[House Report 104-684]
[From the U.S. Government Publishing Office]
104th Congress Report
HOUSE OF REPRESENTATIVES
2d Session 104-684
_______________________________________________________________________
AIRLINE PILOT HIRING AND SAFETY ACT OF 1996
_______
July 17, 1996.--Committed to the Committee of the Whole House on the
State of the Union and ordered to be printed
_______
Mr. Shuster, from the Committee on Transportation and Infrastructure,
submitted the following
R E P O R T
[To accompany H.R. 3536]
[Including cost estimate of the Congressional Budget Office]
The Committee on Transportation and Infrastructure, to whom
was referred the bill (H.R. 3536) to amend title 49, United
States Code, to require an air carrier to request and receive
certain records before allowing an individual to begin service
as a pilot, and for other purposes, having considered the same,
report favorably thereon with an amendment and recommend that
the bill as amended do pass.
The amendment is as follows:
Strike out all after the enacting clause and insert in lieu
thereof the following:
SECTION 1. SHORT TITLE.
This Act may be cited as the ``Airline Pilot Hiring and Safety Act of
1996''.
SEC. 2. EMPLOYMENT INVESTIGATIONS OF PILOTS.
(a) In General.--Chapter 447 of title 49, United States Code, is
amended by redesignating section 44723 as section 44724 and by
inserting after section 44722 the following:
``Sec. 44723. Preemployment review of prospective pilot records
``(a) Pilot Records.--
``(1) In general.--Before allowing an individual to begin
service as a pilot, an air carrier shall request and receive
the following information:
``(A) FAA records.--From the Administrator of the
Federal Aviation Administration, information pertaining
to the individual that is maintained by the
Administrator concerning--
``(i) current airman certificates (including
airman medical certificates) and associated
type ratings, including any limitations
thereon; and
``(ii) summaries of legal enforcement actions
which have resulted in a finding by the
Administrator of a violation of this title or a
regulation prescribed or order issued under
this title and which have not been subsequently
overturned.
``(B) Air carrier records.--From any air carrier (or
the trustee in bankruptcy for the air carrier) that has
employed the individual at any time during the 5-year
period preceding the date of the employment application
of the individual--
``(i) records pertaining to the individual
that are maintained by an air carrier (other
than records relating to flight time, duty
time, or rest time) under regulations set forth
in--
``(I) section 121.683 of title 14,
Code of Federal Regulations;
``(II) paragraph (A) of section VI,
appendix I, part 121 of such title;
``(III) paragraph (A) of section IV,
appendix J, part 121 of such title;
``(IV) section 125.401 of such title;
and
``(V) section 135.63(a)(4) of such
title; and
``(ii) other records pertaining to the
individual that are maintained by the air
carrier concerning--
``(I) the training, qualifications,
proficiency, or professional competence
of the individual, including comments
and evaluations made by a check airman
designated in accordance with section
121.411, 125.295, or 135.337 of such
title;
``(II) any disciplinary action
relating to the training,
qualifications, proficiency, or
professional competence of the
individual which was taken by the air
carrier with respect to the individual
and which was not subsequently
overturned by the air carrier; and
``(III) any release from employment
or resignation, termination, or
disqualification with respect to
employment.
``(C) National driver register records.--From the
chief driver licensing official of a State, information
concerning the motor vehicle driving record of the
individual in accordance with section 30305(b)(7) of
this title.
``(2) 5-year reporting period.--A person is not required to
furnish a record in response to a request made under paragraph
(1) if the record was entered more than 5 years before the date
of the request, unless the information is about a revocation or
suspension of an airman certificate or motor vehicle license
that is still in effect on the date of the request.
``(3) Requirement to maintain records.--The Administrator and
each air carrier (or the trustee in bankruptcy for the air
carrier) shall maintain pilot records described in paragraph
(1) for a period of at least 5 years.
``(4) Written consent for release.--Neither the Administrator
nor any air carrier may furnish a record in response to a
request made under paragraph (1) (A) or (B) without first
obtaining the written consent of the individual whose records
are being requested.
``(5) Deadline for provision of information.--A person who
receives a day following the date of receipt of the request (or
on or before the 30th day following the date of obtaining the
written consent of the individual in the case of a request
under paragraph (1) (A) or (B)), all of the records maintained
by the person that have been requested.
``(6) Right to receive notice and copy of any record
furnished.--A person who receives a request for records under
paragraph (1) shall provide to the individual whose records
have been requested--
``(A) on or before the 20th day following the date of
receipt of the request, written notice of the request
and of the individual's right to receive a copy of such
records; and
``(B) in accordance with paragraph (9), a copy of
such records, if requested by the individual.
``(7) Reasonable charges for processing requests and
furnishing copies.--A person who receives a request for records
under paragraph (1) or (9) may establish a reasonable charge
for the cost of processing the request and furnishing copies of
the requested records.
``(8) Right to correct inaccuracies.--An air carrier that
receives the records of an individual under paragraph (1)(B)
shall provide the individual with a reasonable opportunity to
submit written comments to correct any inaccuracies contained
in the records before making a final hiring decision with
respect to the individual.
``(9) Right of pilot to review certain records.--
Notwithstanding any other provision of a law or agreement, an
air carrier shall, upon written request from a pilot employed
by such carrier, make available, within a reasonable time of
the request, to the pilot for review any and all employment
records referred to in paragraph (1)(B) pertaining to the
pilot's employment.
``(10) Privacy protections.--
``(A) Use of records.--An air carrier or employee of
an air carrier that receives the records of an
individual under paragraph (1) may use such records
only to assess the qualifications of the individual in
deciding whether or not to hire the individual as a
pilot.
``(B) Required actions.--Subject to subsection (c),
the air carrier or employee of an air carrier shall
take such actions as may be necessary to protect the
privacy of the pilot and the confidentiality of the
records, including ensuring that the information
contained in the records is not divulged to any
individual that is not directly involved in the hiring
decision.
``(C) Individuals not hired.--If the individual is
not hired, the air carrier shall destroy or return the
records of the individual received under paragraph (1);
except that the air carrier may retain any records
needed to defend its decisions not to hire the
individual.
``(11) Standard forms.--The Administrator may promulgate--
``(A) standard forms which may be used by an air
carrier to request the records of an individual under
paragraph (1); and
``(B) standard forms which may be used by a person
who receives a request for records under paragraph (1)
to obtain the written consent of the individual and to
inform the individual of the request and of the
individual's right to receive a copy of any records
furnished in response to the request.
``(12) Regulations.--The Administrator may prescribe such
regulations as may be necessary--
``(A) to protect the personal privacy of any
individual whose records are requested under paragraph
(1) and to protect the confidentiality of those
records;
``(B) to preclude the further dissemination of
records received under paragraph (1) by the air carrier
who requested them; and
``(C) to ensure prompt compliance with any request
under paragraph (1).
``(b) Limitation on Liability; Preemption of State and Local Law.--
``(1) Limitation on liability.--No action or proceeding may
be brought by or on behalf of an individual who is seeking a
position with an air carrier as a pilot against--
``(A) the air carrier for requesting the individual's
records under subsection (a)(1);
``(B) a person who has complied with such request and
in the case of a request under subsection (a)(1) (A) or
(B) has obtained the written consent of the individual;
``(C) a person who has entered information contained
in the individual's records; or
``(D) an agent or employee of a person described in
subparagraph (A) or (B);
in the nature of an action for defamation, invasion of privacy,
negligence, interference with contract, or otherwise, or under
any Federal, State, or local law with respect to the furnishing
or use of such records in accordance with subsection (a).
``(2) Preemption.--No State or political subdivision thereof
may enact, prescribe, issue, continue in effect, or enforce any
law, regulation, standard, or other provision having the force
and effect of law that prohibits, penalizes, or imposes
liability for furnishing or using records in accordance with
subsection (a).
``(3) Provision of knowingly false information.--Paragraphs
(1) and (2) shall not apply with respect to a person that
furnishes in response to a request made under subsection (a)(1)
information that the person knows is false.
``(c) Limitation on Statutory Construction.--Nothing in this section
shall be construed as precluding the availability of the records of a
pilot in an investigation or other proceeding concerning an accident or
incident conducted by the Secretary, the National Transportation Safety
Board, or a court.''.
(b) Chapter Analysis Amendment.--The analysis for chapter 447 of such
title is amended by striking
``44723. Annual report.''
and inserting
``44723. Preemployment review of prospective pilot records.
``44724. Annual report.''.
(c) Conforming Amendment.--Section 30305(b) of such title is amended
by redesignating paragraph (7) as paragraph (8) and by inserting after
paragraph (6) the following:
``(7) An individual who is employed or seeking employment by an air
carrier as a pilot may request the chief driver licensing official of a
State to provide information about the individual under subsection (a)
of this section to the individual's prospective employer or to the
Secretary of Transportation. Information may not be obtained from the
Register under this paragraph if the information was entered in the
Register more than 5 years before the request, unless the information
is about a revocation or suspension still in effect on the date of the
request.''.
(d) Civil Penalties.--Section 46301 of such title is amended by
inserting ``44723,'' after ``44716,'' in each of subsections (a)(1)(A),
(a)(2)(A), (d)(2), and (f)(1)(A)(i).
(e) Applicability.--The amendments made by this section shall apply
to any air carrier hiring an individual as a pilot on or after the 30th
day after the date of the enactment of this Act.
SEC. 3. RULEMAKING TO ESTABLISH MINIMUM STANDARDS FOR PILOT
QUALIFICATIONS.
Not later than 18 months after the date of the enactment of this Act,
the Administrator of the Federal Aviation Administration shall issue a
notice of a proposed rulemaking to establish--
(1) minimum standards and criteria for preemployment
screening tests measuring the biographical factors (psychomotor
coordination), general intellectual capacity, instrument and
mechanical comprehension, and physical fitness of an applicant
for employment as a pilot by an air carrier; and
(2) minimum standards and criteria for pilot training
facilities which will be licensed by the Administrator and
which will assure that pilots trained at such facilities meet
the preemployment screening standards and criteria described in
paragraph (1).
SEC. 4. SHARING ARMED SERVICES RECORDS.
(a) Study.--The Administrator of the Federal Aviation Administration,
in conjunction with the Secretary of Defense, shall conduct a study to
determine the relevance and appropriateness of requiring the Secretary
of Defense to provide to an air carrier, upon request in connection
with the hiring of an individual as a pilot, records of the individual
concerning the individual's training, qualifications, proficiency,
professional competence, or terms of discharge from the Armed Forces.
(b) Report.--Not later than 1 year after the date of the enactment of
this Act, the Administrator shall transmit to Congress a report on the
results of the study.
SEC. 5. MINIMUM FLIGHT TIME.
(a) Study.--The Administrator of the Federal Aviation Administration
shall conduct a study to determine whether current minimum flight time
requirements applicable to individuals seeking employment as a pilot
with an air carrier are sufficient to ensure public safety.
(b) Report.--Not later than 1 year after the date of the enactment of
this Act, the Administrator shall transmit to Congress a report on the
results of the study.
Background
Since 1987, according to National Transportation Safety
Board (NTSB) investigations, there have been several commercial
airplane crashes attributed to pilot error.
Moreover, in a number of these accidents, employers were
not aware that the pilots had documented histories of poor
performance with their previous airlines.
The NTSB has recommended to the Federal Aviation
Administration (FAA) on three separate occasions, as a result
of crashes, that air carriers by required to conduct
substantive background checks on pilot applicants which would
include verification of personal flight records and examination
on training, performance, and disciplinary records of previous
employers.
In each instance, the FAA indicated that although it agrees
with the intent of the recommendations, it does not believe
that any benefits derived from such regulatory change would
outweigh the costs of promulgating and enforcing the regulatory
change.
The first NTSB recommendation, in 1988, was issued
following a DC-9 takeoff accident at Denver, Colorado. The
investigation revealed that the first officer had been
dismissed by his previous employer because of his unsuccessful
performance after 30 hours of simulator training. This
information was not obtained in the background check performed
for the airline by a contract security company.
The second recommendation, in 1990, was issued to the FAA
as a result of a commuter accident at Molokai, Hawaii. This
investigation revealed that Aloha Island Air did not contact
the captain's previous employers. Although the FAA did not
issue regulations in this instance, Aloha Island Air
implemented a new preemployment screening procedure.
In fact, Aloha Island Air later rejected a captain who
misrepresented his employment record. That captain subsequently
was hired by Scenic Air Tours, which did not check his
background, and he was involved in an accident that prompted a
third NTSB recommendation in 1993.
Similarly, the FAA disagreed with the third recommendation,
contending that it was the responsibility of the airlines to
verify the validity of a pilot's certificates.
On December 13, 1994, American Eagle Flight 3379 from
Greensboro, North Carolina to Raleigh-Durham fell about 4
nautical miles short of the runway while attempting an
instrument controlled landing in poor weather conditions.
Thirteen passengers and the two crew members were fatally
injured.
The pilot in the Raleigh-Durham crash had been forced to
quit by a previous employer because of poor piloting skills.
However, American Eagle hired him just four days later without
knowing of his poor performance.
As a result of this crash, the NTSB again made several
recommendations to the FAA, including the sharing of pilot
performance records among airlines.
According to the NTSB, probable cause of the American Eagle
Flight 3379 accident was pilot error. The NTSB specifically
stated that the causes of this accident were: (1) the captain's
improper assumption that an engine had failed, and (2) the
captain's subsequent failure to follow approved procedures for
engine failure, single-engine approach and go-around, and stall
recovery.
Also contributing to the cause of the accident was the
failure of the airline's management to identify, document,
monitor, and remedy deficiencies in pilot performance and
training.
Need for Legislation
FAA rules (14 CFR 121.683 and 135.63(a)(4)) require an
employer to maintain current records of each pilot showing the
pilot's qualifications, proficiency, and compliance with the
applicable sections of Part 121 and Part 135.
Employers are also required to maintain any records
concerning the release of a pilot for physical or professional
disqualification.
However, the FAA does not require a potential employer to
conduct a pilot/applicant background check. And there are no
FAA requirements to verify flight experience, determine an
applicant's safety history, pilot training and performance in
his or her previous position, or any criminal or driving
history.
While the vast majority of air carriers do obtain the
driving records of prospective pilots, most do not attempt to
obtain pilot performance records.
In 1988, the General Accounting Office surveyed Part 121
and Part 135 carriers and found that many of them did not
verify statements in airmen employment applications. Moreover,
a majority of them did not even verify the validity of the
applicant's airman certificate.
The NTSB completed its own investigation of commuter
airline safety in 1994. Its survey showed that twenty percent
of these carriers may not conduct background checks on
professional references.
Although the FAA has decided to monitor carriers as to
whether they check the validity of airman certificates and use
FAA data bases on enforcement and accident histories, the FAA
has not sought to require a check between airlines. They have
indicated that this would be too costly.
There have now been four fatal accidents in less than ten
years involving pilots with questionable and undiscovered
performance histories. Commercial aircraft accidents are so
rare that to have four in seven years is troubling and
conclusive evidence of a more serious problem.
While the Committee is greatly impressed with the overall
quality of airline pilots in this country, it considers it
important to ensure that airlines are aware of a pilot's
previous performance when hiring that pilot from another
carrier. Ensuring this will help to maintain the high standards
of aviation safety that the public expects and prevent the sort
of accidents described above. It will also help to weed out
those few pilots who undermine the excellent performance and
reputation of the pilot community as a whole.
The Committee believes that the proper solution is for
airlines to maintain and share reasonable information, rather
than establishing a new government system to collect and store
information. Accordingly, the reported bill (H.R. 3536) would
require an airline, before hiring a pilot, to obtain that
pilot's records from the FAA, the National Driver Register, and
the airline that the pilot worked for during the previous 5
years. The records to be obtained are not merely the objective
information on licenses and qualifications but also subjective
evaluations of the applicant's performance as a pilot. The
airline could request and receive the information itself or
hire a third party acting as an agent of the airline to request
and receive the pilot's background information in the same
manner as the airline and with the same rights,
responsibilities, and legal obligations as the airline.
The Committee is aware that airlines, while sympathetic to
the view that pilot performance records should be shared
between carriers, are very concerned about the costs of
potential law suits that could arise from pilots upset about
evaluations in their records. At the same time, the matter of
employee privacy rights, that arises when pilot performance
records as shared, is an important concern.
The Committee understands these concerns and has addressed
both of them in the reported bill.
First, no action or proceeding, in regard to the sharing of
pilot records or the information in those records, may be
brought by or on behalf of an individual who is seeking a
position with an air carrier. An exception to this provision
would apply only if an air carrier knowingly provided false
information with respect to a pilot's record. This exception is
narrowly drawn to allow lawsuits only where the airline
actually lies about the pilot. While similar statutes in other
areas use the phrase ``knows or should have known'', the
reported bill limits the exception to the situation where the
airline actually knew that the information it was transferring
was false. This should protect the airlines from frivolous
lawsuits while preventing an airline from ruining a good
pilot's career because of some manager's personal vendetta.
Second, the sharing of a pilot's records cannot take place
until the air carrier has received the written consent of the
individual whose records are being requested. The pilot has the
right to submit written comments to correct any inaccuracies
contained in the records before the carrier makes a final
hiring decision with respect to that individual. The pilot,
upon written request, must also be afforded the opportunity to
review his or her records in a reasonable time frame.
In addition to addressing the issue of pilot record
sharing, sections 3, 4, and 5 of the reported bill direct
studies in the related areas of minimum pilot qualifications,
minimum flight time, and the sharing of military records.
Although the Federal Aviation Regulations (FAR) establish
minimum eligibility requirements for obtaining pilot
certificates, industry standards have typically exceeded the
FAA's regulatory requirements. However, air carrier hiring
standards fluctuate with cyclical trends in the air
transportation market. Some hiring standards, based on the
qualifications of available pilots, become less stringent as
demand grows.
The Committee recommends that, in preparation for the
issuance of a notice of proposed rule making (NPRM) under
section 3 of the reported bill, the Administrator review the
1993 Report of the Pilot and Aviation Maintenance Technician
Blue Ribbon Panel.
This report, entitled ``Pilots and Aviation Maintenance
Technicians for the Twenty-First Century: An Assessment of
Availability and Quality,'' provides basic research required to
comprehend the scope of the related problems concerning the
qualifications of pilots and pilot training well into the 21st
century.
The rulemaking on preemployment screening and flight
training school standards, as directed by section 3 of the
bill, is necessary to ensure that the commercial pilots who
will be operating sophisticated equipment in the complex
aerospace system of the future will be the best trained and
most qualified aviation personnel in the world.
The pertinent issue is the question of quality and the need
to update the minimum training standards to ensure knowledge of
computers, human factors, instrument and mechanical
comprehension, and physical fitness of an applicant for
employment as a pilot by an air carrier in light of
increasingly sophisticated equipment.
Section 4 of the reported bill also addresses the issue of
sharing military performance records with the civilian aviation
industry.
Most military pilot candidates are carefully screened and
selected. The ability to select the best qualified candidates
for flight training programs further enhances the value of
these pilots for the military and, eventually, the civilian air
carriers.
In the past, military pilots have satisfied between 35 to
85 percent of the civilian air carrier flight crew member
hiring demand.
The Committee understands the importance of the military
trained pilot to the civilian aviation industry. Thus, the
reported bill requires the FAA in conjunction with the
Secretary of Defense to conduct a study to determine the
relevance and appropriateness of requiring the Secretary of
Defense to provide to an air carrier, upon request in
connection with the hiring of an individual as a pilot, records
of the individual concerning the individual's training,
qualifications, proficiency, professional competence, or terms
of discharge from the Armed Forces.
There has also been considerable debate surrounding the
adequacy of the FAA's current minimum flight time requirements
for pilots. FAA rules (14 CFR 61.129) currently require a
minimum of 250 hours of flight time and a proficiency
examination in order to obtain a commercial pilot certificate.
Section 5 of the reported bill directs the FAA to conduct a
study to determine whether current minimum flight time
requirements applicable to individuals seeking employment as a
pilot with an air carrier are sufficient to ensure public
safety.
Section-By-Section Summary
Section 1.--Short Title
This section provides that the Act may be cited as the
``Airline Pilot Hiring and Safety Act of 1996''.
Section 2.--Employment Investigations of Pilots
This section adds a new section 44723 to the chapter on air
safety regulation.
Subsection (a) of section 44723 deals with pilot records.
This subsection would require an airline, before hiring a
pilot, to request the pilot's records. The hiring airline would
be required to request from the FAA, the pilot's license,
medical certificate, type rating, and any enforcement actions
that resulted in a finding against the pilot that has not been
overturned.
In addition, it requires the airline to request records
from the pilot's previous airline employer. These records
include proficiency and route checks, airplane and route
qualifications, training, physical exams, physical or
professional disqualifications, drug tests and alcohol tests.
Airlines would be required to request the motor vehicle
driving records of the pilot from the National Driver Register.
Similar items would be required at contract carriers and at
commuter airlines.
Records that must be furnished are limited to those entered
within 5 years of the date of the request unless the record
involves a license revocation that is still in effect.
The FAA and the airlines would be required to maintain the
relevant records for 5 years. Before any records are released,
the FAA and the airlines must obtain written consent from the
pilot. These records must be provided within 30 days.
The pilot must also be informed within 20 days that his or
her records have been requested and that the pilot has a right
to receive a copy of those records. A reasonable charge may be
imposed by those providing the records on those requesting the
records.
An airline receiving the records must give the pilot a
chance to submit written comments correcting any inaccuracies
in those records. The pilot is also afforded the right to
review his or her records at the current employer.
The privacy of the pilot is protected by limiting the use
of the records received under this section to those involved in
the hiring decision and by requiring that the records be
destroyed or returned when they are no longer needed.
The FAA would be permitted to provide standard forms to
request records, obtain the written consent from pilots, and
inform the pilot of the record request. In addition, this
section would permit the FAA to promulgate rules protecting the
privacy of pilots and ensuring the prompt compliance with a
request for records. However, the provisions of section 44723
go into effect in accordance with subsection (e) even if the
FAA has not issued any of the rules or forms under this
paragraph.
Subsection (b) of section 44723 limits liability and
preempts States and local law. Paragraph (1) prohibits lawsuits
against an airline or its employees for requesting a pilot's
record, complying with such a request, or entering information
into the pilot's record. Paragraph (2) preempts any State or
local government from passing any law which would undermine
this prohibition. However, paragraph (3) provides a limited
exception to the prohibition in paragraph (1) by permitting a
lawsuit or State action if the airline lied about the pilot.
Subsection (c) of section 44723 makes clear that the
privacy protections and other limits in this bill are not meant
to hinder the FAA, NTSB, or a court in their ability to obtain
records in the course of an investigation of an accident. This
section also revises the current law governing the National
Driver Register to conform to this bill.
Subsection (d) makes violations of the record-sharing and
privacy provisions subject to civil penalties.
Subsection (e) makes the above changes applicable to any
airline hiring a pilot 30 days after the date of enactment.
section 3.--rulemaking to establish minimum standards for pilots
qualifications
This section requires the FAA to issue a proposed rule
within 18 months establishing minimum standards for pilot
qualifications.
section 4.--sharing armed services records
This section requires the FAA, together with the Defense
Department, to report within one year on whether military pilot
records should be made available to civilian airlines seeking
to hire that pilot.
section 5.--minimum flight time
This section requires the FAA to conduct a study to
determine whether current minimum flight time requirements for
an individual seeking employment as a pilot with an air carrier
are sufficient. The results of this study must be submitted to
Congress not later than 1 year after the date of enactment.
Hearings and Legislative History
The Subcommittee on Aviation held hearings on the issue of
pilot record sharing on December 13 and 14, 1995. H.R. 3536 was
introduced on May 29, 1996.
On May 30, 1996, the Subcommittee on Aviation reported the
bill, by unanimous voice vote, to the Committee on
Transportation and Infrastructure. On June 6, 1996, the
Committee on Transportation and Infrastructure ordered the bill
reported, with an amendment, by voice vote with a quorum
present.
Committee Oversight Findings and Recommendations
With respect to the requirements of clause 2(l)(3)(A) of
rule XI of the Rules of the House of Representatives, the
Committee's oversight findings and recommendations are
reflected in this report.
Inflationary Impact Statement
Pursuant to clause 2(l)(4) of rule XI of the Rules of the
House of Representatives, the Committee estimates that the
enactment of H.R. 3536 will have no significant inflationary
impact on prices and costs in the operation of the national
economy.
Costs of the Legislation
Clause 7 of rule XIII of the Rules of the House of
Representatives does not apply where a cost estimate and
comparison prepared by the Director of the Congressional Budget
Office under section 403 of the Congressional Budget Act of
1974 has been timely submitted prior to the filing of the
report and is included in the report. Such a cost estimate is
included in this report.
Compliance With House Rule XI
1. With respect to the requirement of clause 2(l)(3)(B) of
rule XI of the Rules of the House of Representatives, and
section 308(a) of the Congressional Budget Act of 1974, the
Committee references the report of the Congressional Budget
Office included below.
2. With respect to the requirement of clause 2(l)(3)(D) of
rule XI of the Rules of the House of Representatives, the
Committee has received no report of oversight findings and
recommendations from the Committee on Government Reform and
Oversight on the subject of H.R. 3536.
3. With respect to the requirement of clause 2(l)(3)(C) of
rule XI of the Rules of the House of Representatives and
section 403 of the Congressional Budget Act of 1974, the
Committee has received the following cost estimate for H.R.
3536 from the Director of the Congressional Budget Office.
U.S. Congress,
Congressional Budget Office,
Washington, DC, July 11, 1996.
Hon. Bud Shuster,
Chairman, Committee on Transportation and Infrastructure, House of
Representatives, Washington, DC.
Dear Mr. Chairman: The Congressional Budget Office has
reviewed H.R. 3536, the Airline Pilot Hiring and Safety Act of
1996, as ordered reported by the House Committee on
Transportation and Infrastructure on June 6, 1996. If enacted,
this bill would require an air carrier to request and receive
certain records before allowing an individual to begin service
as a pilot. CBO estimates that implementing H.R. 3536 would
cost the Federal Aviation Administration (FAA) between $500,000
and $1 million over the next two fiscal years, assuming
appropriation of the necessary funds. Enacting H.R. 3536 could
increase offsetting collections to the FAA as well as
collections of civil penalties, which are federal receipts, but
CBO estimates that any such increases would be negligible.
Nevertheless, pay-as-you-go procedures would apply.
Bill purpose.--H.R. 3536 would amend Title 49 of the U.S.
Code by adding requirements for a preemployment review of
prospective pilots' records. Specifically, the bill would:
Require air carriers to gather records from the
Federal Aviation Administration (FAA), other air
carriers, and state departments of motor vehicles
(DMVs) on prospective pilots;
Provide for reasonable charges by the FAA, air
carriers, and the DMVs to cover the cost of processing
requests and making copies of records;
Allow the FAA to create standard forms for air
carriers and individuals to use to request records, and
to develop regulations to protect privacy and
confidentiality and to ensure compliance, and
Impose civil penalties for violating new hiring
requirements.
The bill also would require the FAA to:
Establish minimum standards and criteria for
preemployment screening tests and pilot training
facilities;
Conduct a study in conjunction with the Department of
Defense (DoD) to determine if DoD pilot records should
be shared with an air carrier, and
Conduct a study to determine if minimum flight-time
requirements are sufficient.
Federal budgetary impact.--Based on information from the
FAA, CBO estimates that the cost of processing requests and
furnishing copies of records as a requirement of this
legislation would be recovered through charges paid by the
requesters. In fiscal year 1995, the FAA received over 2,000
requests for records on 14,647 airmen and received between
$450,000 and $500,000 in offsetting collections for the cost of
processing the requests. The FAA does not believe that the
number of requests would increase significantly as a result of
this bill because many air carriers are already requesting
records, conducting preemployment screening, and following
standards similar to those in H.R. 3536.
Both the development of standard forms and the privacy
regulations would be at the discretion of the Administrator. If
the Administrator chooses to develop standard forms, the cost
would be less than $40,000, and promulgating the regulations to
protect privacy and confidentiality would cost about $175,000.
Based on information from the FAA, CBO estimates that the cost
of conducting a rulemaking proceeding to establish standards
and criteria for preemployment screening tests and pilot
training facilities would be approximately $275,000. The cost
of conducting studies on the sharing of DoD records and minimum
flight-time requirements and publishing the two reports would
be $200,000.
CBO estimates that likelihood of collecting any civil
penalties for violating new hiring requirements is small.
Impact on State, local, and tribal government.--The bill
would require state DMV officials to provide information from
the National Driver Register on an individual's motor vehicle
driving record within 30 days of receiving a request from an
air carrier. The bill would allow the states to charge the air
carriers a reasonable fee for providing the requested records.
H.R. 3536 would also require the DMV officials to, within 20
days, notify the individual in writing of the request and of
their right to receive copies of the records. Because the
National Driver Register program is a voluntary federal
program, these requirements would not constitute mandates as
defined by Public Law 104-4. They would, however, result in
some costs to states. Based on information from Department of
Transportation, state DMVs, and airline industry
representatives, CBO estimates that these additional
administrative costs would be insignificant.
Private-sector impact.--H.R. 3536 would impose new mandates
on air carriers. However, based on information provided by the
FAA and industry representatives, CBO estimates that the net
direct costs of the private-sector mandates identified in the
bill would not exceed the $100 million threshold established in
Public Law 104-4. The bill would require air carriers to obtain
information about a pilot's safety record from the FAA, the
pilot's previous air carrier employer, and the National Driver
Register prior to allowing that individual to begin service as
a pilot. The bill would expand the requirements for types of
recordkeeping, and increase the minimum period for maintaining
pilot records to five years. In addition, an air carrier could
not furnish records in response to a request without first
obtaining the written consent of the individual whose records
are being requested. The bill also would require the FAA to
issue a proposed rule within 18 months establishing minimum
standards for pilot qualifications.
Title 14 of the Code of Federal Regulations establishes the
current mandated level of recordkeeping on pilots by air
carriers. Air carriers are currently not required to share
records when hiring pilots. Although some air carriers now
request such records, industry-wide such requests for records
are not a routine part of the hiring process. In 1995, a total
of 8,814 pilots were hired and the industry projects that over
10,000 pilots will be hired in 1996 and 1997. To accommodate
the requirements of H.R. 3536, additional clerical staff may be
needed by the airlines to handle records administration. This
burden may be somewhat greater for smaller regional air
carriers. Information provided by the air carrier industry
suggests that in total these costs would be well below the
threshold for private-sector mandates.
H.R. 3536 would increase the requirements governing the
types of records maintained to include records of disciplinary
actions and release from employment, and would extend the
required recordkeeping period for some records from six months
or more to five years for all pilot records. Many air carriers
keep records longer than the required periods. In 1995 there
were between 55,000 and 74,000 commercial pilots employed
nationwide. As a result of these additional requirements, air
carriers would require additional storage facilities to house
more records.
Section 4 of the Unfunded Mandates Reform Act of 1995
excludes from the application of that act legislative
provisions that enforce the constitutional rights of
individuals. CBO has determined that the bill's provisions
limiting an individual's right to bring a claim in federal,
state, or local court regarding the furnishing or use of the
required records fit within that exclusion.
The CBO staff contacts are Clare Doherty (for federal
costs), Karen McVey (for the state, local, and tribal impact),
and Dan Lieberman (for the private-sector impact).
Sincerely,
James L. Blum
(For June E. O'Neill, Director).
Changes in Existing Law Made by the Bill, as Reported
In compliance with clause 3 of rule XIII of the Rules of the
House of Representatives, changes in existing law made by the
bill, as reported, are shown as follows (existing law proposed
to be omitted is enclosed in black brackets, new matter is
printed in italic, existing law in which no change is proposed
is shown in roman):
TITLE 49, UNITED STATES CODE
* * * * * * *
SUBTITLE VI--MOTOR VEHICLE AND DRIVER PROGRAMS
* * * * * * *
CHAPTER 303--NATIONAL DRIVER REGISTER
* * * * * * *
Sec. 30305. Access to Register information
(a) * * *
(b) Requests To Obtain Information.--(1) * * *
* * * * * * *
(7) An individual who is employed or seeking employment by an
air carrier as a pilot may request the chief driver licensing
official of a State to provide information about the individual
under subsection (a) of this section to the individual's
prospective employer or to the Secretary of Transportation.
Information may not be obtained from the Register under this
paragraph if the information was entered in the Register more
than 5 years before the request, unless the information is
about a revocation or suspension still in effect on the date of
the request.
[(7)] (8) A request under this subsection shall be made in
the form and way the Secretary of Transportation prescribes by
regulation.
* * * * * * *
SUBTITLE VII--AVIATION PROGRAMS
* * * * * * *
PART A--AIR COMMERCE AND SAFETY
* * * * * * *
SUBPART II--ECONOMIC REGULATION
* * * * * * *
CHAPTER 447--SAFETY REGULATION
Sec.
44701. General requirements.
* * * * * * *
[44723. Annual report.]
44723. Preemployment review of prospective pilot records.
44724. Annual report.
* * * * * * *
Sec. 44723. Preemployment review of prospective pilot records
(a) Pilot Records.--
(1) In general.--Before allowing an individual to
begin service as a pilot, an air carrier shall request
and receive the following information:
(A) FAA records.--From the Administrator of
the Federal Aviation Administration,
information pertaining to the individual that
is maintained by the Administrator concerning--
(i) current airman certificates
(including airman medical certificates)
and associated type ratings, including
any limitations thereon; and
(ii) summaries of legal enforcement
actions which have resulted in a
finding by the Administrator of a
violation of this title or a regulation
prescribed or order issued under this
title and which have not been
subsequently overturned.
(B) Air carrier records.--From any air
carrier (or the trustee in bankruptcy for the
air carrier) that has employed the individual
at any time during the 5-year period preceding
the date of the employment application of the
individual--
(i) records pertaining to the
individual that are maintained by an
air carrier (other than records
relating to flight time, duty time, or
rest time) under regulations set forth
in--
(I) section 121.683 of title
14, Code of Federal
Regulations;
(II) paragraph (A) of section
VI, appendix I, part 121 of
such title;
(III) paragraph (A) of
section IV, appendix J, part
121 of such title;
(IV) section 125.401 of such
title; and
(V) section 135.63(a)(4) of
such title; and
(ii) other records pertaining to the
individual that are maintained by the
air carrier concerning--
(I) the training,
qualifications, proficiency, or
professional competence of the
individual, including comments
and evaluations made by a check
airman designated in accordance
with section 121.411, 125.295,
or 135.337 of such title;
(II) any disciplinary action
relating to the training,
qualifications, proficiency, or
professional competence of the
individual which was taken by
the air carrier with respect to
the individual and which was
not subsequently overturned by
the air carrier; and
(III) any release from
employment or resignation,
termination, or
disqualification with respect
to employment.
(C) National driver register records.--From
the chief driver licensing official of a State,
information concerning the motor vehicle
driving record of the individual in accordance
with section 30305(b)(7) of this title.
(2) 5-year reporting period.--A person is not
required to furnish a record in response to a request
made under paragraph (1) if the record was entered more
than 5 years before the date of the request, unless the
information is about a revocation or suspension of an
airman certificate or motor vehicle license that is
still in effect on the date of the request.
(3) Requirement to maintain records.--The
Administrator and each air carrier (or the trustee in
bankruptcy for the air carrier) shall maintain pilot
records described in paragraph (1) for a period of at
least 5 years.
(4) Written consent for release.--Neither the
Administrator nor any air carrier may furnish a record
in response to a request made under paragraph (1) (A)
or (B) without first obtaining the written consent of
the individual whose records are being requested.
(5) Deadline for provision of information.--A person
who receives a request for records under paragraph (1)
shall furnish, on or before the 30th day following the
date of receipt of the request (or on or before the
30th day following the date of obtaining the written
consent of the individual in the case of a request
under paragraph (1) (A) or (B)), all of the records
maintained by the person that have been requested.
(6) Right to receive notice and copy of any record
furnished.--A person who receives a request for records
under paragraph (1) shall provide to the individual
whose records have been requested--
(A) on or before the 20th day following the
date of receipt of the request, written notice
of the request and of the individual's right to
receive a copy of such records; and
(B) in accordance with paragraph (9), a copy
of such records, if requested by the
individual.
(7) Reasonable charges for processing requests and
furnishing copies.--A person who receives a request for
records under paragraph (1) or (9) may establish a
reasonable charge for the cost of processing the
request and furnishing copies of the requested records.
(8) Right to correct inaccuracies.--An air carrier
that receives the records of an individual under
paragraph (1)(B) shall provide the individual with a
reasonable opportunity to submit written comments to
correct any inaccuracies contained in the records
before making a final hiring decision with respect to
the individual.
(9) Right of pilot to review certain records.--
Notwithstanding any other provision of a law or
agreement, an air carrier shall, upon written request
from a pilot employed by such carrier, make available,
within a reasonable time of the request, to the pilot
for review any and all employment records referred to
in paragraph (1)(B) pertaining to the pilot's
employment.
(10) Privacy protections.--
(A) Use of records.--An air carrier or
employee of an air carrier that receives the
records of an individual under paragraph (1)
may use such records only to assess the
qualifications of the individual in deciding
whether or not to hire the individual as a
pilot.
(B) Required actions.--Subject to subsection
(c), the air carrier or employee of an air
carrier shall take such actions as may be
necessary to protect the privacy of the pilot
and the confidentiality of the records,
including ensuring that the information
contained in the records is not divulged to any
individual that is not directly involved in the
hiring decision.
(C) Individuals not hired.--If the individual
is not hired, the air carrier shall destroy or
return the records of the individual received
under paragraph (1); except that the air
carrier may retain any records needed to defend
its decisions not to hire the individual.
(11) Standard forms.--The Administrator may
promulgate--
(A) standard forms which may be used by an
air carrier to request the records of an
individual under paragraph (1); and
(B) standard forms which may be used by a
person who receives a request for records under
paragraph (1) to obtain the written consent of
the individual and to inform the individual of
the request and of the individual's right to
receive a copy of any records furnished in
response to the request.
(12) Regulations.--The Administrator may prescribe
such regulations as may be necessary--
(A) to protect the personal privacy of any
individual whose records are requested under
paragraph (1) and to protect the
confidentiality of those records;
(B) to preclude the further dissemination of
records received under paragraph (1) by the air
carrier who requested them; and
(C) to ensure prompt compliance with any
request under paragraph (1).
(b) Limitation on Liability; Preemption of State and Local
Law.--
(1) Limitation on liability.--No action or proceeding
may be brought by or on behalf of an individual who is
seeking a position with an air carrier as a pilot
against--
(A) the air carrier for requesting the
individual's records under subsection (a)(1);
(B) a person who has complied with such
request and in the case of a request under
subsection (a)(1) (A) or (B) has obtained the
written consent of the individual;
(C) a person who has entered information
contained in the individual's records; or
(D) an agent or employee of a person
described in subparagraph (A) or (B);
in the nature of an action for defamation, invasion of
privacy, negligence, interference with contract, or
otherwise, or under any Federal, State, or local law
with respect to the furnishing or use of such records
in accordance with subsection (a).
(2) Preemption.--No State or political subdivision
thereof may enact, prescribe, issue, continue in
effect, or enforce any law, regulation, standard, or
other provision having the force and effect of law that
prohibits, penalizes, or imposes liability for
furnishing or using records in accordance with
subsection (a).
(3) Provision of knowingly false information.--
Paragraphs (1) and (2) shall not apply with respect to
a person that furnishes in response to a request made
under subsection (a)(1) information that the person
knows is false.
(c) Limitation on Statutory Construction.--Nothing in this
section shall be construed as precluding the availability of
the records of a pilot in an investigation or other proceeding
concerning an accident or incident conducted by the Secretary,
the National Transportation Safety Board, or a court.
[Sec. 44723.] Sec. 44724. Annual report
Not later than January 1 of each year, the Secretary of
Transportation shall submit to Congress a comprehensive report
on the safety enforcement activities of the Federal Aviation
Administration during the fiscal year ending the prior
September 30th. The report shall include--
(1) a comparison of end-of-year staffing levels by
operations, maintenance, and avionics inspector
categories to staffing goals and a statement on how
staffing standards were applied to make allocations
between air carrier and general aviation operations,
maintenance, and avionics inspectors;
(2) schedules showing the range of inspector
experience by various inspector work force categories,
and the number of inspectors in each of the categories
who are considered fully qualified;
(3) schedules showing the number and percentage of
inspectors who have received mandatory training by
individual course, and the number of inspectors by work
force categories, who have received all mandatory
training;
(4) a description of the criteria used to set annual
work programs, an explanation of how these criteria
differ from criteria used in the prior fiscal year and
how the annual work programs ensure compliance with
appropriate regulations and safe operating practices;
(5) a comparison of actual inspections performed
during the fiscal year to the annual work programs by
field location and, for any field location completing
less than 80 percent of its planned number of
inspections, an explanation of why annual work program
plans were not met;
(6) a statement of the adequacy of Administration
internal management controls available to ensure that
field managers comply with Administration policies and
procedures, including those on inspector priorities,
district office coordination, minimum inspection
standards, and inspection followup;
(7) the status of efforts made by the Administration
to update inspector guidance documents and regulations
to include technological, management, and structural
changes taking place in the aviation industry,
including a listing of the backlog of all proposed
regulatory amendments;
(8) a list of the specific operational measures of
effectiveness used to evaluate--
(A) the progress in meeting program
objectives;
(B) the quality of program delivery; and
(C) the nature of emerging safety problems;
(9) a schedule showing the number of civil penalty
cases closed during the 2 prior fiscal years, including
the total initial and final penalties imposed, the
total number of dollars collected, the range of dollar
amounts collected, the average case processing time,
and the range of case processing time;
(10) a schedule showing the number of enforcement
actions taken (except civil penalties) during the 2
prior fiscal years, including the total number of
violations cited, and the number of cited violation
cases closed by certificate suspensions, certificate
revocations, warnings, and no action taken; and
(11) schedules showing the safety record of the
aviation industry during the fiscal year for air
carriers and general aviation, including--
(A) the number of inspections performed when
deficiencies were identified compared with
inspections when no deficiencies were found;
(B) the frequency of safety deficiencies for
each air carrier; and
(C) an analysis based on data of the general
status of air carrier and general aviation
compliance with aviation regulations.
* * * * * * *
SUBPART IV--ENFORCEMENT AND PENALTIES
CHAPTER 463--PENALTIES
* * * * * * *
Sec. 46301. Civil penalties
(a) General Penalty.--(1) A person is liable to the United
States Government for a civil penalty of not more than $1,000
for violating--
(A) chapter 401 (except sections 40103(a) and (d),
40105, 40116, and 40117), chapter 411, any of sections
41301-41306, 41308-41310(a), 41501, 41503, 41504,
41506, 41510, 41511, 41701, 41702, 41705-41709, 41711,
41712, or 41731-41742, chapter 419, subchapter II of
chapter 421, chapter 441 (except section 44109), or any
of sections 44701(a) or (b), 44702-44716, 44723, 44901,
44903(b) or (c), 44905, 44906, 44907(d)(1)(B),
44909(a), 44912-44915, 44932-44938, 46302, 46303,
47107(b) (including any assurance made under such
section), or 41715 of this title;
* * * * * * *
(2) A person operating an aircraft for the transportation of
passengers or property for compensation (except an airman
serving as an airman) is liable to the Government for a civil
penalty of not more than $10,000 for violating--
(A) chapter 401 (except sections 40103(a) and (d),
40105, 40106(b), 40116, and 40117) or any of sections
44701(a) or (b), 44702-44716, 44723, 44901, 44903(b) or
(c), 44905, 44906, 44912-44915, or 44932-44938 of this
title; or
* * * * * * *
(d) Administrative Imposition of Penalties.--(1) * * *
(2) The Administrator of the Federal Aviation Administration
may impose a civil penalty for a violation of chapter 401
(except sections 40103(a) and (d), 40105, 40106(b), 40116, and
40117), chapter 441 (except section 44109), or any of sections
44701(a) or (b), 44702-44716, 44723, 44901, 44903(b) or (c),
44905, 44906, 44907(d)(1)(B), 44912-44915, 44932-44938, 46302,
46303, or 47107(b) (as further defined by the Secretary under
section 47107(l) and including any assurance made under section
47107(b)) of this title or a regulation prescribed or order
issued under any of those provisions. The Administrator shall
give written notice of the finding of a violation and the
penalty.
* * * * * * *
(f) Compromise and Setoff.--(1)(A) The Secretary may
compromise the amount of a civil penalty imposed for
violating--
(i) chapter 401 (except sections 40103(a) and (d),
40105, 40116, and 40117), chapter 441 (except section
44109), or any of sections 44701(a) or (b), 44702-
44716, 44723, 44901, 44903(b) or (c), 44905, 44906,
44907(d)(1)(B), 44912-44915, or 44932-44938 of this
title; or
* * * * * * *