Between 1987 and 1994, errors by pilots whose backgrounds had not been checked prior to hiring were identified as contributing factors in seven crashes of scheduled carriers involving 111 fatalities. The National Transportation Safety Board (NTSB), which investigated these crashes, found that each of the pilots involved had been hired despite a poor performance history, prior safety violations, or both. In each case, NTSB reported, the carrier had lacked access to, or had failed to obtain, the pilot’s records with previous employers before hiring. Accordingly, on four separate occasions between September 1988 and October 1995, NTSB recommended that carriers obtain information from the Federal Aviation Administration (FAA) and previous employers on a pilot’s training, performance, and safety history before hiring. NTSB later also recommended that information about the pilot’s driving record be checked with the National Driver Register (NDR). In June 1988, we likewise recommended, after surveying carriers’ pilot-hiring practices, that FAA encourage carriers to review a pilot’s safety history before making a hiring decision. On October 9, 1996, Congress enacted the Pilot Records Improvement Act (PRIA) to help ensure that fatal crashes would not again occur because, in part, carriers had not investigated the backgrounds of the pilots they hired. The act, which took effect on February 6, 1997, requires that air carriers conduct background checks on all pilot applicants. The vast majority of commercial carriers carrying paying passengers or transporting cargo are classified as air carriers because these carriers meet specific statutory requirements that are discussed in more detail later in this chapter. These carriers are, therefore, subject to the act. Besides requiring that carriers obtain key records from FAA, past or current employers for whom the applicant worked as a pilot, and NDR, PRIA includes provisions to protect pilots’ rights and to protect those furnishing records from liability for providing the information. PRIA also gives FAA responsibility for overseeing compliance with the act, by stating that FAA may prescribe regulations as necessary to ensure compliance with the requesting and receiving of pilot records, protect the personal privacy of anyone whose records are requested as well as the confidentiality of those records, and preclude further dissemination of those records by the person requesting them. Furthermore, as the agency responsible for aviation safety, FAA has a broader responsibility to promote the safe flight of civil aircraft in air commerce by prescribing regulations and minimum standards for the aviation industry. To carry out this responsibility, FAA issues regulations and develops guidance. FAA also performs inspections to ensure compliance with federal statutes and regulations and has the authority to take enforcement actions against violators. Specifically, FAA regulates and monitors the safety of air transportation and air commerce through its safety programs, which provide the initial certification, periodic surveillance, and inspection of airlines, airports, repair stations, and other aviation entities, including pilots. These inspections are intended to primarily detect actual violations of statutes or regulations. When safety inspectors identify violations, FAA guidance requires that such violations be investigated, appropriately addressed, and reported. The Chairman and Ranking Democratic Member of the Subcommittee on Aviation, House Committee on Transportation and Infrastructure, asked us to review the status of PRIA since its enactment in October 1996. Specifically, they asked us to determine the following: whether (1) hiring air carriers have complied with the act by requesting and receiving key documents about pilot applicants before making final hiring decisions and (2) FAA, NDR, and other carriers have complied with the act by providing these documents in a timely manner; whether air carriers are aware of PRIA’s requirements for protecting what FAA has done to oversee compliance with the act; and whether air carriers believe PRIA has been helpful to them in making pilot-hiring decisions and is worth the cost. Until recently, pilot hiring was expected to keep pace over the next decade with projected growth in air traffic and anticipated pilot retirements. With the economic downturn in 2001 and the September 11, 2001, terrorist attacks, however, the demand for air travel declined. As a result of the September 11 attacks, concerns about aviation safety and security are likely to remain central, and pilot background checks, such as those required by PRIA, may assume even greater importance. PRIA requires that air carriers conduct background checks on a pilot job applicant. Specifically, PRIA requires them to request, from FAA, previous air carrier and other employers, and NDR, and review information about the applicant’s qualifications, performance, and training over the past 5 years. This information is to be provided within 30 days, and a reasonable fee may be charged to the requesting carrier for the service. Table 1 identifies the information required from each source. PRIA’s definition of an air carrier is based on several statutes. An air carrier subject to PRIA is operated by a U.S. citizen who directly or indirectly provides air provides interstate air transportation—that is, transports passengers or property across state lines by aircraft as a common carrier for compensation, or transports mail by aircraft; and operates as a common carrier—that is, advertises to the public to carry persons, property, or mail for hire. To operate as an air carrier, a carrier must have an air carrier certificate issued by FAA under Part 119 of Title 14 of the Code of Federal Regulations (CFR). FAA issues a number of operating certificates under various parts of the CFR. FAA may require an aviation operator to have several of these certificates, depending on the number of passengers carried, the weight of the aircraft, and whether the aircraft is used to fly out of state or carry mail. For example, Part 121 certificates are generally issued to major carriers who operate turbojet-powered airplanes or airplanes with more than nine passenger seats, excluding crew members’ seats, or airplanes having a payload capacity of more than 7,500 pounds. Part 135 certificates are generally issued to small carriers operating other than turbojet-powered airplanes having no more than nine passenger seats and a payload capacity of 7,500 pounds or less. The criteria for issuing certificates under Parts 121 and 135 have changed since the late 1980s and early 1990s, when the seven fatal accidents that led to PRIA’s enactment occurred. At that time, all seven carriers operated under Part 135 certificates; however, under the new criteria, all of these carriers would operate under Part 121 certificates. As of April 13, 2001, FAA had identified 3,059 operators with active certificates to operate under Parts 121 and 135 or with dual certificates to operate under both. The vast majority of these operators are air carriers and thus are subject to PRIA. (See table 2.) PRIA includes several provisions to protect the privacy of a pilot’s records during the hiring process and indicates how a pilot can obtain and comment on the records contained in PRIA files. First, PRIA specifies that, generally, only information covering a 5-year period preceding the date of the employment application or the date of the request is to be forwarded to the hiring air carrier. Second, to help ensure that a pilot’s records are not requested without permission, a carrier must obtain the pilot’s written consent before requesting the release of records from FAA, NDR, and current or former employers. PRIA also includes provisions to protect air carriers from liability for providing a pilot’s records and requires that they not provide records without first ensuring that the pilot’s consent has been obtained. Finally, PRIA limits access to a pilot’s records to those individuals directly involved in the hiring process and restricts the use of those records to assessing the pilot’s qualifications as part of making a hiring decision. To further protect a pilot’s privacy, a carrier must protect the confidentiality of these records. PRIA also provides a pilot with access to his/her PRIA records. Whenever a request is received, a carrier, employer, or agency has 20 days to notify the pilot of the request and of the pilot’s right to receive a copy of the PRIA file. If requested in writing by a pilot, a copy of the PRIA file must be provided within 30 days of the pilot’s request. Under PRIA, a pilot has the right to submit written comments to correct inaccuracies in the records before a final hiring decision is made. To further protect the rights of pilots under PRIA, FAA may prescribe such regulations as may be necessary to protect the personal privacy of any pilots whose records are requested, preclude the further dissemination of records received, and ensure prompt compliance with requests for PRIA records. PRIA required FAA to provide a written report to Congress on the act’s implementation 18 months after the act was passed and at least once every 3 years thereafter on proposed changes to FAA’s records, carriers’ records, and other employers’ records. If FAA does not recommend changes to PRIA, the act also requires the agency to give reasons for its position. FAA provided Congress with two reports that were issued in October 2000 and April 2002. Neither report recommends any change to (1) the agency’s current system of collecting and maintaining certificate records on airmen or on legal enforcement actions and (2) air carrier and other records required to be furnished under PRIA. FAA did not recommend any change because it thought that the existing records and system were effective and met PRIA’s requirements. PRIA also required FAA to conduct three studies related to carriers’ procedures for hiring pilots—two jointly with representatives of the aviation industry. The three studies that FAA transmitted to Congress recommended additional research on, rather than changes to, carriers’ pilot-hiring practices, but FAA has not yet begun any of the recommended research. According to officials in the Air Transportation Division, FAA has not pursued any of the proposed research because it has not yet heard whether Congress agrees with the studies’ findings. To clarify some of PRIA’s requirements and to lessen the act’s burden on smaller carriers, Congress passed amendments in December 1997 and April 2000 that narrowed and clarified PRIA’s scope and provided some relief in areas that had proven burdensome to some carriers.