Privacy Act of 1974; Department of Transportation, Federal Motor Carrier Safety Administration; DOT/FMCSA 010 Drug and Alcohol Clearinghouse, 56521-56526 [2019-22915]
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Federal Register / Vol. 84, No. 204 / Tuesday, October 22, 2019 / Notices
information collection, including (a)
Whether the proposed collection of
information is necessary for FAA’s
performance; (b) the accuracy of the
estimated burden; (c) ways for FAA to
enhance the quality, utility and clarity
of the information collection; and (d)
ways that the burden could be
minimized without reducing the quality
of the collected information. The agency
will summarize and/or include your
comments in the request for OMB’s
clearance of this information collection.
OMB Control Number: 2120–XXXX.
Title: Airman Knowledge Test
Registration Collection.
Form Numbers: There are no forms
associated with this collection.
Type of Review: New information
collection.
Background: Individuals pursuing an
FAA certificate or rating to operate in
the National Airspace System (NAS)
must meet the standards established in
the FAA regulations specific to the
certificate sought by the individual.
FAA certification requires that an
individual must successfully pass an
Airman Knowledge Test as part of the
requirements to obtain an FAA
certificate or rating. The FAA develops
and administers 90 different knowledge
tests in many different areas that are
required as part of the overall airman
certification process.
Airman Knowledge Tests are
administered at approved Knowledge
Testing Centers by an approved test
proctor who is required to administer
the appropriate Airman Knowledge Test
to the individual pursuing FAA
certification. Individuals taking an FAA
Airman Knowledge Test must provide
the following information to be
collected in order to complete the
registration process before the
administration of the Airman
Knowledge Test: Name, FAA Tracking
Number (FTN), physical address, Date
of Birth, email address, photo
identification, phone number, test
authorization (credentials of the
individual such as an instructor
endorsement), and previous number of
test attempts.
The information provided by the
individual is collected and stored
electronically in the application used
for test registration and delivery. This
information is used to determine the
identify and eligibility of the individual
for compliance of FAA certification
requirements.
Respondents: 150,000 annually.
Frequency: n/a.
Estimated Average Burden per
Response: 2 minutes.
Estimated Total Annual Burden:
5,000 hours annually; 150,000
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respondents × 2 minutes each = 300,000
minutes; 300,000 minutes/60 minutes in
an hour = 5,000 hours annually.
Issued in Oklahoma City, OK, on October
17, 2019.
Ryan C. Smith,
Airman Knowledge Testing Program Manager,
Airman Testing Standards Branch (AFS–630).
[FR Doc. 2019–22979 Filed 10–21–19; 8:45 am]
BILLING CODE 4910–13–P
DEPARTMENT OF TRANSPORTATION
Federal Motor Carrier Safety
Administration
[Docket No. DOT–OST–2019–0137]
Privacy Act of 1974; Department of
Transportation, Federal Motor Carrier
Safety Administration; DOT/FMCSA
010 Drug and Alcohol Clearinghouse
Federal Motor Carrier Safety
Administration, Department of
Transportation.
ACTION: Notice of a new system of
records.
AGENCY:
In accordance with the
Privacy Act of 1974, the Department of
Transportation (DOT), Federal Motor
Carrier Safety Administration (FMCSA)
proposes a new system of records titled
‘‘Drug and Alcohol Clearinghouse
(Clearinghouse)’’. This system of records
allows FMCSA to collect and maintain
records on commercial driver’s license
(CDL) and commercial learner’s permit
(CLP) holders who have received
verified positive DOT drug or alcohol
test results, refuse such testing, or
otherwise violate FMCSA’s drug and
alcohol use prohibitions. The
Clearinghouse will collect and maintain
records on the completion of substance
abuse programs as part of the return-toduty process and will collect and
maintain drivers’ consent to the release
of information. In addition, the
Clearinghouse will collect and maintain
records of queries of the system
conducted by employers or service
agents acting on their behalf, and State
Driver Licensing Agencies (SDLAs). The
information in this system will be used
to enhance compliance with drug and
alcohol use testing regulations by
identifying CDL or CLP holders who
have committed drug and alcohol
violations that render them ineligible to
operate a commercial motor vehicle
(CMV). This new system will be
included in the DOT inventory of record
systems.
DATES: Written comments must be
submitted on or before November 21,
2019. The system will be effective
SUMMARY:
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56521
November 21, 2019. Routine Uses will
be effective at that time.
ADDRESSES: You may submit comments,
identified by docket number DOT–OST–
2019–0137 by one of the following
methods:
Federal e-Rulemaking Portal: https://
www.regulations.gov.
Fax: (202) 366–XXXX.
Mail: Department of Transportation
Docket Management, Room W12–140,
1200 New Jersey Ave. SE, Washington,
DC 20590.
Instructions: All submissions received
must include the agency name and
docket number DOT–OST–2019–0137.
All comments received will be posted
without change to https://
www.regulations.gov, and may include
any personal information provided. In
order to facilitate comment tracking and
response, we encourage commenters to
provide their name, or the name of their
organization; however, submission of
names is completely optional. Whether
or not commenters identify themselves,
all timely comments will be fully
considered. If you wish to provide
comments containing proprietary or
confidential information, please contact
the agency for alternate submission
instructions.
Docket: For access to the docket to
read background documents or
comments received, go to https://
www.regulations.gov. Follow the online
instructions for accessing.
FOR FURTHER INFORMATION CONTACT: For
system-related questions please contact
Chief, Compliance Division, Office of
Enforcement and Compliance, Federal
Motor Carrier Safety Administration,
Email: clearinghouse@dot.gov, Tel. (202)
366–1812. For privacy questions, please
contact: Claire W. Barrett, Departmental
Chief Privacy Officer, Department of
Transportation, S–81, Washington, DC
20590, Email: privacy@dot.gov, Tel.
(202) 366–8135.
SUPPLEMENTARY INFORMATION:
Background
In accordance with the Privacy Act of
1974, FMCSA is proposing a new
system of records titled ‘‘Drug and
Alcohol Clearinghouse’’. This system
will collect information related to
violations of the Agency’s drug and
alcohol testing program regulations
committed by holders of commercial
driver’s licenses (CDL) or commercial
learner’s permits (CLP).
On December 5, 2016, FMCSA
published a final rule titled,
‘‘Commercial Driver’s License Drug and
Alcohol Clearinghouse’’ (81 FR 87686).
The rule amended the Federal Motor
Carrier Safety Regulations (FMCSRs) to
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establish requirements for the CDL Drug
and Alcohol Clearinghouse
(Clearinghouse), a database under the
Agency’s administration that will
contain information about violations of
FMCSA’s drug and alcohol testing
program for CDL or CLP holders. This
rule was mandated by the Moving
Ahead for Progress in the 21st Century
Act (MAP–21) (Pub. L. 112–141, 126
Stat. 405, codified at 49 U.S.C. 31306a).
The Clearinghouse will enhance
compliance with drug and alcohol use
and testing regulations by identifying
CDL or CLP holders who have
committed drug and alcohol violations
that render them ineligible to operate a
commercial motor vehicle (CMV).
The Clearinghouse is a tool that
FMCSA, employers, and prospective
employers will use to identify drivers
who are prohibited from operating a
CMV, based on DOT drug and alcohol
program violations, and ensure that
such drivers receive the required
substance abuse evaluation and
treatment before operating a CMV on
public roads. Specifically, the drug and
alcohol program violation information
maintained in the Clearinghouse will
enable employers to identify drivers
who commit a drug or alcohol program
violation while working for another
employer, but who subsequently fail to
inform a potential or new employer, as
is required by current regulations.
Employers, or their designated service
agents (Consortia/Third-Party
Administrator (C/TPA)) are required to
query the Clearinghouse using the name
of the driver to search for any drug and
alcohol program violations before hiring
a prospective driver, and at least
annually for all currently employed
drivers. Queries of the Clearinghouse
fall into one of two categories: Limited
or full. Both limited and full queries
require a driver’s consent before any
information can be released about that
driver. A limited query of the
Clearinghouse will inform the employer
or C/TPA whether or not any violation
related information about the driver
exists; however, a limited query does
not result in the release of any detailed
violation information. To view detailed
violation information contained in the
Clearinghouse, the employer or C/TPA
must perform a full query. Once a
driver’s specific consent is obtained, a
full query will return the following
information about the driver:
• Driver details, including name, date of
birth, contact information, CLP/CLD
information, and eligibility status
• Information about the driver’s
employer who ordered the test or
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reported a violation to the
Clearinghouse
• Test details, including the type of test,
violation details, and test result
• Information about who entered the
test result
• Return-to-duty (RTD) activity
information
When an employer queries the driver
as a pre-employment check, a full query
must be conducted. In accordance with
382.701(c), if additional information is
entered on the driver within 30 days of
the pre-employment query, the
Clearinghouse will send an electronic
notification to the employer or C/TPA
indicating additional information has
been added to a previously queried
record. The employer must login to the
Clearinghouse and obtain specific
consent from the driver before the
details of this newly reported
information will be disclosed. An
annual query may be conducted as
either a limited query or a full query.
A limited query requires a driver’s
general consent, which may be effective
for an indefinite period (e.g., the
duration of employment) and for an
unlimited number of queries. The scope
of general consent is decided between
the employer and the driver; employers
must retain general consent
documentation for three years. Once the
employer obtains general consent, the
employer will log into the
Clearinghouse, select limited query,
enter the driver’s information, and
submit the query. The Clearinghouse
will return a message to the employer
indicating whether the Clearinghouse
contains drug or alcohol violationrelated information on the queried
driver. If the limited query indicates
that the Clearinghouse contains
information on the driver, the employer
or C/TPA must conduct a full query.
When conducting a full query, the
employer or C/TPA must obtain specific
consent from the driver by logging into
the Clearinghouse and requesting that
the driver provide consent to release full
query results. When an employer
requests a full query, the driver will
receive notification of the request for
specific consent via the preferred
contact method indicated in their
Clearinghouse account, such as email or
U.S. mail. To grant or decline specific
consent, the driver must register in the
Clearinghouse to establish an account.
Once logged in, the driver will be able
to either grant or decline consent to the
requesting employer. If the driver
provides consent, the employer will
receive notification of the consent via
email. The employer will log into their
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account to view the detailed
information for the queried driver.
In accordance with the Clearinghouse
final rule, if an employer is unable to
obtain either general consent from a
driver for a limited query, or specific
consent for a full query, the employer
must remove the driver from performing
safety-sensitive functions, as described
above.
In addition to the general routine uses
applicable to all DOT systems of
records, FMCSA is proposing three new
system-specific Routine Uses to support
enforcement of drug and alcohol use
and testing regulations and to
implement statutory requirements
pertaining to States and the National
Transportation Safety Board.
The first proposed Routine Use would
allow the sharing of driver eligibility
and compliance data with Motor Carrier
Safety Assistance Program (MCSAP)
partner agencies, for use during
investigations, roadside inspections and
compliance reviews of motor carriers.
The MCSAP is a Federal grant program
providing financial assistance to States
to reduce the number and severity of
crashes involving CMVs. MCSAP
personnel act on the Agency’s behalf to
enforce the FMCSRs. This routine use
will strengthen the enforcement of the
current prohibition against operating a
CMV, or performing other safetysensitive functions, due to drug and
alcohol program violations, as well as
other drug and alcohol program
requirements. The second proposed
Routine Use would allow the sharing of
a driver’s CMV operating status
(prohibited or not prohibited) in
response to mandatory queries
conducted by a State Driver’s Licensing
Agency (SDLA) anytime a CDL is
issued, renewed, transferred or
upgraded. This routine use will allow
SDLAs to verify a driver’s eligibility to
operate a CMV prior to completing
licensing transactions (as mandated by
49 U.S.C. 31311(a)(24); 31306a(h)(2)).
The third proposed Routine Use would
allow the National Transportation
Safety Board (NTSB), upon request, to
receive information on a driver who is
involved in a crash under investigation
by the NTSB (as mandated by 49 U.S.C.
31306a(i)). These proposed Routine
Uses allow MCSAP partners, SDLAs,
and NTSB to identify CDL or CLP
holders who have committed drug and
alcohol violations that render them
ineligible to operate a commercial motor
vehicle (CMV). They are compatible
with the purpose for which the
information was collected, directly
furthering the goals of 49 U.S.C. 31306a,
to improve roadway safety and enhance
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compliance with drug and alcohol use
testing regulations.
FMCSA has also included DOT
General Routine Uses, to the extent they
are compatible with the purposes of this
System. As recognized by the Office of
Management and Budget (OMB) in its
Privacy Act Implementation Guidance
and Responsibilities (65 FR 19746, July
9, 1975), the routine uses include proper
and necessary uses of information in the
system, even if such uses occur
infrequently. FMCSA has included in
this notice routine uses for disclosures
to law enforcement when the record, on
its face, indicates a violation of law, to
DOJ for litigation purposes, or when
necessary in investigating or responding
to a breach of this system or other
agencies’ systems. DOT may disclose to
Federal, State, local, or foreign agency
information relevant to law
enforcement, litigation, and proceedings
before any court or adjudicative or
administrative body. OMB has long
recognized that these types of routine
uses are ‘‘proper and necessary’’ uses of
information and qualify as compatible
with agency systems. 65 FR 19476. In
addition, by OMB Memorandum M–17–
12, OMB directed agencies to include
routine uses that will permit sharing of
information when needed to investigate,
respond to, and mitigate a breach of a
Federal information system. DOT also
has included routine uses that permit
sharing with the National Archives and
Records Administration when necessary
for an inspection, to any Federal
government agency engaged in audit or
oversight related to this system, or when
DOT determines that the disclosure will
detect, prevent, or mitigate terrorism
activity. These types of disclosures are
necessary and proper uses of
information in this system because they
further DOT’s obligation to fulfil its
records management and program
management responsibilities by
facilitating accountability to agencies
charged with oversight in these areas,
and DOT’s obligation under Intelligence
Reform and Terrorism Prevention Act of
2004, Public Law 108–456, and
Executive Order 13388 (Oct. 25, 2005) to
share information necessary and
relevant to detect, prevent, disrupt,
preempt, or mitigate the effects of
terrorist activities against the territory,
people, and interests of the United
States.
Privacy Act
The Privacy Act governs the means by
which the Federal Government agencies
collect, maintain, use, and disseminate
individuals’ records. The Privacy Act
applies to information that is
maintained in a ‘‘system of records.’’ A
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‘‘system of records’’ is a group of any
records under the control of an agency
from which information is retrieved by
the name of an individual or by some
identifying number, symbol, or other
identifying particular assigned to the
individual. The Privacy Act extends
rights and protections to individuals
who are U.S. citizens and lawful
permanent residents. Additionally, the
Judicial Redress Act (JRA) provides a
covered person with a statutory right to
make requests for access and
amendment to covered records, as
defined by the JRA, along with judicial
review for denials of such requests. In
addition, the JRA prohibits disclosures
of covered records, except as otherwise
permitted by the Privacy Act.
Below is the description of the
Clearinghouse System of Records. In
accordance with 5 U.S.C. 552a(r), DOT
has provided a report of this system of
records to the OMB and to Congress.
SYSTEM NAME AND NUMBER
DOT/FMCSA 010—Commercial
Driver’s License Drug and Alcohol
Clearinghouse (Clearinghouse).
SECURITY CLASSIFICATION:
SYSTEM LOCATION:
The Clearinghouse is developed by a
third-party contractor on behalf of
FMCSA. Records are maintained in a
third-party cloud environment at the
U.S. DOT at 1200 New Jersey Avenue
SE, Washington, DC 20590.
SYSTEM MANAGER(S):
Chief, Compliance Division, Office of
Enforcement and Compliance, FMCSA,
U.S. DOT, 1200 New Jersey Avenue SE,
Washington, DC 20590; Clearinghouse@
dot.gov.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Moving Ahead for Progress in the 21st
Century Act (MAP–21), (49 U.S.C.
31306a(a)(1)).
PURPOSE(S) OF THE SYSTEM:
The purpose of the Clearinghouse is
to: (1) Improve compliance with the
DOT’s controlled substances and
alcohol testing program applicable to
Commercial Driver’s License (CDL) and
Commercial Learner’s Permit (CLP)
holders; and (2) enhance the safety of
U.S. roadways by reducing crashes and
injuries involving drivers violating
alcohol or controlled substances
regulations (49 U.S.C. 31306a(a)(2)).
FMCSA and motor carrier employers
will use information in the
Clearinghouse records to identify
drivers who are prohibited from
operating a Commercial Motor Vehicle
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(CMV) and must receive the required
evaluation and treatment before
resuming safety-sensitive functions.
Safety-sensitive functions are defined in
49 CFR 382.107 as the time from when
a driver begins to work or is required to
be in readiness to work until the time
he/she is relieved from work and all
responsibility for performing work.
Safety-sensitive functions include
driving a CMV on public roads.
In addition, the Clearinghouse will
allow prospective employers to confirm
a driver did not commit a drug or
alcohol violation while working for
another employer that would prohibit
the individual from operating a CMV or
performing other safety-sensitive
functions.
CATEGORIES OF INDIVIDUALS COVERED BY THE
SYSTEM:
Categories of individuals within this
system include: CDL and CLP holders.
Information about Medical Review
Officers (MRO), Substance Abuse
Professionals (SAP), employers, and
Consortia/Third-Party Administrators
(C/TPA) may be included in CDL and
CLP holders’ records.
CATEGORIES OF RECORDS IN THE SYSTEM:
Unclassified.
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Categories of records in the system
include:
The following information about CDL
and CLP holders:
• Name
• Contact Information including
physical address, phone number(s) and
email address
• Date of birth
• Current and previous CLP or CDL
license number, state of issuance, and
expiration date
• Drug or alcohol test results and
violation information including
employer name, address, and USDOT#,
as applicable
• CMV driving eligibility status
• Driver Substance Abuse
Professional (SAP) selection including
SAP name, address and phone number,
as applicable
• Actual Knowledge Report
Information, including violation details,
documentation to support the allegation
and certificate of service to the
employee, as applicable
• Failure to appear and refusal to test
detail information, including
documentation regarding notification of
test requirement, documentation of
termination or resignation and
certificate of service to the employee, as
applicable
• Return to duty (RTD) eligibility date
and negative test result. A negative RTD
test result allows the driver to resume
operation of a CMV and other safetysensitive functions
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• Follow-up testing plan completion
information
• Query information including who
requested the query and when the query
was conducted
• Query consent information
including the driver’s approval or
refusal
Information about MROs and SAPs as
specified in § 382.711(c) to include:
• Contact information including
name, email address, phone number(s),
office location addresses and applicable
qualifications as per 49 CFR part 40.
Information about employers,
designated agents and C/TPAs as
specified in § 382.711(b) and
§ 382.711(d) to include:
• Contact information including
name, email address, phone number(s),
office location addresses
• USDOT #, as applicable
RECORD SOURCE CATEGORIES:
Records are obtained from MROs for
CLP or CDL holders who have
confirmed positive tests or test refusals.
Motor carrier employers will report
actual knowledge of use, alcohol
confirmation test results, or test refusals.
Records regarding completion of
required RTD processes are obtained
from SAPs and employers. Records are
obtained from employers who request
full query consent of drivers and the
approval or rejection of the consent
from the drivers. Registration
information records are obtained from
CLP and CDL holders, MROs, SAPs,
employers, and their designated agents
when an authorized user registers for
the Clearinghouse and creates a new
account or when updating previous
account information.
ROUTINE USES OF RECORDS MAINTAINED IN THE
SYSTEM, INCLUDING CATEGORIES OF USERS AND
PURPOSES OF SUCH USES:
In addition to those disclosures
generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a
portion of the records or information
contained in this system may be
disclosed outside DOT as a routine use
pursuant to 5 U.S.C. 552a(b)(3) as
follows:
System Specific Routine Uses
1. To Motor Carrier Safety Assistance
Program (MCSAP) partner agencies, for
use during investigations, roadside
inspections and safety audits of motor
carriers. This routine use will enable the
MCSAP agencies to enforce the current
prohibition against operating a CMV, or
performing other safety-sensitive
functions, due to drug and alcohol
program violations.
2. To State Driver’s Licensing Agency
(SDLA), for the purposes of verifying a
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driver’s qualification to operate a CMV
prior to completing any licensing
transactions, including issuance,
renewal, transfer, or upgrade of any a
CLP or CDL (as mandated by 49 U.S.C.
31311(a)(24); 31306a(h)(2)).
3. To the National Transportation
Safety Board (NTSB), upon request,
when a driver is involved in a crash
under investigation by the NTSB (as
mandated by 49 U.S.C. 31306a(i)).
Department General Routine Uses
4. One or more records from a system
of records may be disclosed routinely to
the National Archives and Records
Administration (NARA) in records
management inspections being
conducted under the authority of 44
U.S.C. 2904 and 2906.
5. DOT may make available to another
agency or instrumentality of any
government jurisdiction, including State
and local governments, listings of names
from any system of records in DOT for
use in law enforcement activities, either
civil or criminal, or to expose fraudulent
claims, regardless of the stated purpose
for the collection of the information in
the system of records. These
enforcement activities are generally
referred to as matching programs
because two lists of names are checked
for match using automated assistance.
This routine use is advisory in nature
and does not offer unrestricted access to
systems of records for such law
enforcement and related antifraud
activities. Each request will be
considered on the basis of its purpose,
merits, cost effectiveness and
alternatives using Instructions on
reporting computer matching programs
to the Office of Management and
Budget, OMB, Congress, and the public,
published by the Director, OMB, dated
September 20, 1989.
6. DOT may disclose records from this
system, as a routine use, to the Office of
Government Information Services for
the purpose of (a) resolving disputes
between FOIA requesters and Federal
agencies and (b) reviewing agencies’
policies, procedures, and compliance in
order to recommend policy changes to
Congress and the President.
7. DOT may disclose records from the
system, as a routine use, to contractors
and their agents, experts, consultants,
and others performing or working on a
contract, service, cooperative agreement,
or other assignment for DOT, when
necessary to accomplish an agency
function related to this system of
records.
8. DOT may disclose records from this
system, as a routine use, to an agency,
organization, or individual for the
purpose of performing audit or oversight
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operations related to this system of
records, but only such records as are
necessary and relevant to the audit or
oversight activity. This routine use does
not apply to intra-agency sharing
authorized under Section (b)(1) of the
Privacy Act.
9. DOT may disclose from this system,
as a routine use, records consisting of,
or relating to, terrorism information (6
U.S.C. 485(a)(5)), homeland security
information (6 U.S.C. 482(f)(1)), or Law
enforcement information (Guideline 2
Report attached to White House
Memorandum, ‘‘Information Sharing
Environment’’, November 22, 2006) to a
Federal, State, local, tribal, territorial,
foreign government and/or
multinational agency, either in response
to its request or upon the initiative of
the Component, for purposes of sharing
such information as is necessary and
relevant for the agencies to detect,
prevent, disrupt, preempt, and mitigate
the effects of terrorist activities against
the territory, people, and interests of the
United States of America, as
contemplated by the Intelligence Reform
and Terrorism Prevention Act of 2004
(Pub. L. 108–458) and Executive Order
13388 (October 25, 2005).
10. In the event that a system of
records maintained by DOT to carry out
its functions indicates a violation or
potential violation of law, whether civil,
criminal or regulatory in nature, and
whether arising by general statute or
particular program pursuant thereto, the
relevant records in the system of records
may be referred, as a routine use, to the
appropriate agency, whether Federal,
State, local or foreign, charged with the
responsibility of investigating or
prosecuting such violation or charged
with enforcing or implementing the
statute, or rule, regulation, or order
issued pursuant thereto.
11. A record from this system of
records may be disclosed, as a routine
use, to a Federal, State, or local agency
maintaining civil, criminal, or other
relevant enforcement information or
other pertinent information, such as
current licenses, if necessary to obtain
information relevant to a DOT decision
concerning the hiring or retention of an
employee, the issuance of a security
clearance, the letting of a contract, or
the issuance of a license, grant or other
benefit.
12. A record from this system of
records may be disclosed, as a routine
use, to a Federal agency, in response to
its request, in connection with the
hiring or retention of an employee, the
issuance of a security clearance, the
reporting of an investigation of an
employee, the letting of a contract, or
the issuance of a license, grant, or other
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benefit by the requesting agency, to the
extent that the information is relevant
and necessary to the requesting agency’s
decision on the matter.
13. Routine Use for Agency Disclosure
in Other Proceedings. It shall be a
routine use of records in this system to
disclose them in proceedings before any
court or adjudicative or administrative
body before which DOT or any agency
thereof, appears, when— (a) DOT, or
any agency thereof, or (b) Any employee
of DOT or any agency thereof in his/her
official capacity, or (c) Any employee of
DOT or any agency thereof in his/her
individual capacity where DOT has
agreed to represent the employee, or (d)
The United States or any agency thereof,
where DOT determines that the
proceeding is likely to affect the United
States, is a party to the proceeding or
has an interest in such proceeding, and
DOT determines that use of such
records is relevant and necessary in the
proceeding, provided, however, that in
each case, DOT determines that
disclosure of the records in the
proceeding is a use of the information
contained in the records that is
compatible with the purpose for which
the records were collected.
14a. DOT may disclose records from
the system, as a routine use to
appropriate agencies, entities, and
persons when (1) DOT suspects or has
confirmed that there has been a breach
of the system of records, (2) DOT has
determined that as a result of the
suspected or confirmed breach there is
a risk of harm to individuals, DOT
(including its information systems,
programs, and operations), the Federal
Government, or national security; and
(3) the disclosure made to such
agencies, entities, and persons is
reasonably necessary to assist in
connection with DOT’s efforts to
respond to the suspected or confirmed
breach or to prevent, minimize, or
remedy such harm.
14b. DOT may disclose records from
the system, as a routine use to another
Federal agency or Federal entity, when
DOT determines that information from
this system of records is reasonably
necessary to assist the recipient agency
or entity in (1) responding to a
suspected or confirmed breach or (2)
preventing, minimizing, or remedying
the risk of harm to individuals, the
recipient agency or entity (including its
information systems, programs, and
operations), the Federal Government, or
national security, resulting from a
suspected or confirmed breach.
15. Routine Use for Disclosure for Use
in Litigation. It shall be a routine use of
the records in this system of records to
disclose them to the Department of
VerDate Sep<11>2014
17:02 Oct 21, 2019
Jkt 250001
Justice or other Federal agency
conducting litigation when— (a) DOT,
or any agency thereof, or (b) Any
employee of DOT or any agency thereof,
in his/her official capacity, or (c) Any
employee of DOT or any agency thereof,
in his/her individual capacity where the
Department of Justice has agreed to
represent the employee, or (d) The
United States or any agency thereof,
where DOT determines that litigation is
likely to affect the United States, is a
party to litigation or has an interest in
such litigation, and the use of such
records by the Department of Justice or
other Federal agency conducting the
litigation is deemed by DOT to be
relevant and necessary in the litigation,
provided, however, that in each case,
DOT determines that disclosure of the
records in the litigation is a use of the
information contained in the records
that is compatible with the purpose for
which the records were collected.
16. Disclosure may be made to a
Congressional office from the record of
an individual in response to an inquiry
from the Congressional office made at
the request of that individual. In such
cases, however, the Congressional office
does not have greater rights to records
than the individual. Thus, the
disclosure may be withheld from
delivery to the individual where the file
contains investigative or actual
information or other materials which are
being used, or are expected to be used,
to support prosecution or fines against
the individual for violations of a statute,
or of regulations of the Department
based on statutory authority. No such
limitations apply to records requested
for Congressional oversight or legislative
purposes; release is authorized under 49
CFR 10.35(9).
POLICIES AND PRACTICES FOR STORAGE OF
RECORDS:
Records in this system are stored
electronically on a contractormaintained cloud storage service.
POLICIES AND PRACTICES FOR RETRIEVAL OF
RECORDS:
Records may be retrieved by the
following data elements: CDL holder’s
name, date of birth, license number, and
state of issuance.
POLICIES AND PRACTICES FOR RETENTION AND
DISPOSAL OF RECORDS:
Records will be retained and disposed
of in accordance with the records
control schedule titled, ‘‘Commercial
Driver’s License Drug and Alcohol
Clearinghouse’’ approved by the NARA
on July 23, 2019. The record schedule
requires retention for 5 years if the
violation is resolved and RTD is
completed, after 5 years the records will
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Fmt 4703
Sfmt 4703
56525
be transferred to a separate location for
archiving for 6 years and then the
records will be destroyed. For records
that have not had the RTD process
successfully completed will remain
active in the Clearinghouse for 70 years.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL
SAFEGUARDS:
Records in this system are
safeguarded in accordance with
applicable rules and policies, including
all applicable DOT automated systems
security and access policies.
Appropriate controls have been
imposed to minimize the risk of
compromising the information that is
being stored, and ensuring
confidentiality of communications using
tools such as encryption, authentication
of sending parties, and
compartmentalizing databases; and
employing auditing software.
Clearinghouse data is encrypted at rest.
In addition, the connection between the
database and the server is encrypted.
Access to records in this system is
limited to those individuals who have a
need to know the information for the
performance of their official duties and
who have appropriate clearances or
permissions. All personnel with access
to data are screened through background
investigations commensurate with the
level of access required to perform their
duties.
RECORD ACCESS PROCEDURES:
Individuals seeking notification of
and access to any record contained in
this system of records, or seeking to
contest its content, may submit a
request to the System Manager in
writing in writing to the address
provided under ‘‘System Manager and
Address.’’ Individuals may also search
the public docket at
www.regulations.gov by their name.
When seeking records about yourself
from this system of records or any other
Departmental system of records your
request must conform with the Privacy
Act regulations set forth in 49 CFR part
10. You must sign your request, and
your signature must either be notarized
or submitted under 28 U.S.C. 1746, a
law that permits statements to be made
under penalty of perjury as a substitute
for notarization. While no specific form
is required, you should provide the
following:
• An explanation of why you believe
the Department would have information
on you;
• Identify which component(s) of the
Department you believe may have the
information about you;
• Specify when you believe the
records would have been created;
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Federal Register / Vol. 84, No. 204 / Tuesday, October 22, 2019 / Notices
• Provide any other information that
will help the FOIA staff determine
which DOT component agency may
have responsive records; and
If your request is seeking records
pertaining to another living individual,
you must include a statement from that
individual certifying his/her agreement
for you to access his/her records.
Without this bulleted information, the
component(s) may not be able to
conduct an effective search, and your
request may be denied due to lack of
specificity or lack of compliance with
applicable regulations.
Individuals seeking to contest the
content of any record pertaining to him
or her in the system may contact the
System Manager following the Privacy
Act procedures in 49 CFR part 10,
subpart E, Correction of Records.
Drivers may request corrections in the
accuracy of information in their
Clearinghouse record using procedures
set forth in 49 CFR 382.717. Under these
procedures, request for correction are
limited to inaccurately reported
information, not the accuracy of test
results or refusals. Drivers may also
request that the following information
be removed from their Clearinghouse
record: An employer’s report of actual
knowledge of use, based on a traffic
citation for driving a CMV under the
influence of controlled substances or
alcohol, if the citation did not result in
the driver’s conviction; an employer’s
report of actual knowledge of use, if the
employer’s report does not comply with
applicable documentation and notice
requirements; or an employer’s report of
a failure to appear test refusal, if the
employer’s report does not comply with
applicable documentation and notice
requirements. Drivers may submit their
request for correction or removal
electronically through the
Clearinghouse or in writing to FMCSA.
Written requests for correction must
conform with the Privacy Act
regulations set forth in 49 CFR part 10.
You must sign your request, and your
signature must either be notarized or
submitted under 28 U.S.C. 1746, a law
that permits statements to be made
under penalty of perjury as a substitute
for notarization. While no specific form
is required, you may obtain forms for
this purpose from the Chief Freedom of
Information Officer, https://
www.dot.gov/foia or 202.366.4542.
NOTIFICATION PROCEDURES:
Individuals seeking to contest the
content of any record pertaining to him
or her in the system may contact the
System Manager following the
17:02 Oct 21, 2019
Jkt 250001
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
None.
Issued in Washington, DC.
Claire W. Barrett,
Departmental Chief Privacy Officer.
[FR Doc. 2019–22915 Filed 10–21–19; 8:45 am]
BILLING CODE 4910–9X–P
DEPARTMENT OF TRANSPORTATION
CONTESTING RECORD PROCEDURES:
VerDate Sep<11>2014
procedures described in ‘‘Record Access
Procedures’’ above.
Federal Railroad Administration
Notice of Funding Opportunity for
Railroad Trespassing Enforcement
Grant Program
Federal Railroad
Administration (FRA), Department of
Transportation (DOT).
ACTION: Notice of Funding Opportunity
(notice or NOFO).
AGENCY:
This notice details the
application requirements and
procedures to obtain grant funding for
eligible projects under the Railroad
Trespassing Enforcement Grant
Program. Funding for this program
totaling $150,000 is provided by the
Consolidated Appropriations Act, 2019.
The opportunities described in this
notice are available under Catalog of
Federal Domestic Assistance number
20.301, ‘‘Rail Safety Grants.’’
DATES: Applications for funding under
this solicitation are due no later than
5:00 p.m. Eastern Time (ET), on
December 23, 2019. Applications for
funding received after 5:00 p.m. ET on
December 23, 2019 will not be
considered for funding. See Section D of
this notice for additional information on
the application process.
ADDRESSES: Applications must be
submitted via www.Grants.gov. Only
applicants who comply with all
submission requirements described in
this notice and submit applications
through Grants.gov will be eligible for
award. For any supporting application
materials that an applicant is unable to
submit via Grants.gov, an applicant may
submit an original and two (2) copies to
Amy Houser, Office of Program
Delivery, Federal Railroad
Administration, 1200 New Jersey
Avenue SE, Room W36–412,
Washington, DC 20590. However, due to
delays caused by enhanced screening of
mail delivered via the U.S. Postal
Service, applicants are advised to use
other means of conveyance (such as
SUMMARY:
PO 00000
Frm 00116
Fmt 4703
Sfmt 4703
courier service) to assure timely receipt
of materials.
FOR FURTHER INFORMATION CONTACT: For
further information regarding this
notice, please contact Michail
Grizkewitsch, Office of Railroad Safety,
Federal Railroad Administration, 1200
New Jersey Avenue SE, Room W33–446,
Washington, DC 20590; email:
Michail.grizkewitsch@dot.gov; phone:
(202) 493–1370. Grant application
submission and processing questions
should be addressed to Ms. Amy
Houser, Office of Program Delivery,
Federal Railroad Administration, 1200
New Jersey Avenue SE, Room W36–412,
Washington, DC 20590; email:
amy.houser@dot.gov; phone: (202) 493–
0303.
SUPPLEMENTARY INFORMATION:
Notice to applicants: FRA
recommends that applicants read this
notice in its entirety prior to preparing
application materials. Definitions of key
terms used throughout the NOFO are
provided in Section A(2) below. These
key terms are capitalized throughout the
NOFO. There are several administrative
prerequisites and eligibility
requirements described herein that
applicants must comply with to submit
an application. Additionally, applicants
should note that the required Project
Narrative component of the application
package may not exceed 25 pages in
length.
Table of Contents:
A. Program Description
B. Federal Award Information
C. Eligibility Information
D. Application and Submission Information
E. Application Review Information
F. Federal Award Administration
Information
G. Federal Awarding Agency Contacts
H. Other Information
A. Program Description
1. Overview
Trespassing on a railroad’s private
property and along railroad rights-ofway is the leading cause of rail-related
fatalities in America. Since 1997, more
people have been fatally injured each
year by trespassing than in motor
vehicle collisions with trains at
highway-rail grade crossings.
Nationally, approximately 500
trespassing deaths occur each year.
Trespassers are those who are on
railroad property without permission.
They are most often people who walk
across or along railroad tracks as a
shortcut to another destination. They
also may be engaged in another activity
such as loitering, hunting, bicycling,
snowmobiling, or all-terrain vehicle
riding.
E:\FR\FM\22OCN1.SGM
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]]>Agencies
[Federal Register Volume 84, Number 204 (Tuesday, October 22, 2019)]
[Notices]
[Pages 56521-56526]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-22915]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Motor Carrier Safety Administration
[Docket No. DOT-OST-2019-0137]
Privacy Act of 1974; Department of Transportation, Federal Motor
Carrier Safety Administration; DOT/FMCSA 010 Drug and Alcohol
Clearinghouse
AGENCY: Federal Motor Carrier Safety Administration, Department of
Transportation.
ACTION: Notice of a new system of records.
-----------------------------------------------------------------------
SUMMARY: In accordance with the Privacy Act of 1974, the Department of
Transportation (DOT), Federal Motor Carrier Safety Administration
(FMCSA) proposes a new system of records titled ``Drug and Alcohol
Clearinghouse (Clearinghouse)''. This system of records allows FMCSA to
collect and maintain records on commercial driver's license (CDL) and
commercial learner's permit (CLP) holders who have received verified
positive DOT drug or alcohol test results, refuse such testing, or
otherwise violate FMCSA's drug and alcohol use prohibitions. The
Clearinghouse will collect and maintain records on the completion of
substance abuse programs as part of the return-to-duty process and will
collect and maintain drivers' consent to the release of information. In
addition, the Clearinghouse will collect and maintain records of
queries of the system conducted by employers or service agents acting
on their behalf, and State Driver Licensing Agencies (SDLAs). The
information in this system will be used to enhance compliance with drug
and alcohol use testing regulations by identifying CDL or CLP holders
who have committed drug and alcohol violations that render them
ineligible to operate a commercial motor vehicle (CMV). This new system
will be included in the DOT inventory of record systems.
DATES: Written comments must be submitted on or before November 21,
2019. The system will be effective November 21, 2019. Routine Uses will
be effective at that time.
ADDRESSES: You may submit comments, identified by docket number DOT-
OST-2019-0137 by one of the following methods:
Federal e-Rulemaking Portal: https://www.regulations.gov.
Fax: (202) 366-XXXX.
Mail: Department of Transportation Docket Management, Room W12-140,
1200 New Jersey Ave. SE, Washington, DC 20590.
Instructions: All submissions received must include the agency name
and docket number DOT-OST-2019-0137. All comments received will be
posted without change to https://www.regulations.gov, and may include
any personal information provided. In order to facilitate comment
tracking and response, we encourage commenters to provide their name,
or the name of their organization; however, submission of names is
completely optional. Whether or not commenters identify themselves, all
timely comments will be fully considered. If you wish to provide
comments containing proprietary or confidential information, please
contact the agency for alternate submission instructions.
Docket: For access to the docket to read background documents or
comments received, go to https://www.regulations.gov. Follow the online
instructions for accessing.
FOR FURTHER INFORMATION CONTACT: For system-related questions please
contact Chief, Compliance Division, Office of Enforcement and
Compliance, Federal Motor Carrier Safety Administration, Email:
[email protected], Tel. (202) 366-1812. For privacy questions,
please contact: Claire W. Barrett, Departmental Chief Privacy Officer,
Department of Transportation, S-81, Washington, DC 20590, Email:
[email protected], Tel. (202) 366-8135.
SUPPLEMENTARY INFORMATION:
Background
In accordance with the Privacy Act of 1974, FMCSA is proposing a
new system of records titled ``Drug and Alcohol Clearinghouse''. This
system will collect information related to violations of the Agency's
drug and alcohol testing program regulations committed by holders of
commercial driver's licenses (CDL) or commercial learner's permits
(CLP).
On December 5, 2016, FMCSA published a final rule titled,
``Commercial Driver's License Drug and Alcohol Clearinghouse'' (81 FR
87686). The rule amended the Federal Motor Carrier Safety Regulations
(FMCSRs) to
[[Page 56522]]
establish requirements for the CDL Drug and Alcohol Clearinghouse
(Clearinghouse), a database under the Agency's administration that will
contain information about violations of FMCSA's drug and alcohol
testing program for CDL or CLP holders. This rule was mandated by the
Moving Ahead for Progress in the 21st Century Act (MAP-21) (Pub. L.
112-141, 126 Stat. 405, codified at 49 U.S.C. 31306a). The
Clearinghouse will enhance compliance with drug and alcohol use and
testing regulations by identifying CDL or CLP holders who have
committed drug and alcohol violations that render them ineligible to
operate a commercial motor vehicle (CMV).
The Clearinghouse is a tool that FMCSA, employers, and prospective
employers will use to identify drivers who are prohibited from
operating a CMV, based on DOT drug and alcohol program violations, and
ensure that such drivers receive the required substance abuse
evaluation and treatment before operating a CMV on public roads.
Specifically, the drug and alcohol program violation information
maintained in the Clearinghouse will enable employers to identify
drivers who commit a drug or alcohol program violation while working
for another employer, but who subsequently fail to inform a potential
or new employer, as is required by current regulations.
Employers, or their designated service agents (Consortia/Third-
Party Administrator (C/TPA)) are required to query the Clearinghouse
using the name of the driver to search for any drug and alcohol program
violations before hiring a prospective driver, and at least annually
for all currently employed drivers. Queries of the Clearinghouse fall
into one of two categories: Limited or full. Both limited and full
queries require a driver's consent before any information can be
released about that driver. A limited query of the Clearinghouse will
inform the employer or C/TPA whether or not any violation related
information about the driver exists; however, a limited query does not
result in the release of any detailed violation information. To view
detailed violation information contained in the Clearinghouse, the
employer or C/TPA must perform a full query. Once a driver's specific
consent is obtained, a full query will return the following information
about the driver:
Driver details, including name, date of birth, contact
information, CLP/CLD information, and eligibility status
Information about the driver's employer who ordered the test
or reported a violation to the Clearinghouse
Test details, including the type of test, violation details,
and test result
Information about who entered the test result
Return-to-duty (RTD) activity information
When an employer queries the driver as a pre-employment check, a
full query must be conducted. In accordance with 382.701(c), if
additional information is entered on the driver within 30 days of the
pre-employment query, the Clearinghouse will send an electronic
notification to the employer or C/TPA indicating additional information
has been added to a previously queried record. The employer must login
to the Clearinghouse and obtain specific consent from the driver before
the details of this newly reported information will be disclosed. An
annual query may be conducted as either a limited query or a full
query.
A limited query requires a driver's general consent, which may be
effective for an indefinite period (e.g., the duration of employment)
and for an unlimited number of queries. The scope of general consent is
decided between the employer and the driver; employers must retain
general consent documentation for three years. Once the employer
obtains general consent, the employer will log into the Clearinghouse,
select limited query, enter the driver's information, and submit the
query. The Clearinghouse will return a message to the employer
indicating whether the Clearinghouse contains drug or alcohol
violation-related information on the queried driver. If the limited
query indicates that the Clearinghouse contains information on the
driver, the employer or C/TPA must conduct a full query.
When conducting a full query, the employer or C/TPA must obtain
specific consent from the driver by logging into the Clearinghouse and
requesting that the driver provide consent to release full query
results. When an employer requests a full query, the driver will
receive notification of the request for specific consent via the
preferred contact method indicated in their Clearinghouse account, such
as email or U.S. mail. To grant or decline specific consent, the driver
must register in the Clearinghouse to establish an account. Once logged
in, the driver will be able to either grant or decline consent to the
requesting employer. If the driver provides consent, the employer will
receive notification of the consent via email. The employer will log
into their account to view the detailed information for the queried
driver.
In accordance with the Clearinghouse final rule, if an employer is
unable to obtain either general consent from a driver for a limited
query, or specific consent for a full query, the employer must remove
the driver from performing safety-sensitive functions, as described
above.
In addition to the general routine uses applicable to all DOT
systems of records, FMCSA is proposing three new system-specific
Routine Uses to support enforcement of drug and alcohol use and testing
regulations and to implement statutory requirements pertaining to
States and the National Transportation Safety Board.
The first proposed Routine Use would allow the sharing of driver
eligibility and compliance data with Motor Carrier Safety Assistance
Program (MCSAP) partner agencies, for use during investigations,
roadside inspections and compliance reviews of motor carriers. The
MCSAP is a Federal grant program providing financial assistance to
States to reduce the number and severity of crashes involving CMVs.
MCSAP personnel act on the Agency's behalf to enforce the FMCSRs. This
routine use will strengthen the enforcement of the current prohibition
against operating a CMV, or performing other safety-sensitive
functions, due to drug and alcohol program violations, as well as other
drug and alcohol program requirements. The second proposed Routine Use
would allow the sharing of a driver's CMV operating status (prohibited
or not prohibited) in response to mandatory queries conducted by a
State Driver's Licensing Agency (SDLA) anytime a CDL is issued,
renewed, transferred or upgraded. This routine use will allow SDLAs to
verify a driver's eligibility to operate a CMV prior to completing
licensing transactions (as mandated by 49 U.S.C. 31311(a)(24);
31306a(h)(2)). The third proposed Routine Use would allow the National
Transportation Safety Board (NTSB), upon request, to receive
information on a driver who is involved in a crash under investigation
by the NTSB (as mandated by 49 U.S.C. 31306a(i)). These proposed
Routine Uses allow MCSAP partners, SDLAs, and NTSB to identify CDL or
CLP holders who have committed drug and alcohol violations that render
them ineligible to operate a commercial motor vehicle (CMV). They are
compatible with the purpose for which the information was collected,
directly furthering the goals of 49 U.S.C. 31306a, to improve roadway
safety and enhance
[[Page 56523]]
compliance with drug and alcohol use testing regulations.
FMCSA has also included DOT General Routine Uses, to the extent
they are compatible with the purposes of this System. As recognized by
the Office of Management and Budget (OMB) in its Privacy Act
Implementation Guidance and Responsibilities (65 FR 19746, July 9,
1975), the routine uses include proper and necessary uses of
information in the system, even if such uses occur infrequently. FMCSA
has included in this notice routine uses for disclosures to law
enforcement when the record, on its face, indicates a violation of law,
to DOJ for litigation purposes, or when necessary in investigating or
responding to a breach of this system or other agencies' systems. DOT
may disclose to Federal, State, local, or foreign agency information
relevant to law enforcement, litigation, and proceedings before any
court or adjudicative or administrative body. OMB has long recognized
that these types of routine uses are ``proper and necessary'' uses of
information and qualify as compatible with agency systems. 65 FR 19476.
In addition, by OMB Memorandum M-17-12, OMB directed agencies to
include routine uses that will permit sharing of information when
needed to investigate, respond to, and mitigate a breach of a Federal
information system. DOT also has included routine uses that permit
sharing with the National Archives and Records Administration when
necessary for an inspection, to any Federal government agency engaged
in audit or oversight related to this system, or when DOT determines
that the disclosure will detect, prevent, or mitigate terrorism
activity. These types of disclosures are necessary and proper uses of
information in this system because they further DOT's obligation to
fulfil its records management and program management responsibilities
by facilitating accountability to agencies charged with oversight in
these areas, and DOT's obligation under Intelligence Reform and
Terrorism Prevention Act of 2004, Public Law 108-456, and Executive
Order 13388 (Oct. 25, 2005) to share information necessary and relevant
to detect, prevent, disrupt, preempt, or mitigate the effects of
terrorist activities against the territory, people, and interests of
the United States.
Privacy Act
The Privacy Act governs the means by which the Federal Government
agencies collect, maintain, use, and disseminate individuals' records.
The Privacy Act applies to information that is maintained in a ``system
of records.'' A ``system of records'' is a group of any records under
the control of an agency from which information is retrieved by the
name of an individual or by some identifying number, symbol, or other
identifying particular assigned to the individual. The Privacy Act
extends rights and protections to individuals who are U.S. citizens and
lawful permanent residents. Additionally, the Judicial Redress Act
(JRA) provides a covered person with a statutory right to make requests
for access and amendment to covered records, as defined by the JRA,
along with judicial review for denials of such requests. In addition,
the JRA prohibits disclosures of covered records, except as otherwise
permitted by the Privacy Act.
Below is the description of the Clearinghouse System of Records. In
accordance with 5 U.S.C. 552a(r), DOT has provided a report of this
system of records to the OMB and to Congress.
SYSTEM NAME AND NUMBER
DOT/FMCSA 010--Commercial Driver's License Drug and Alcohol
Clearinghouse (Clearinghouse).
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
The Clearinghouse is developed by a third-party contractor on
behalf of FMCSA. Records are maintained in a third-party cloud
environment at the U.S. DOT at 1200 New Jersey Avenue SE, Washington,
DC 20590.
SYSTEM MANAGER(S):
Chief, Compliance Division, Office of Enforcement and Compliance,
FMCSA, U.S. DOT, 1200 New Jersey Avenue SE, Washington, DC 20590;
[email protected]
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
Moving Ahead for Progress in the 21st Century Act (MAP-21), (49
U.S.C. 31306a(a)(1)).
PURPOSE(S) OF THE SYSTEM:
The purpose of the Clearinghouse is to: (1) Improve compliance with
the DOT's controlled substances and alcohol testing program applicable
to Commercial Driver's License (CDL) and Commercial Learner's Permit
(CLP) holders; and (2) enhance the safety of U.S. roadways by reducing
crashes and injuries involving drivers violating alcohol or controlled
substances regulations (49 U.S.C. 31306a(a)(2)). FMCSA and motor
carrier employers will use information in the Clearinghouse records to
identify drivers who are prohibited from operating a Commercial Motor
Vehicle (CMV) and must receive the required evaluation and treatment
before resuming safety-sensitive functions. Safety-sensitive functions
are defined in 49 CFR 382.107 as the time from when a driver begins to
work or is required to be in readiness to work until the time he/she is
relieved from work and all responsibility for performing work. Safety-
sensitive functions include driving a CMV on public roads.
In addition, the Clearinghouse will allow prospective employers to
confirm a driver did not commit a drug or alcohol violation while
working for another employer that would prohibit the individual from
operating a CMV or performing other safety-sensitive functions.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Categories of individuals within this system include: CDL and CLP
holders. Information about Medical Review Officers (MRO), Substance
Abuse Professionals (SAP), employers, and Consortia/Third-Party
Administrators (C/TPA) may be included in CDL and CLP holders' records.
CATEGORIES OF RECORDS IN THE SYSTEM:
Categories of records in the system include:
The following information about CDL and CLP holders:
Name
Contact Information including physical address, phone
number(s) and email address
Date of birth
Current and previous CLP or CDL license number, state of
issuance, and expiration date
Drug or alcohol test results and violation information
including employer name, address, and USDOT#, as applicable
CMV driving eligibility status
Driver Substance Abuse Professional (SAP) selection
including SAP name, address and phone number, as applicable
Actual Knowledge Report Information, including violation
details, documentation to support the allegation and certificate of
service to the employee, as applicable
Failure to appear and refusal to test detail information,
including documentation regarding notification of test requirement,
documentation of termination or resignation and certificate of service
to the employee, as applicable
Return to duty (RTD) eligibility date and negative test
result. A negative RTD test result allows the driver to resume
operation of a CMV and other safety-sensitive functions
[[Page 56524]]
Follow-up testing plan completion information
Query information including who requested the query and
when the query was conducted
Query consent information including the driver's approval
or refusal
Information about MROs and SAPs as specified in Sec. 382.711(c) to
include:
Contact information including name, email address, phone
number(s), office location addresses and applicable qualifications as
per 49 CFR part 40.
Information about employers, designated agents and C/TPAs as
specified in Sec. 382.711(b) and Sec. 382.711(d) to include:
Contact information including name, email address, phone
number(s), office location addresses
USDOT #, as applicable
RECORD SOURCE CATEGORIES:
Records are obtained from MROs for CLP or CDL holders who have
confirmed positive tests or test refusals. Motor carrier employers will
report actual knowledge of use, alcohol confirmation test results, or
test refusals. Records regarding completion of required RTD processes
are obtained from SAPs and employers. Records are obtained from
employers who request full query consent of drivers and the approval or
rejection of the consent from the drivers. Registration information
records are obtained from CLP and CDL holders, MROs, SAPs, employers,
and their designated agents when an authorized user registers for the
Clearinghouse and creates a new account or when updating previous
account information.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a portion of the records or
information contained in this system may be disclosed outside DOT as a
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
System Specific Routine Uses
1. To Motor Carrier Safety Assistance Program (MCSAP) partner
agencies, for use during investigations, roadside inspections and
safety audits of motor carriers. This routine use will enable the MCSAP
agencies to enforce the current prohibition against operating a CMV, or
performing other safety-sensitive functions, due to drug and alcohol
program violations.
2. To State Driver's Licensing Agency (SDLA), for the purposes of
verifying a driver's qualification to operate a CMV prior to completing
any licensing transactions, including issuance, renewal, transfer, or
upgrade of any a CLP or CDL (as mandated by 49 U.S.C. 31311(a)(24);
31306a(h)(2)).
3. To the National Transportation Safety Board (NTSB), upon
request, when a driver is involved in a crash under investigation by
the NTSB (as mandated by 49 U.S.C. 31306a(i)).
Department General Routine Uses
4. One or more records from a system of records may be disclosed
routinely to the National Archives and Records Administration (NARA) in
records management inspections being conducted under the authority of
44 U.S.C. 2904 and 2906.
5. DOT may make available to another agency or instrumentality of
any government jurisdiction, including State and local governments,
listings of names from any system of records in DOT for use in law
enforcement activities, either civil or criminal, or to expose
fraudulent claims, regardless of the stated purpose for the collection
of the information in the system of records. These enforcement
activities are generally referred to as matching programs because two
lists of names are checked for match using automated assistance. This
routine use is advisory in nature and does not offer unrestricted
access to systems of records for such law enforcement and related
antifraud activities. Each request will be considered on the basis of
its purpose, merits, cost effectiveness and alternatives using
Instructions on reporting computer matching programs to the Office of
Management and Budget, OMB, Congress, and the public, published by the
Director, OMB, dated September 20, 1989.
6. DOT may disclose records from this system, as a routine use, to
the Office of Government Information Services for the purpose of (a)
resolving disputes between FOIA requesters and Federal agencies and (b)
reviewing agencies' policies, procedures, and compliance in order to
recommend policy changes to Congress and the President.
7. DOT may disclose records from the system, as a routine use, to
contractors and their agents, experts, consultants, and others
performing or working on a contract, service, cooperative agreement, or
other assignment for DOT, when necessary to accomplish an agency
function related to this system of records.
8. DOT may disclose records from this system, as a routine use, to
an agency, organization, or individual for the purpose of performing
audit or oversight operations related to this system of records, but
only such records as are necessary and relevant to the audit or
oversight activity. This routine use does not apply to intra-agency
sharing authorized under Section (b)(1) of the Privacy Act.
9. DOT may disclose from this system, as a routine use, records
consisting of, or relating to, terrorism information (6 U.S.C.
485(a)(5)), homeland security information (6 U.S.C. 482(f)(1)), or Law
enforcement information (Guideline 2 Report attached to White House
Memorandum, ``Information Sharing Environment'', November 22, 2006) to
a Federal, State, local, tribal, territorial, foreign government and/or
multinational agency, either in response to its request or upon the
initiative of the Component, for purposes of sharing such information
as is necessary and relevant for the agencies to detect, prevent,
disrupt, preempt, and mitigate the effects of terrorist activities
against the territory, people, and interests of the United States of
America, as contemplated by the Intelligence Reform and Terrorism
Prevention Act of 2004 (Pub. L. 108-458) and Executive Order 13388
(October 25, 2005).
10. In the event that a system of records maintained by DOT to
carry out its functions indicates a violation or potential violation of
law, whether civil, criminal or regulatory in nature, and whether
arising by general statute or particular program pursuant thereto, the
relevant records in the system of records may be referred, as a routine
use, to the appropriate agency, whether Federal, State, local or
foreign, charged with the responsibility of investigating or
prosecuting such violation or charged with enforcing or implementing
the statute, or rule, regulation, or order issued pursuant thereto.
11. A record from this system of records may be disclosed, as a
routine use, to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement information or other pertinent
information, such as current licenses, if necessary to obtain
information relevant to a DOT decision concerning the hiring or
retention of an employee, the issuance of a security clearance, the
letting of a contract, or the issuance of a license, grant or other
benefit.
12. A record from this system of records may be disclosed, as a
routine use, to a Federal agency, in response to its request, in
connection with the hiring or retention of an employee, the issuance of
a security clearance, the reporting of an investigation of an employee,
the letting of a contract, or the issuance of a license, grant, or
other
[[Page 56525]]
benefit by the requesting agency, to the extent that the information is
relevant and necessary to the requesting agency's decision on the
matter.
13. Routine Use for Agency Disclosure in Other Proceedings. It
shall be a routine use of records in this system to disclose them in
proceedings before any court or adjudicative or administrative body
before which DOT or any agency thereof, appears, when-- (a) DOT, or any
agency thereof, or (b) Any employee of DOT or any agency thereof in
his/her official capacity, or (c) Any employee of DOT or any agency
thereof in his/her individual capacity where DOT has agreed to
represent the employee, or (d) The United States or any agency thereof,
where DOT determines that the proceeding is likely to affect the United
States, is a party to the proceeding or has an interest in such
proceeding, and DOT determines that use of such records is relevant and
necessary in the proceeding, provided, however, that in each case, DOT
determines that disclosure of the records in the proceeding is a use of
the information contained in the records that is compatible with the
purpose for which the records were collected.
14a. DOT may disclose records from the system, as a routine use to
appropriate agencies, entities, and persons when (1) DOT suspects or
has confirmed that there has been a breach of the system of records,
(2) DOT has determined that as a result of the suspected or confirmed
breach there is a risk of harm to individuals, DOT (including its
information systems, programs, and operations), the Federal Government,
or national security; and (3) the disclosure made to such agencies,
entities, and persons is reasonably necessary to assist in connection
with DOT's efforts to respond to the suspected or confirmed breach or
to prevent, minimize, or remedy such harm.
14b. DOT may disclose records from the system, as a routine use to
another Federal agency or Federal entity, when DOT determines that
information from this system of records is reasonably necessary to
assist the recipient agency or entity in (1) responding to a suspected
or confirmed breach or (2) preventing, minimizing, or remedying the
risk of harm to individuals, the recipient agency or entity (including
its information systems, programs, and operations), the Federal
Government, or national security, resulting from a suspected or
confirmed breach.
15. Routine Use for Disclosure for Use in Litigation. It shall be a
routine use of the records in this system of records to disclose them
to the Department of Justice or other Federal agency conducting
litigation when-- (a) DOT, or any agency thereof, or (b) Any employee
of DOT or any agency thereof, in his/her official capacity, or (c) Any
employee of DOT or any agency thereof, in his/her individual capacity
where the Department of Justice has agreed to represent the employee,
or (d) The United States or any agency thereof, where DOT determines
that litigation is likely to affect the United States, is a party to
litigation or has an interest in such litigation, and the use of such
records by the Department of Justice or other Federal agency conducting
the litigation is deemed by DOT to be relevant and necessary in the
litigation, provided, however, that in each case, DOT determines that
disclosure of the records in the litigation is a use of the information
contained in the records that is compatible with the purpose for which
the records were collected.
16. Disclosure may be made to a Congressional office from the
record of an individual in response to an inquiry from the
Congressional office made at the request of that individual. In such
cases, however, the Congressional office does not have greater rights
to records than the individual. Thus, the disclosure may be withheld
from delivery to the individual where the file contains investigative
or actual information or other materials which are being used, or are
expected to be used, to support prosecution or fines against the
individual for violations of a statute, or of regulations of the
Department based on statutory authority. No such limitations apply to
records requested for Congressional oversight or legislative purposes;
release is authorized under 49 CFR 10.35(9).
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records in this system are stored electronically on a contractor-
maintained cloud storage service.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records may be retrieved by the following data elements: CDL
holder's name, date of birth, license number, and state of issuance.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records will be retained and disposed of in accordance with the
records control schedule titled, ``Commercial Driver's License Drug and
Alcohol Clearinghouse'' approved by the NARA on July 23, 2019. The
record schedule requires retention for 5 years if the violation is
resolved and RTD is completed, after 5 years the records will be
transferred to a separate location for archiving for 6 years and then
the records will be destroyed. For records that have not had the RTD
process successfully completed will remain active in the Clearinghouse
for 70 years.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records in this system are safeguarded in accordance with
applicable rules and policies, including all applicable DOT automated
systems security and access policies. Appropriate controls have been
imposed to minimize the risk of compromising the information that is
being stored, and ensuring confidentiality of communications using
tools such as encryption, authentication of sending parties, and
compartmentalizing databases; and employing auditing software.
Clearinghouse data is encrypted at rest. In addition, the connection
between the database and the server is encrypted. Access to records in
this system is limited to those individuals who have a need to know the
information for the performance of their official duties and who have
appropriate clearances or permissions. All personnel with access to
data are screened through background investigations commensurate with
the level of access required to perform their duties.
RECORD ACCESS PROCEDURES:
Individuals seeking notification of and access to any record
contained in this system of records, or seeking to contest its content,
may submit a request to the System Manager in writing in writing to the
address provided under ``System Manager and Address.'' Individuals may
also search the public docket at www.regulations.gov by their name.
When seeking records about yourself from this system of records or
any other Departmental system of records your request must conform with
the Privacy Act regulations set forth in 49 CFR part 10. You must sign
your request, and your signature must either be notarized or submitted
under 28 U.S.C. 1746, a law that permits statements to be made under
penalty of perjury as a substitute for notarization. While no specific
form is required, you should provide the following:
An explanation of why you believe the Department would
have information on you;
Identify which component(s) of the Department you believe
may have the information about you;
Specify when you believe the records would have been
created;
[[Page 56526]]
Provide any other information that will help the FOIA
staff determine which DOT component agency may have responsive records;
and
If your request is seeking records pertaining to another living
individual, you must include a statement from that individual
certifying his/her agreement for you to access his/her records. Without
this bulleted information, the component(s) may not be able to conduct
an effective search, and your request may be denied due to lack of
specificity or lack of compliance with applicable regulations.
CONTESTING RECORD PROCEDURES:
Individuals seeking to contest the content of any record pertaining
to him or her in the system may contact the System Manager following
the Privacy Act procedures in 49 CFR part 10, subpart E, Correction of
Records.
Drivers may request corrections in the accuracy of information in
their Clearinghouse record using procedures set forth in 49 CFR
382.717. Under these procedures, request for correction are limited to
inaccurately reported information, not the accuracy of test results or
refusals. Drivers may also request that the following information be
removed from their Clearinghouse record: An employer's report of actual
knowledge of use, based on a traffic citation for driving a CMV under
the influence of controlled substances or alcohol, if the citation did
not result in the driver's conviction; an employer's report of actual
knowledge of use, if the employer's report does not comply with
applicable documentation and notice requirements; or an employer's
report of a failure to appear test refusal, if the employer's report
does not comply with applicable documentation and notice requirements.
Drivers may submit their request for correction or removal
electronically through the Clearinghouse or in writing to FMCSA.
Written requests for correction must conform with the Privacy Act
regulations set forth in 49 CFR part 10. You must sign your request,
and your signature must either be notarized or submitted under 28
U.S.C. 1746, a law that permits statements to be made under penalty of
perjury as a substitute for notarization. While no specific form is
required, you may obtain forms for this purpose from the Chief Freedom
of Information Officer, https://www.dot.gov/foia or 202.366.4542.
NOTIFICATION PROCEDURES:
Individuals seeking to contest the content of any record pertaining
to him or her in the system may contact the System Manager following
the procedures described in ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
None.
Issued in Washington, DC.
Claire W. Barrett,
Departmental Chief Privacy Officer.
[FR Doc. 2019-22915 Filed 10-21-19; 8:45 am]
BILLING CODE 4910-9X-P
