State Responsibility for the Timely Reporting and Posting of Certain Convictions and Disqualifications Involving Commercial Driver's License Holders, 38603-38605 [2010-16218]

Agencies

• Federal Motor Carrier Safety Administration
• DEPARTMENT OF TRANSPORTATION

[Federal Register Volume 75, Number 127 (Friday, July 2, 2010)]
[Notices]
[Pages 38603-38605]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-16218]


-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration


State Responsibility for the Timely Reporting and Posting of 
Certain Convictions and Disqualifications Involving Commercial Driver's 
License Holders

AGENCY: Federal Motor Carrier Safety Administration, DOT.

[[Page 38604]]


ACTION: Notice.

-----------------------------------------------------------------------

SUMMARY: The Federal Motor Carrier Safety Administration announces 
guidance to State driver licensing agencies (SDLAs) to support their 
efforts at achieving compliance with the Federal Commercial Driver's 
license (CDL) rules concerning timely reporting and posting of 
convictions for traffic offenses. This action is in response to the 
Department of Transportation Office of the Inspector General's (OIG) 
2009 report Audit of the Data Integrity of the Commercial Driver's 
License Information System (CDLIS).

FOR FURTHER INFORMATION CONTACT: Selden Fritschner, Chief, Commercial 
Driver's License Division, Federal Motor Carrier Safety Administration, 
1200 New Jersey Ave. SE, Washington, DC 20590. E-mail: 
selden.fritschner@dot.gov, Telephone: 202-366-0677.

SUPPLEMENTARY INFORMATION: 

I. Background

    Section 202 of the Motor Carrier Safety Improvement Act of 1999 (PL 
106-159) requires that whenever an individual is convicted of certain 
traffic offenses in a State, and the individual has a commercial 
driver's license (CDL) issued by another State, the State of Conviction 
(SOC) must notify the driver's State of Record (SOR) in a timely 
manner. This includes all convictions (as defined in 49 CFR 383.5), in 
any type of motor vehicle, involving a State or local law relating to 
motor vehicle traffic control (other than a parking violation). This 
also includes some convictions listed in 49 CFR 383.51 that are not 
directly related to motor vehicle traffic control but that are deemed 
critical to ensuring highway safety.
    On July 31, 2002, FMCSA published a final rule (67 FR 49761) 
requiring SOCs to begin notifying a driver's SOR within 30 days for all 
convictions occurring after September 30, 2005. Beginning September 30, 
2008, the SOCs were required to report convictions to the SORs within 
10 days (49 CFR 384.209).
    In July 2009, the Department of Transportation's Office of 
Inspector General released the report Audit of the Data Integrity of 
the Commercial Driver's License Information System) as required by the 
Safe, Accountable, Flexible, Efficient Transportation Equity Act: A 
Legacy for Users (SAFETEA-LU) (Pub. L. 109-59). In preparing this 
report, OIG evaluated several factors related to CDLIS, including the 
timeliness of convictions received from courts and posted by State 
driver licensing agencies. In its CDLIS report, OIG estimated that 
500,000 active CDL holders have convictions on their driver history 
record (DHR) from States other than their SOR. The OIG further 
estimated that up to 20 percent of those CDL holders have convictions 
on their DHR that were not reported to their SOR and posted in a timely 
manner.
    This reporting delay reduces highway safety by enabling CDL holders 
convicted of disqualifying offenses to continue driving without being 
detected by roadside inspection officials. These delays also make it 
difficult for motor carriers to identify and remove from service 
drivers who have been convicted of disqualifying offenses. In some 
instances, this includes drivers who have been convicted of multiple 
major traffic offenses and who should be disqualified from holding a 
CDL for life. As part of its mission to reduce the number of 
fatalities, injuries, and crashes involving large trucks and buses, and 
as part of its responsibility to ensure State compliance with the 
minimum CDL program standards established by Federal regulations, FMCSA 
provides this notice and guidance to all SDLAs on the conviction 
reporting requirements.

II. Requirements

    Whenever a CDL holder, or a person operating a CMV who is required 
to have a CDL, is convicted of a traffic offense in a State other than 
the State in which he or she is licensed, the SOC must notify the SOR 
within 10 days of the conviction (See 49 CFR 384.209).
    Whenever a CDL holder is disqualified or has his driving privileges 
withdrawn or suspended from operating a CMV for longer than 60 days in 
a State other than the State in which he or she is licensed, the State 
of Withdrawal must notify the SOR within 10 days of the 
disqualification action. This notification must include information 
related to the disqualification and the violation that resulted in the 
disqualification, or suspension (See 49 CFR 384.208).
    Whenever a SDLA receives notification of a conviction or 
disqualification from another State, it must post the information to 
the DHR within 10 days of receipt (See 49 CFR 384.225(c) (1)). Further, 
whenever a SDLA receives notification of a conviction occurring within 
the same State, it must post the information to the DHR within 10 days 
of the conviction (See 49 CFR 384.225(c) (2)).

Guidance

    FMCSA provides the following guidance to States on how to come into 
compliance with the provisions of the Federal regulations related to 
the timely reporting and posting of convictions and disqualifications.

I. Incoming Conviction Reports on Paper

    SDLAs that receive conviction data from courts on paper (either 
direct mailing of the traffic citation with the disposition indicated 
or conviction summary reports generated by the courts) have several 
options to expedite processing:
     Sort incoming conviction data and prioritize handling for 
any conviction that indicates the violation involved a CDL holder, a 
CMV that requires the driver to hold a CDL, hazardous material, or a 
passenger CMV (collectively hereafter referred to as CDL/CMV 
convictions);
     Designate certain data entry personnel within the SDLA to 
process CDL/CMV convictions exclusively, or as their highest priority 
when such data is received;
     Request that courts pre-sort CDL/CMV conviction data and 
provide special markings when reporting it to the SDLA (see section III 
for further information);
     Request that courts send conviction data related to CDL/
CMV convictions as soon as practicable after disposition (the same day 
if possible);
     Prioritize the correction of any internal or external data 
entry errors that involve CDL/CMV convictions;
     Explore options for expedited delivery of CDL/CMV 
conviction data to the SDLA; and
     Explore options for an electronic conviction transmission 
system (see section II for further information).

II. Incoming Conviction Reports via Electronic Transmission

    SDLAs that receive CDL/CMV conviction data from courts by an 
electronic conviction transmission system are at an advantage. The data 
entry is already completed and can be posted to the driver's record 
with minimal effort, and the actual transmission of the information is 
either instantaneous or submitted daily through a batch process. SDLAs 
can expedite processing electronic transmission further if they:
     Request that courts process dispositions for CDL/CMV 
offenses into their case management systems the same day as the final 
determination;
     Request that courts alter their case management systems to 
transmit CDL/CMV conviction data to the SDLA on a daily basis (rather 
than weekly or monthly);

[[Page 38605]]

     Prioritize the correction of any transmission or 
processing errors involving CDL/CMV convictions;
     Work to ensure that all courts use electronic transmission 
of CDL/CMV convictions if it is an available alternative; and
     Continuously improve the electronic conviction 
transmission system to take advantage of emerging technological 
advances.

III. Judicial Outreach

    SDLAs should strengthen their partnerships with the courts in their 
jurisdiction to bring about greater success in achieving compliance 
with the reporting requirements. SDLAs can take several steps to help 
strengthen these partnerships and their judicial outreach efforts if 
they:
     Determine which court personnel are most responsible for 
ensuring that information related to CDL/CMV offenses are transmitted 
to the SDLA in a timely manner; this may be the Judge, the Clerk of 
Court's Office, or the Prosecutor;
     Designate an individual or organizational unit within the 
SDLA as having responsibility to engage in judicial outreach 
activities;
     Ensure that all involved personnel understand the 
importance of timely conviction reporting. FMCSA evaluates compliance 
of the SDLA and all involved entities that impact the State's CDL 
program and contribute to compliance with the requirements of 49 CFR 
part 384;
     Engage in proactive steps to discuss process improvement, 
including site visits, routine e-mails or newsletters, and 
presentations at State or regional conferences;
     Request assistance in outreach efforts from other State 
level agencies and organizations if appropriate (e.g., Administrative 
Office of the Courts, the Governor's Highway Safety Office, 
Associations/Counsels for judges, clerks, and prosecutors); and
     Request from FMCSA information and guidance on judicial 
training.

IV. Utilize CDLIS

    CDLIS has the capability to transmit conviction and 
disqualification information to other States. All States now have the 
ability to receive these convictions and disqualifications 
electronically. States should utilize this functionality whenever 
possible to expedite the transmission and final posting of CDL/CMV 
convictions and disqualifications.

V. Statutory Reporting Periods

    If State statutes address the timely reporting and posting of 
convictions, they must not conflict with the applicable Federal 
regulations (this includes court reporting convictions to the SDLA, the 
SDLA reporting out-of-State convictions to the SOR, or the SDLA posting 
in-State convictions to the DHR).
    Some States have statutory or due process requirements that prevent 
courts from sending a conviction to the SDLA immediately upon 
disposition. This requirement generally allows for appeals or other 
procedural actions prior to the State posting the conviction to the DHR 
or sending it to the SOR. States reported to FMCSA that these mandatory 
holding periods negatively impact their ability to comply with the 
timeliness requirements. In these instances, FMCSA stands ready to 
discuss the requirements unique to each State and discuss alternatives 
that may reduce or eliminate the negative impact to the State's 
compliance.

VI. Funding

    SDLAs have secured various funding sources for electronic 
conviction reporting systems, including fees assessed against those 
convicted of traffic offenses, direct appropriation in the State's 
budget, or through other available revenue. The FMCSA encourages SDLAs 
to engage in direct communication with other SDLAs to solicit ideas and 
implementation strategies.
    States also have the option of requesting grants from various 
Federal agencies, including FMCSA's CDL Program Improvement grant 
(CDLPI). While CDLPI grants cannot fund an entire statewide electronic 
conviction system, and cannot be used to support any effort 
indefinitely, States can request financial assistance to establish 
demonstration projects and other proof-of-concept efforts that can help 
SDLAs secure additional funding through other means.

Compliance

    FMCSA takes seriously its responsibility to ensure State compliance 
with all provisions of 49 CFR part 384, especially those involving the 
timely reporting and posting of convictions and disqualifications. 
FMCSA will work with the States to the greatest extent practicable to 
address the findings in the OIG report and to ensure compliance by 
using available electronic reporting and manual auditing methods. FMCSA 
will examine these reports and conduct audits independently of any 
established evaluation cycle or review process. FMCSA will begin 
posting maps and matrices providing details regarding State compliance 
with timeliness requirements on the FMCSA Web site in the third quarter 
of fiscal year 2010. FMCSA will post this information quarterly. States 
should review this status information to determine the scope of the 
efforts needed to come into compliance.

    Issued on: June 23, 2010.
Anne S. Ferro,
Administrator.
[FR Doc. 2010-16218 Filed 7-1-10; 8:45 am]
BILLING CODE 4910-EX-P