived from airman certificate applications, temporary
airman certificates, notices of disapprovals, disapproved applications,
enforcement actions, correspondence, requests for replacement
certificates, letters of verification of authenticity, and other
information that supports the issuance of airman certificates. To
ensure that the PRD contains the most accurate FAA certificate
information on pilots, CAIS certificate data would be provided to the
PRD on a nightly basis. Providing CAIS data directly responds to the
PRD Act mandate to include this information in the PRD.
    CAIS would provide the PRD with the most recent date of a medical
exam, medical class, and medical limitations (if any). The pilot
certificate information that would be provided through the PRD would
include the level of pilot certificate and privileges; associated
ratings such as category, class, and type of aircraft; and, information
on any limitations to those certificates and ratings. The date of
issuance of the individual's pilot certificate and the certificate
number would also be reported to the PRD from CAIS.
    The verification of an individual's current qualifications would be
helpful in preventing falsification, which would limit the possibility
of an operator hiring an individual who does not meet the requirements
for a particular operation. This verification will be particularly
helpful to air carriers that receive a high volume of pilot
applications. However, verifying an individual's current qualifications
would not provide an air carrier or operator with sufficient
information alone. The individual's qualifications, historical pilot
certificate action, and previous operator's records are also necessary
to provide an accurate history.
2. Enforcement Information System
    Consistent with the PRD Act and the FAA's implementation of PRIA,
the FAA is proposing to include information on an individual's closed
enforcement actions.\59\ The enforcement action information would be
uploaded to the PRD at regularly scheduled intervals via an interface
with the FAA's internal Enforcement Information System (EIS). The EIS
contains information about individuals, investigations, legal counsel
information, and FAA surveillance activity, all related to enforcement.
The EIS receives all enforcement and compliance data directly from FAA
Aviation Safety Inspectors and FAA legal counsel. The FAA assigns a
data steward for each component of the EIS--the person who is
responsible for reviewing data integrity and accuracy and applying
retention and data quality procedures. This information is maintained
in accordance with Federal guidelines, and when applicable, the FAA
maintains a policy that addresses data retention and destruction within
the EIS.
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    \59\ The PRD Act specifically requires summaries of legal
enforcement actions resulting in a finding by the Administrator that
was not subsequently overturned.
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a. Summaries of Legal Enforcement Actions
    The FAA proposes to allow an air carrier access information from
the EIS about closed enforcement actions on an individual through the
PRD for the purpose of evaluating a pilot-applicant's record. If an
individual has a record or multiple records in the EIS, an air carrier
will be able to review the following information from a closed
enforcement record: The FAA's report number, violation date, final
action date, description of the subject's violation (including
regulation and regulation description that was indicated in the
enforcement), and the final sanction imposed on the subject with the
corresponding certificate number.
    The FAA does not propose to allow access to information regarding a
pending case or event that was self-disclosed by an individual through
a voluntary safety reporting program such as an Aviation Safety Action
Program (ASAP). No ASAP record would be released through the PRD as
described in Section E of this document, titled Exclusion of Voluntary
Aviation Safety Program Records.
b. Expunction of Legal Enforcement Actions and Airman Records
    In accordance with long-standing FAA policy, many historical airman
and enforcement records have been expunged.\60\ The policy provides
that, generally, records of legal enforcement actions involving
suspension of an airman certificate or a civil penalty against an
individual be maintained by the FAA for five years before being
expunged. Records are not expunged if, at the time expunction is due,
one or more other legal enforcement actions are pending against the
same individual. The outcome of the most recent legal enforcement
action determines when the older action will be expunged (e.g., if a
pilot's certificate was suspended in May 2000, but received another
suspension in March 2005, both actions would be expunged in March 2010,
if no other enforcement actions were brought against the individual
through March 2010). Actions resulting in revocations are never
expunged.
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    \60\ The FAA adopted a policy to expunge records of certain
closed legal enforcement actions against individuals. This policy
applies to both airman certificate holders and other individuals,
such as passengers. FAA Enforcement Records; Expunction Policy. 56
FR 55788. (Oct. 29, 1991). A copy of this policy has been placed in
the docket for this proposed rulemaking.
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    Following the enactment of the PRD Act, the FAA examined whether
the expunction of certain enforcement actions could continue in light
of the data collection, data retention, and FOIA protection
requirements of the PRD. Under existing policy, the FAA expunges an
enforcement record in EIS, only the information identifying the subject
of the enforcement action is deleted (name, address, certificate
number, etc.); however, the PRD Act obliges the FAA to ``maintain all
records entered into the [PRD] pertaining to an individual until the
date of receipt of notification that the individual is deceased.'' As
FAA records are part of the ``records entered into the [PRD] pertaining
to an individual,'' the FAA interpreted the PRD to require that a
pilot's records could not be expunged until the FAA has received notice
of an individual's death. Accordingly, the FAA published a notice (76
FR 7893, February 11, 2011) temporarily suspending its expunction
policy.\61\
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    \61\ However, the FAA has continued to expunge legal enforcement
cases closed with no violation found and administrative actions as
the PRD statute does not require the entry of these records into the
PRD.
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    The FAA's interpretation notwithstanding, the PRD ARC expressed
concern that provisions of the PRD Act conflict with the Privacy Act
requirements to maintain correct, accurate, relevant, and timely
individual pilot records. The PRD ARC believed that because the records
in the PRD are to be maintained solely for the purpose of assisting an
air carrier in making a hiring decision, the requirement to maintain
enforcement actions should not impact the

previously established record-retention and expunction policies
regarding FAA enforcement records. As a result, the ARC recommended
that the FAA reinstate the 5-year expunction policy or, in the
alternative, expunge records from all FAA databases other than PRD
after five years.
    The FAA does not believe the ARC recommendation is consistent with
the statutory requirement that the FAA maintain the records in the PRD
for the life of the pilot. Therefore, the FAA is proposing to maintain
its current suspension of the expunction policy that includes all
relevant EIS records, as well as CAIS and Accident/Incident Data System
(AIDS) records, in the PRD for the life of a pilot.
3. Accident/Incident Data System
    The FAA proposes to include information from the Accident/Incident
Data System (AIDS) to air carriers through the PRD. AIDS contains
records of aircraft accidents and incidents occurring in the United
States and those involving U.S.-registered aircraft outside of the
United States. The information maintained in AIDS is not specifically
referenced in the PRD Act but is available today to an air carrier via
a Privacy Act (PA) request with the pilot's written consent. An air
carrier may obtain a pilot's history of accidents and/or incidents, if
any exist, upon request. The information obtained from a PA request
responds to a standard question on air carriers, operators, state
governments, and Federal government applications for employment.
    The FAA proposes to include information from the AIDS in the PRD to
streamline the request process for information that could assist in
making a hiring decision. The FAA believes this data would permit an
air carrier to receive important information on an individual pilot's
history in a way that is more efficient for industry and the FAA
because the air carriers would no longer have to submit privacy act
requests in addition to conducting an evaluation with the data in the
PRD. Furthermore, including the information from AIDS would facilitate
the automated processing of PA requests for information, and permitting
the FAA to utilize its resources more efficiently.
4. Drug and Alcohol Records To Be Entered by the FAA
a. Pre-Employment Testing Records
    The PRD Act requires air carriers and operators that seek to employ
pilots to enter certain drug and alcohol records into the PRD for
individuals employed as pilots. However, in the event that a violation
occurs during a pre-employment test \62\ and the air carrier does not
hire the potential employee, the air carrier would not be able to enter
those records and the FAA would have to enter them instead.
    In accordance with FAA regulations for Drug and Alcohol testing, 14
CFR part 120, employers or their Medical Review Officer (MRO) are
required to report to the Federal Air Surgeon any pilot or individual
holding a part 67 medical certificate that violates the drug and
alcohol testing requirements, including a pre-employment test. The FAA
proposes to submit to the PRD those records of pre-employment drug or
alcohol violations and refusals to submit to testing that are required
to be submitted to the FAA by air carriers and other employers or their
MRO. The inclusion of these records is significant because a violation
of this type would render the individual unqualified to perform as a
pilot. As a result, these records are directly relevant to an air
carrier's hiring decision.
    This is also true if the violation occurs while the pilot is acting
in a safety-sensitive position while employed by an employer regulated
by another operating administration of DOT. Title 49, Code of Federal
Regulations section 40.25 requires review of whether applicants had a
previous positive result or refusal at another DOT mode. Consistent
with the PRD Act's requirement to include records that ``[pertain] to
the individual's performance as a pilot . . .'' the FAA Drug Abatement
Division, Special Investigations Branch will enter into PRD those
records maintained by the FAA that show a positive drug and/or alcohol
violation from an employer regulated by DOT. Under the provisions of 14
CFR part 120 and 49 CFR part 40, a future employer is prohibited from
using those individuals in a safety-sensitive position until the
return-to-duty process is completed.
    Any drug and alcohol testing records created for an individual
prior to the ``PRD Date of Hire'' (i.e., pre-employment drug and
alcohol testing, or refusal) would be entered into PRD by the FAA.
Specifically, the dates of pre-employment verified positive drug test
results and alcohol confirmation test results of 0.04 or greater, and
refusals to submit to drug and/or alcohol testing are important to
include into PRD because this information enables a hiring air carrier
to determine if a pilot is qualified.
5. Part 107 Remote Pilot in Command Certificates
    The PRD Act requires all air carriers to request and review records
prior to allowing an individual to begin service as a pilot. The PRD
Act applies to air carrier pilots irrespective of the type of aircraft
they operate. As a result, the Act's requirements apply to pilots of
unmanned aircraft systems (UAS) when those UAS are used in air carrier
operations.
    The FAA expects that in the future, air carriers and other
operators that primarily operate sUAS might hire pilots with remote
pilot in command certificates,\63\ in combination with other FAA
approvals, to serve as pilots-in-command of their sUAS. These
certificates would be populated in the Pilot Records Database by the
FAA for verification by a potential employer. The FAA expects air
carriers and other operators that utilize UAS to comply with the
regulations proposed herein when hiring pilots for such operations.
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    \63\ Under 14 CFR part 107, which governs civil small unmanned
aircraft system (sUAS) operations, the person manipulating the
controls of a sUAS is issued a remote pilot certificate with an sUAS
rating.

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C. Reporting Requirements of Historical Records Maintained by Air
Carriers and Operators Employing Pilots

    The PRD Act's requirements for reporting historical records to the
PRD are twofold. First, the PRD Act requires employers (including air
carriers and other covered employers) to report records generated after
August 1, 2010. Second, air carriers (but not other covered employers)
must report the records they are maintaining pursuant to Sec.
44703(h)(4) of PRIA, which includes records generated on August 1, 2005
and later. Therefore, the FAA proposes to require air carriers
authorized to conduct operations in accordance with parts 121 and 135
to provide records (also referred to as historical records) on each
individual employed as a pilot since August 1, 2005, to the PRD. Other
non-air carrier employers of pilots subject to the reporting
requirements in this proposed rule would be required to report the
records they generated as of August 1, 2010 for inclusion in the PRD.
This requirement is not tied to PRIA, rather, it is a PRD-specific
requirement, and is applicable to operators authorized to conduct
operations in accordance with parts 125 and 135, as well as part 91K
fractional ownerships.
    The FAA does not propose to require air tour operators, corporate
flight departments, and governmental entities conducting public
aircraft operations to report historical information to the PRD. The
historical records they would able to provide to the PRD would likely
be inconsistent, particularly because any records they keep to document
compliance with training requirements are not kept in accordance with a
requirement from a specific regulatory part such as part 121, 135, or
125. In contrast, prospective records would conform to the reporting
requirements in this rule. The burden for these small operators to
input the minimal information they have would likely not be justified
by any specific benefit these historical records would provide.
Operators may upload any records they have on a voluntary basis.
    The PRD Act requires that air carriers maintain certain records
received from other employers in response to a PRIA request. For
purposes of populating historical records into the PRD, the FAA
proposes to require that air carriers submit their own historical
documents which were generated in response to a PRIA request, but not
those received from other employers via a PRIA request.
    The FAA is interpreting the records referred to in subsection
(h)(4) as those documents generated by an air carrier in response to a
PRIA request, as opposed to those records received from another air
carrier. As each air carrier and operator would be required to input
its own historical records into PRD, an air carrier or other operator
would not be required to enter records that it had received from
another air carrier under PRIA. The FAA believes that this provides the