Commercial Driver's License (CDL) Standards; Incorporation by Reference of a New State Procedures Manual (SPM), 12800-12810 [2024-03191]
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12800
Federal Register / Vol. 89, No. 34 / Tuesday, February 20, 2024 / Proposed Rules
Pipelines and Enhancing Safety Act of
2020’’ to enhance safety and reduce
methane emissions from new and
existing gas transmission pipelines,
distribution pipelines, regulated (Types
A, B, C, and offshore) gas gathering
pipelines, underground natural gas
storage facilities, and liquefied natural
gas facilities. Among the proposed
amendments for part 192-regulated gas
pipelines are strengthened leakage
survey and patrolling requirements;
performance standards for advanced
leak detection programs; leak grading
and repair criteria with mandatory
repair timelines; requirements for
mitigation of emissions from
blowdowns; pressure relief device
design, configuration, and maintenance
requirements; and clarified
requirements for investigating failures.
Finally, this NPRM proposes to expand
reporting requirements for operators of
all gas pipeline facilities within DOT’s
jurisdiction, including underground
natural gas storage facilities and
liquefied natural gas facilities. PHMSA
requested public comments with a
submission deadline of August 16,
2023.2 PHMSA received over 43,000
comments on the NPRM.
In the ‘‘Class Location Change
Requirements’’ NPRM, PHMSA
proposes to revise the Federal Pipeline
Safety Regulations to amend the
requirements for gas transmission
pipeline segments that experience a
change in class location. Under the
existing regulations, pipeline segments
located in areas where the population
density has significantly increased must
perform one of the following actions:
reduce the pressure of the pipeline
segment; pressure test the pipeline
segment to higher standards; or replace
the pipeline segment. This proposed
rule would add an alternative set of
requirements operators could use—
based on implementation of integrity
management principles and pipe
eligibility criteria—to manage certain
pipeline segments where the class
location has changed from a Class 1
location to a Class 3 location. Through
required periodic assessments, repair
criteria, and other additional preventive
and mitigative measures, PHMSA
expects this alternative approach will
provide long-term safety benefits
consistent with the current natural gas
pipeline safety rules while also
providing cost savings for pipeline
operators. PHMSA requested public
comments with a submission deadline
of December 14, 2020.3 PHMSA
received 14 comments on the NPRM.
2 88
3 85
FR 42284.
FR 65142
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Following the GPAC meeting, PHMSA
will evaluate the GPAC’s
recommendations and publish final
rules that address the comments
received and relevant information from
the GPAC meeting report.
II. Background
The GPAC is a statutorily mandated
advisory committee that provides the
Secretary of Transportation and PHMSA
with recommendations on proposed
standards for the transportation of gas
by pipeline. The committee was
established in accordance with 49
U.S.C. 60115 and the Federal Advisory
Committee Act (FACA) of 1972 (Pub. L.
92–463) to review PHMSA’s regulatory
initiatives and determine their technical
feasibility, reasonableness, costeffectiveness, and practicability. The
committee consists of 15 members, with
membership evenly divided among
Federal and State governments,
regulated industry, and the general
public.
III. Public Participation
The meeting will be open to the
public. Members of the public who wish
to attend must register on the meeting
website and include their names and
affiliations. PHMSA will provide
members of the public reasonable
opportunity to make a statement during
this meeting. However, commenters
may be limited to 3 minutes each to
accommodate the business of the
committee, and trade organizations are
asked to have no more than one speaker
per organization. PHMSA will provide a
Microsoft Teams link on the meeting
web page at https://primis.phmsa.dot.
gov/meetings/MtgHome.mtg?mtg=169
for the public to listen to the meeting
(please note: attendees who listen to the
meeting via Microsoft Teams will not
have the opportunity to make a
statement during the meeting).
Additionally, PHMSA will record the
meeting and post the recording to the
public docket. PHMSA is committed to
providing all participants with equal
access to this meeting. Comments on the
proceedings of the GPAC meeting must
be submitted by April 29, 2024. If you
need an accommodation due to a
disability, please contact Tewabe Asebe
by phone at 202–366–5523 or by email
at tewabe.asebe@dot.gov.
PHMSA is not always able to publish
a notice in the Federal Register quickly
enough to provide timely notice
regarding last-minute issues that impact
a previously announced advisory
committee meeting including start and
end times. Therefore, individuals
should check the meeting website or
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contact Tewabe Asebe regarding any
possible changes.
Issued in Washington, DC, on February 14,
2024, under authority delegated in 49 CFR
1.97.
Alan K. Mayberry,
Associate Administrator for Pipeline Safety.
[FR Doc. 2024–03361 Filed 2–16–24; 8:45 am]
BILLING CODE 4910–60–P
DEPARTMENT OF TRANSPORTATION
Federal Motor Carrier Safety
Administration
49 CFR Part 384
[Docket No. FMCSA–2023–0269]
RIN 2126–AC68
Commercial Driver’s License (CDL)
Standards; Incorporation by Reference
of a New State Procedures Manual
(SPM)
Federal Motor Carrier Safety
Administration (FMCSA), Department
of Transportation (DOT).
ACTION: Notice of proposed rulemaking
(NPRM).
AGENCY:
FMCSA proposes to amend
the Federal Motor Carrier Safety
Regulations (FMCSRs) to incorporate by
reference the most recent edition of the
American Association of Motor Vehicle
Administrators, Inc. (AAMVA)
Commercial Driver’s License
Information System (CDLIS) State
Procedures Manual (SPM), Version c.0.
This would require all State driver’s
licensing agencies (SDLAs) to use this
edition of the manual to provide
guidance on the information systems
procedures of the commercial driver’s
license (CDL) program. Such
information includes, but is not limited
to, CDL standards, State compliance
with CDL programs, qualifications of
drivers, and credentials and security
threats assessments.
DATES: Comments must be received on
or before March 21, 2024.
ADDRESSES: You may submit comments
identified by Docket Number FMCSA–
2023–0269 using any of the following
methods:
• Federal eRulemaking Portal: Go to
https://www.regulations.gov/docket/
FMCSA-2023-0269/document. Follow
the online instructions for submitting
comments.
• Mail: Dockets Operations, U.S.
Department of Transportation, 1200
New Jersey Avenue SE, West Building,
Ground Floor, Washington, DC 20590–
0001.
SUMMARY:
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• Hand Delivery or Courier: Dockets
Operations, U.S. Department of
Transportation, 1200 New Jersey
Avenue SE, West Building, Ground
Floor, Washington, DC 20590–0001,
between 9 a.m. and 5 p.m., Monday
through Friday, except Federal holidays.
To be sure someone is there to help you,
please call (202) 366–9317 or (202) 366–
9826 before visiting Dockets Operations.
• Fax: (202) 493–2251.
Viewing incorporation by reference
material: You may inspect the material
proposed for incorporation by reference
at U.S. Department of Transportation
Library, 1200 New Jersey Avenue SE,
Washington, DC 20590–0001 between 8
a.m. and 5 p.m., Monday through
Friday, except Federal holidays. The
telephone number is (202) 366–1812.
Copies of the material are available as
indicated in the ‘‘Executive Summary’’
section of this preamble.
FOR FURTHER INFORMATION CONTACT: Ms.
Rebecca Rehberg, CDL Division,
FMCSA, 1200 New Jersey Avenue SE,
Washington, DC 20590–0001; (850) 728–
2034, cdlcompliance@dot.gov. If you
have questions on viewing or submitting
material to the docket, call Dockets
Operations at (202) 366–9826.
SUPPLEMENTARY INFORMATION: FMCSA
organizes this NPRM as follows:
I. Public Participation and Request for
Comments
A. Submitting Comments
B. Viewing Comments and Documents
C. Privacy
II. Executive Summary
A. Purpose and Summary of the Regulatory
Action
III. Abbreviations
IV. Legal Basis
V. Background
VI. Discussion of Proposed Rulemaking
VII. Severability
VIII. Section-by-Section Analysis
IX. Regulatory Analyses
A. E.O. 12866 (Regulatory Planning and
Review), E.O. 13563 (Improving
Regulation and Regulatory Review), E.O.
14094 (Modernizing Regulatory Review),
and DOT Regulatory Policies and
Procedures
B. Congressional Review Act
C. Regulatory Flexibility Act
D. Assistance for Small Entities
E. Unfunded Mandates Reform Act of 1995
F. Paperwork Reduction Act
G. E.O. 13132 (Federalism)
H. Privacy
I. E.O. 13175 (Indian Tribal Governments)
J. National Environmental Policy Act of
1969
K. Rulemaking Summary
I. Public Participation and Request for
Comments
A. Submitting Comments
If you submit a comment, please
include the docket number for this
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NPRM (FMCSA–2023–0269), indicate
the specific section of this document to
which your comment applies, and
provide a reason for each suggestion or
recommendation. You may submit your
comments and material online or by fax,
mail, or hand delivery, but please use
only one of these means. FMCSA
recommends that you include your
name and a mailing address, an email
address, or a phone number in the body
of your document so FMCSA can
contact you if there are questions
regarding your submission.
To submit your comment online, go to
https://www.regulations.gov/docket/
FMCSA-2023-0269/document, click on
this NPRM, click ‘‘Comment,’’ and type
your comment into the text box on the
following screen.
If you submit your comments by mail
or hand delivery, submit them in an
unbound format, no larger than 81⁄2 by
11 inches, suitable for copying and
electronic filing. FMCSA will consider
all comments and material received
during the comment period.
Confidential Business Information (CBI)
CBI is commercial or financial
information that is both customarily and
actually treated as private by its owner.
Under the Freedom of Information Act
(5 U.S.C. 552), CBI is exempt from
public disclosure. If your comments
responsive to the NPRM contain
commercial or financial information
that is customarily treated as private,
that you actually treat as private, and
that is relevant or responsive to the
NPRM, it is important that you clearly
designate the submitted comments as
CBI. Please mark each page of your
submission that constitutes CBI as
‘‘PROPIN’’ to indicate it contains
proprietary information. FMCSA will
treat such marked submissions as
confidential under the Freedom of
Information Act, and they will not be
placed in the public docket of the
NPRM. Submissions containing CBI
should be sent to Brian Dahlin, Chief,
Regulatory Evaluation Division, Office
of Policy, FMCSA, 1200 New Jersey
Avenue SE, Washington, DC 20590–
0001 or via email at brian.g.dahlin@
dot.gov. At this time, you need not send
a duplicate hardcopy of your electronic
CBI submissions to FMCSA
headquarters. Any comments FMCSA
receives not specifically designated as
CBI will be placed in the public docket
for this rulemaking.
B. Viewing Comments and Documents
To view any documents mentioned as
being available in the docket, go to
https://www.regulations.gov/docket/
FMCSA-2023-0269/document and
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12801
choose the document to review. To view
comments, click this NPRM, then click
‘‘Browse Comments.’’ If you do not have
access to the internet, you may view the
docket online by visiting Dockets
Operations on the ground floor of the
DOT West Building, 1200 New Jersey
Avenue SE, Washington, DC 20590–
0001, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal
holidays. To be sure someone is there to
help you, please call (202) 366–9317 or
(202) 366–9826 before visiting Dockets
Operations.
C. Privacy
In accordance with 5 U.S.C. 553(c),
DOT solicits comments from the public
to better inform its regulatory process.
DOT posts these comments, including
any personal information the
commenter provides, to
www.regulations.gov as described in the
system of records notice DOT/ALL 14
(Federal Docket Management System
(FDMS)), which can be reviewed at
https://www.transportation.gov/
individuals/privacy/privacy-act-systemrecords-notices. The comments are
posted without edit and are searchable
by the name of the submitter.
II. Executive Summary
A. Purpose and Summary of the
Regulatory Action
In this NPRM, FMCSA proposes to
incorporate by reference version c.0 of
the Commercial Driver’s License
Information System (CDLIS) State
Procedures Manual (SPM), which the
American Association of Motor Vehicle
Administrators, Inc. (AAMVA) released
in September 2023. In 2014, FMCSA
incorporated by reference version
5.3.2.1 of the CDLIS SPM, which
AAMVA released in August 2013 (79 FR
59450 (Oct. 14, 2014)). Version c.0 of
the CDLIS SPM has replaced the 2013
version. The CDLIS SPM (version c.0)
provides guidance on the information
system procedures of the CDL program.
This change reflects a routine update of
the referenced SPM (version c.0) to
include changes introduced to exchange
driver history record information (EEE)
procedures and drug and alcohol
clearinghouse (DACH II or
Clearinghouse) information exclusively
electronically. This NPRM discusses all
updates to the currently incorporated
2013 edition of the SPM (version c.0).
FMCSA is providing the public an
opportunity to comment on the
incorporation by reference of version c.0
of the SPM.
The material is available, and will
continue to be available, for inspection
at the Department of Transportation
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Library by the means identified in
ADDRESSES. Copies of the SPM (version
c.0) may also be obtained through
AAMVA. Further details and contact
addresses and telephone numbers are
provided in proposed § 384.107 in the
amendatory text of this NPRM. AAMVA
plans to update this SPM as needed to
reflect changing legal requirements and
best practices in the operations of
CDLIS. Incorporating version c.0 by
reference, however, should ensure that
each State complies with the specific
version required by FMCSA.
Twenty-six updates distinguish the
September 2023 edition of the SPM
(version c.0) from the August 2013
edition. The incorporation by reference
of the September 2023 edition does not
impose new regulatory requirements
and consequently would neither impose
costs nor result in quantifiable benefits.
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III. Abbreviations
AAMVA American Association of Motor
Vehicle Administrators
AAMVAnet American Association of Motor
Vehicle Administrators Network
ACD AAMVA Code Dictionary
CBI Confidential Business Information
CDL Commercial Driver’s License
CDLIS Commercial Driver’s License
Information System
CFR Code of Federal Regulations
CLP Commercial Learner’s Permit
CMV Commercial Motor Vehicle
CMVSA Commercial Motor Vehicle Safety
Act
CS Central Site
CSOR Change of State of Record
CVP Common Validation Processor
DACH Drug and Alcohol Clearinghouse
DGAF Mexican General Directorship of
Federal Motor Carrier Transportation
DHR Driver History Record
DOT Department of Transportation
EEE Exclusive Electronic Exchange
ELG Eligible
E.O. Executive Order
FHWA Federal Highway Administration
FMCSA Federal Motor Carrier Safety
Administration
FMCSRs Federal Motor Carrier Safety
Regulations
FR Federal Register
LIC Licensed
MPR Master Pointer Record
NARA National Archives and Records
Administration
NPRM Notice of Proposed Rulemaking
OSOR Old State of Record
PDPS Problem Driver Pointer System
RTD Return to Duty
SDLA State Driver’s Licensing Agency
SOC State of Conviction
SOI State of Inquiry
SOR State of Record
SOW State of Withdrawal
SPEXS State Pointer Exchange Services
SPM State Procedures Manual
S2S State-to-State
The Secretary The Secretary of
Transportation
UMRA Unfunded Mandates Reform Act
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U.S.C.
United States Code
IV. Legal Basis
Section 206 of the Motor Carrier
Safety Act of 1984 (Pub. L. 98–554, title
II, 98 Stat. 2832, 2834, codified at 49
U.S.C. 31136) directed the Secretary of
Transportation (the Secretary) to
regulate commercial motor vehicles
(CMVs) and the drivers and motor
carriers that operate them. The Secretary
was also directed to issue regulations
governing the physical condition of
drivers.
The Commercial Motor Vehicle Safety
Act of 1986 (CMVSA) (Pub. L. 99–570,
title XII, 100 Stat. 3207–170, codified at
49 U.S.C. chapter 313) required the
Secretary, after consultation with the
States, to prescribe regulations on
minimum uniform standards for State
issuance of CDLs. CMVSA also specified
information States must include on each
CDL (49 U.S.C. 31308). Congress
delegated the authorities set forth in the
Motor Carrier Safety Act of 1984 and the
CMVSA to FMCSA’s Administrator (see
49 U.S.C. 113(f)(1); see also section
1.87(e)–(f)).
FMCSA, in accordance with 49 U.S.C.
31308, has authority to prescribe
procedures and requirements the States
must adhere to in issuing CDLs and
commercial learner’s permits (CLPs). To
avoid loss of Federal-aid highway funds,
49 U.S.C. 31314 requires each State to
comply substantially with 49 U.S.C.
31311(a), which prescribes the
requirements for State participation in
the CDL program. To ensure that the
States are able to exchange information
about CDL holders efficiently and
effectively through CDLIS, as required
by 49 U.S.C. 31311(a)(5) through (9),
(15), (18) through (19), and (21), this
proposal would require States issuing
CDLs and CLPs to follow all the
procedures described in version c.0 of
the CDLIS SPM when posting,
transmitting, and receiving all
information on a CDL driver’s CDLIS
driver record.
V. Background
FMCSA is required by statute to
maintain an information system that
serves as the clearinghouse depository
of information about the licensing,
identification, and disqualification of
operators of CMVs (49 U.S.C. 31309).
CDLIS is the information system that
serves that function.
In 1988, the Federal Highway
Administration (FHWA) entered into a
designation agreement with AAMVA’s
affiliate AAMVAnet,1 Inc. (AAMVAnet)
1 AAMVAnet is the telecommunications network
that electronically links the following systems: The
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to create and operate CDLIS. Under that
agreement, CDLIS must contain all the
information required in 49 U.S.C.
31309(b). The 1988 agreement states
that AAMVAnet will ‘‘cooperate fully
with FHWA with respect to the
operation of CDLIS including, but not
limited to, information content and the
development of standards relating to
access to CDLIS by States and various
employers and employees.’’ Pursuant to
section 106(b) of the Motor Carrier
Safety Improvement Act of 1999
(MCSIA) (Pub. L. 106–159, 113 Stat.
1748, 1757, 49 U.S.C. 113 note), the
1988 agreement automatically
transferred to FMCSA upon the
Agency’s establishment and remained in
effect until FMCSA and AAMVA, the
party that inherited the responsibilities
of its affiliate AAMVAnet entered into
a superseding agreement in 2008,
discussed below.
In August 2005, section 4123 of the
Safe, Accountable, Flexible, Efficient
Transportation Equity Act: A Legacy for
Users authorized FMCSA to establish a
modernization plan for CDLIS (Pub. L.
109–59, 119 Stat. 1144, 1734, codified
in part at 49 U.S.C. 31309(e) et seq.).
Section 4123 also authorized grants to
States or organizations representing
States for the modernization of CDLIS
(49 U.S.C. 31309(f)).
On May 2, 2006, FMCSA published
the CDLIS Modernization Plan in the
Federal Register (71 FR 25885). The
Plan detailed the statutory requirements
for modernization, the phases of the
modernization plan, and the availability
of grant funding for AAMVA and the
States to comply with CDLIS
modernization requirements. Since May
2006, AAMVA has received grants from
FMCSA to complete the tasks
enumerated in the Modernization Plan.
On June 9, 2008, FMCSA and
AAMVA entered into a new cooperative
agreement regarding the operation,
maintenance, and modernization of
CDLIS. While FMCSA authorizes
AAMVA to maintain and operate
CDLIS, FMCSA does not own CDLIS,
and it is not a Federal system of records.
FMCSA and AAMVA work closely
together to monitor State compliance
with the CDLIS specifications, as set
forth in the 2006 CDLIS Modernization
Plan, and States’ annual grant
agreements. FMCSA has awarded
AAMVA Federal financial assistance
grants to maintain an active Help Desk
for the jurisdictions, conduct regularly
occurring CDLIS training courses for the
jurisdictions (motor vehicle Agencies or
Department of motor vehicles), FMCSA, third-party
service providers (TPSPs), Canadian interprovincial
record exchange (IRE) Bridge, Mexican Access
Node, and the CDLIS central site.
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jurisdictions, and provide States with
regular CDLIS transaction and error
reports to improve their compliance
efforts.
The goals of the 2008 agreement, to
which any amendments must be made
in writing and signed by all parties,2 are
to provide a framework for the ongoing
operation, maintenance, administration,
enhancement, and modernization of
CDLIS by AAMVA. The modernization
will ensure compliance with applicable
Federal information technology security
standards; electronic exchange of all
information including the posting of
convictions; self-auditing features to
ensure that data are being posted
correctly and consistently by the States;
and integration of an individual’s CDL
and the medical certificate as required
in the final rule, Medical Certification
Requirements as Part of CDL (73 FR
73096, Dec. 1, 2008). Finally, the
agreement provides a schedule for
modernization of the system. The
updated version c.0 of the SPM
implements the CDLIS modernization
effort.
VI. Discussion of Proposed Rulemaking
Version c.0 of the CDLIS SPM
outlines the standard administrative
practices required of the fifty States and
the District of Columbia, known as ‘‘the
jurisdictions,’’ when participating in
CDLIS. The thirteen Canadian provinces
and territories and the Mexican General
Directorship of Federal Motor Carrier
Transportation (DGAF) will also adopt
version c.0 of the CDLIS SPM. Version
c.0 of the SPM supersedes previous
versions of the CDLIS SPM.
The primary audiences for this SPM
(version c.0) are the jurisdictions
involved in CDL programs, and their
counterparts in Canada and Mexico,
including administrative employees
involved in driver licensing and
computer technology staff supporting
CDLIS transactions. The SPM (version
c.0) contains background information
about the laws mandating CDLIS and
discusses types of CDLIS users. The
SPM (version c.0) also includes
descriptions, excerpted from the CDLIS
System Specifications (version c.0), of
the nationwide computerized dataexchange transactions used to
electronically record and report driver
information. Further, the SPM (version
c.0) provides guidance on
administrative driver licensing
procedures that involve CDLIS,
including issuing, renewing,
transferring, withdrawing, and
2 The 2008 agreement was amended in 2013,
however, the amendments did not relate to the
CDLIS modernization efforts.
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reinstating a driver’s license, and
posting convictions. The SPM (version
c.0) does not address CDL or CLP
program requirements outside the scope
of CDLIS.
The CDLIS SPM (version c.0)
addresses changes that were made as
part of the modernization effort to make
CDLIS more efficient in handling the
increasing number of driver records and
data transactions. These changes
provide guidance on the information
system procedures of the CDL program.
In addition, version c.0 includes
updates to support changes made to
CDLIS as a result of the DACH II rule,
published in October 2021 (81 FR
87686), and revises procedures to
support changes made to CDLIS as a
result of the EEE rule, published in July
2023 (86 FR 38937). Any references in
the SPM (version c.0) to the U.S. Code
or CFR should be confirmed by users.
The following is a summary of the
updates introduced in version c.0 of the
SPM:
AAMVA released a new version of the
CDLIS SPM (version c.0) to introduce
updates to CDLIS,3 as well as new
administrative practices required by the
jurisdictions as a result of the DACH II
final rule. This new version of the SPM
(version c.0) also revised procedural
updates pertaining to the EEE final rule
when a State receives a notification 4 of
conviction or withdrawal outside CDLIS
after the EEE compliance date.5
The SPM includes multiple versions;
however, this proposed rule will focus
solely on the contents of latest version
(c.0), which are discussed in more detail
below. Twenty-six changes in the 2023
edition of the SPM (version c.0)
distinguish it from the August 2013
edition. Of the 26 updates, 24 stem from
the DACH II final rule and 2 stem from
the EEE final rule.
The purpose of DACH II is to improve
highway safety by ensuring that CLP or
CDL holders with drug and alcohol
program violations do not operate a
CMV until they complete the return to
duty process (RTD) and can lawfully
resume driving. DACH II also ensures
that all SDLAs 6 are able to determine
whether CMV drivers licensed in their
State are subject to FMCSA’s CMV
driving prohibition. The following
3 CDLIS is a nationwide network composed of a
database that stores information about commercial
drivers, and the associated hardware and software
used to manage commercial driver information.
4 A notification is an indicator that a driver’s
status has changed in the Clearinghouse.
5 The EEE rule compliance date is August 22,
2024.
6 SDLAs maintain databases, application
programs, and systems software to support State-toState functions.
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updates were made pursuant to the
DACH II final rule:
The first through fourth updates are
related to the CDLIS system and the
newly introduced electronic
transactions.
1. An update to the DACH II State
Pointer Exchange Services (SPEXS)
system was introduced to CDLIS-only
participants, as well as CDLIS and Stateto-State (S2S) participants.7 The SPEXS
system is a platform operated by
AAMVA, that is utilized to locate driver
information in CDLIS based on
identifiable information provided by the
State, to ensure that each driver is
associated with one license, one
identity, and one record. The SPM
(version c.0) adds a functional release
level to SPEXS, providing specified sets
of system functionality, thereby
enabling participants to use the SPEXS
platform. This helps identify and locate
a driver’s record and prevents the
creation of duplicate records for the
same driver.
2. As a result of the SPEXS update
described above, two new transaction
codes (CD40) and (CD41) were added to
the CDLIS Solution table, which assigns
and defines all existing codes in the
SPEXS system to accomplish a specific
business function. Each transaction
facilitates the exchange of data by
sending a message (in the form of a oneway transmission) carrying driver
information from one CDLIS node to
another in the AAMVA network. These
new transactions will improve the
functionality of driver record searches
in CDLIS. The first transaction (CD40)
enables information to be
communicated from the central site
(CS) 8 to the State of record (SOR) via
the Clearinghouse. The second
transaction (CD41) enables information
to be communicated from the State of
inquiry (SOI) 9 to the Clearinghouse via
the CS. Both transactions are discussed
in more detail below.
3. A new transaction code (CD40) was
added to table 2 of the CDLIS
transactions in the SPEXS system to
obtain Clearinghouse driver status
updates. The driver status update
transaction is used to notify the SOR of
a change in driver status by obtaining
information from the Clearinghouse
records. The SPEXS system facilitates
the transmission of information in the
7 The State-to-State (S2S) system allows States to
electronically check with other participating States
if an individual holds a CDL or CLP in another
State.
8 The SPEXS central site (CS) facilitates the
transmission of information from the Clearinghouse
system to the States.
9 The SDLA jurisdiction that requests information
about the driver from the State of record (SOR).
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form of notifications 10 from the
Clearinghouse to the States. In this
transaction, the CS sends a request to
the Clearinghouse to get a driver status
for a jurisdiction. The Clearinghouse
sends all driver status changes to the CS
in response, and the CS then forwards
the Clearinghouse notification to the
requesting State. Finally, the SOR sends
a receipt to the CS to confirm receipt of
the notification. When receiving
information from the CS, the SOR
interprets it to determine whether a CDL
or CLP needs to be downgraded,
upgraded, or reinstated based on the
Federal minimum requirements and the
State’s laws and policies, as applicable.
In certain cases, an error message is
triggered for this type of transaction.
This may originate from the CS to the
Clearinghouse, or from the SOR to the
CS, if a validation error occurs. An error
could be triggered if the SOR cannot
locate the CDL or CLP record or is no
longer the current SOR, if the driver in
question is reposed or deceased, and if
the requested driver is not a CDL or CLP
holder. The SPM (version c.0) also
included a diagram (Figure 20) to aid in
visualizing the driver status update
process for the CD40 transaction.
4. A second transaction code (CD41)
was introduced to table 2 of the CDLIS
transactions in the SPEXS system to
enable the SOI to request a driver’s
current status from the Clearinghouse. A
change in the driver’s status is caused
either by an unresolved drug and
alcohol violation or an erroneous
violation. In this process, the SOI sends
a status inquiry to the CS to obtain
information on the driver’s status. The
CS then forwards the SOI’s request to
the Clearinghouse, and the latter sends
a response to CS. The CS validates and
forwards the Clearinghouse notification
to the SOI. When receiving information
from the CS, the SOI (if it is the SOR)
interprets the information to determine
whether a CDL or CLP needs to be
downgraded, upgraded, or reinstated
based on the Federal minimum
requirements and the State’s laws and
policies, as applicable. If the SOI is not
the SOR, the SOR interprets the
information from the CS to determine if
the applicant has a Clearinghouse
violation, which would prohibit the
issuance of a CDL or CLP.
In certain cases, an error message is
triggered for this type of transaction.
This may originate from the CS to the
Clearinghouse or from the CS to the SOI,
10 This applies to States that opt to receive
notifications from the Clearinghouse. The
Clearinghouse sends notifications to the States
whenever there is a change of status in the
Clearinghouse. States may also opt to use CDLIS to
receive notifications.
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if a validation error occurs. An error
would be triggered if the driver status
inquiry message does not pass the
validations performed by the CS, if the
Clearinghouse notification does not pass
the validations performed by the CS, or
if any system errors are encountered
(such as message delivery errors,
timeout, or software issues). The SPM
(version c.0) incorporated a diagram
(Figure 21) to aid in visualizing the
driver status update process for the
CD41 transaction.
Items 5 through 24 are related to the
processes for the jurisdictions to
conduct Clearinghouse checks on an
individual prior to issuing a CDL or CLP
and the steps they must follow based on
the results of those checks.
5. A new bullet item was added to the
‘‘Procedures for Issuing a CDL or CLP’’
section of the SPM (version c.0) to
establish procedures relating to issuing
a duplicate CDL or CLP. The purpose of
this addition is to establish a procedure
for SDLAs to adopt when issuing a
duplicate. This new procedure aims to
reduce the risk of fraud by requiring that
the jurisdiction issuing a duplicate CLP
or CDL check the driver’s image on file
when they appear in-person.
6. A new section (divided into two
subsections) was added to establish
Clearinghouse checks, as a requirement
for the jurisdictions prior to issuing a
CDL or CLP. In the first subsection, a
reference to § 383.73 was included,
which requires Clearinghouse checks be
made prior to the issuance of a CDL or
CLP.
The second subsection introduced a
new column to table 4 titled ‘‘CDLIS
Checks Prior to Issuance’’ to ensure a
Clearinghouse check to confirm the
applicant’s eligibility is completed prior
to the issuance of a CDL or CLP.
Additionally, Note 3 was added to table
4 regarding CDL reinstatement
applications. The note specifies that,
prior to reinstatement, the jurisdictions
must have processes in place to ensure
the driver is not prohibited from
operating a CMV due to a Clearinghouse
violation. It also outlines the ways in
which the jurisdictions can accomplish
this process by providing options to
either perform a Clearinghouse check or
to maintain internal records of
notifications received from the
Clearinghouse.
7. A new section was added on the
Clearinghouse check requirements.
First, this section describes the purpose
of the DACH II final rule and references
the requirements associated with
conducting a Clearinghouse check to
comply with the rule’s provisions. This
section also addresses the circumstances
in which States and the jurisdictions
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must complete checks or obtain a record
using the Clearinghouse prior to issuing
a CDL or CLP.
This section also addresses the
processes for the jurisdictions to
downgrade the driver’s license when
notified 11 by the Clearinghouse, or
when the Clearinghouse query 12
indicates that the driver is prohibited
from operating a CMV. This would be
achieved by changing the commercial
status on the CDLIS driver record from
‘‘LIC’’ (licensed) to a minimum of
‘‘ELG’’ (eligible) for CDL holders, and
similarly changing the permit status
from LIC to ELG for CLP holders.
Additionally, the SOR may perform an
in-State withdrawal for a person with a
Clearinghouse violation and must
follow the procedures outlined in the
SPM (version c.0) to complete the
withdrawal process. This process is
further explained in update 15 of the
SPM (version c.0).
Lastly, this section includes a note on
data records for drivers who are in
prohibited status due to a Clearinghouse
violation starting January 6, 2020 (the
original compliance date for initial
Clearinghouse requirements) and directs
the jurisdictions to adopt a process to
retrieve that data. The process provided
lists two viable options to retrieve data
either via the FMCSA web portal or by
contacting FMCSA or AAMVA directly.
The jurisdictions will have 60 days from
the compliance date 13 of the DACH II
final rule to act on such records.
8. A new section was added to
describe the procedures for SDLAs to
connect to the Clearinghouse, as well as
brief descriptions for each option. The
jurisdictions may either choose to
connect to the Clearinghouse using the
FMCSA direct-connect option 14 (or the
FMCSA solution), or via the CD40 or
CD41 transaction (or the CDLIS
solution).
9. An update was made to determine
eligibility for a CDL or CLP by the
addition of a Clearinghouse check. A
bullet was added to the list of eligibility
criteria 15 to prohibit drivers from being
11 The DACH Driver Status Update transaction is
used to notify the SOR of a change in driver status
via the Clearinghouse.
12 The jurisdictions are required to query the
Clearinghouse to receive status updates on a given
driver prior to issuing, renewing, transferring, or
upgrading a CDL or CLP starting November 18,
2024.
13 The DACH II final rule’s compliance date is
November 18, 2024.
14 The jurisdictions that opt to use the FMCSA
direct-connect option must refer to https://clearing
house.fmcsa.dot.gov/Resource/Page/SDLAResources page and must directly contact FMCSA
(clearinghouse@dot.gov) for the implementation of
this option.
15 The list of eligibility criteria include: a CDLIS
check, a Problem Driver Pointer System (PDPS)
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disqualified again if the driver’s prior
jurisdiction disqualified and
subsequently reinstated them. A
subsection was also added to introduce
a requirement that the jurisdictions
query the Clearinghouse prior to
issuing, renewing, transferring, or
upgrading a CDL or CLP.
10. A new section was added to
clarify the course of action SDLAs must
take in evaluating the results received
from the Clearinghouse on a driver’s
status, or when the jurisdiction queries
the Clearinghouse. Pursuant to § 383.73,
the jurisdictions are required to access
and use information from the
Clearinghouse and to check the driver’s
status by querying the Clearinghouse
prior to issuing, renewing, transferring,
or upgrading a CDL or CLP.
Five subsections were added to
describe a list of reasons why a
Clearinghouse status may change and
how SDLAs evaluate the information
provided by the Clearinghouse. The five
sections include more detail on the
Clearinghouse data elements,
identifying and matching a driver in the
Clearinghouse, acting on a driver with
prohibited status, acting on a driver
with a not prohibited status, and
Clearinghouse downgrade, which are
explained below.
11. The Clearinghouse data elements
subsection identifies information that a
jurisdiction must use, including the
driver’s identifying information (such as
the driver’s full name, date of birth, CDL
or CLP number, etc.) and status in the
Clearinghouse system (if the driver is
prohibited and, if so, the date that status
went into effect). A full list of all
Clearinghouse elements, their
description and usage are outlined in
table 10 titled ‘‘Clearinghouse Data
Elements’’ in the SPM (version c.0).
12. The second subsection was added
to provide guidelines for the
jurisdictions to identify a driver’s
matching record in the Clearinghouse,
and to compare Clearinghouse
information against information from
other checks (including CDLIS and the
Problem Driver Pointer System 16
(PDPS)), to ensure action is being taken
on the correct driver. States may also
use existing guidelines to determine if a
Clearinghouse notification is needed for
the driver in question.
check, a 10-year history check, a medical
qualification check, social security number
verification and citizenship/lawful permanent
residency/legal presence, or a Clearinghouse check.
16 The Problem Driver Pointer System (PDPS) is
a system in which SDLAs provide the National
Drivers Record with a pointer to a problem driver’s
history when the driver is convicted of a
Clearinghouse violation.
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Additional procedures for States were
introduced to evaluate which record to
act upon when multiple records are
found on the same driver. For instance,
if more than one CDLIS record is found,
the SOR must take necessary action on
the CDLIS record with the most recent
issue date. If one record is CDLIS and
another record is non-CDLIS (kept
outside of the CDLIS system), the SOR
must take necessary action on the CDLIS
record as applicable. If one or more nonCDLIS records indicating no history or
record of a prior CDL or CLP are found,
the SOR may take necessary action on
the driver’s CDL or CLP status, as
applicable. If no record exists in the
Clearinghouse, no violations will
prohibit a driver from operating a CMV.
13. The third subsection addresses
actions the jurisdictions must take
against a driver with a prohibited status
after they are alerted either via
Clearinghouse notification or as a result
of a Clearinghouse query. This process
will prevent prohibited drivers from
operating a CMV. This subsection lists
three options for the jurisdictions to
follow: denial of the driver’s request
resulting in non-issuance of a CDL or
CLP, removal of CDL or CLP privileges
from the driver’s license, or downgrade
of the driver’s CDL or CLP.
14. The fourth subsection addresses
actions the jurisdictions must take when
the Clearinghouse indicates a driver is
not prohibited from operating a CMV.
Pursuant to the DACH II final rule, a
driver is considered ‘‘not prohibited’’
when the driver is no longer prohibited
from operating a CMV. This occurs after
the driver completes the RTD
requirements or if the driver was
erroneously identified as prohibited. In
the latter case, the Clearinghouse
notifies the jurisdiction that the driver’s
status was based on erroneous
information. After receiving a
notification, the jurisdiction will not
initiate a downgrade process if one has
not been started. If the jurisdiction has
already initiated the downgrade process,
it must terminate it and clear the
driver’s record of any reference to the
erroneously identified violation.
Finally, if the jurisdiction has already
completed the downgrade process, the
jurisdiction must expeditiously reinstate
the driver’s privileges and expunge the
driver’s record of any reference to the
erroneously identified violation. The
jurisdictions must follow a similar
process when a query indicates the
driver is not prohibited from operating
a CMV.
15. The final subsection addresses
additional procedures to downgrade the
commercial driving privilege due to
Clearinghouse violations. In this case,
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12805
the jurisdictions are subject to a Federal
requirement to change the commercial
status of the CDLIS driver record from
LIC to a minimum of ELG for CDL
holders, and similarly change the permit
status from LIC to a minimum of ELG
for CLP holders.
This subsection also addresses
scenarios when a SOR may take
additional action, such as in-State
withdrawal, based on the State’s laws
and/or policies. In this case, the SOR
must downgrade the driver’s status to
‘‘NOT’’ (not a CDL or CLP) and use the
State’s code indicating withdrawal. InState withdrawals must not be
transmitted to the CDLIS driver history
record (DHR), which is maintained on
the jurisdiction’s system.
The subsection also outlines the
process for SDLAs performing in-State
withdrawals to respond to an S2S status
request (referred to as an SG message),
history request (referred to as an SB
message) or change of record request
(referred to as an SD message).
Transactions for status requests from
S2S to the SOR are coded CD30,17
CD04,18 and CD08,19 respectively. In all
cases, the SOR must respond with the
current driver status, but must not
include any details of Clearinghouse instate withdrawal in the CDLIS DHR.
The first procedure applies to an S2S
Status Request (CD03, SG message). In
the CDLIS S2S Status Request, the SOR
must report the driver status to the SOI
via SG message. This request enables
the SOI to obtain status information on
a CDL holder directly from the SOR
without inquiring through CDLIS. The
typical use of this transaction is to
obtain the status information for a driver
who was one of several returned as
matches on a search inquiry. Since
status requests are not sent when a
search inquiry results in more than one
match, the S2S status request gives the
inquirer a tool for obtaining the status
for any or all of the matched drivers.
This request may also be used to verify
the status of a CDL or CLP when an out
of State license is presented to a
jurisdiction. The inquirer may request
the status for only one driver at a time
with this request. Upon receipt, the SOR
validates the driver’s identification
17 This online search inquiry is a transaction
which allows the jurisdictions to perform inquiries
on multiple drivers, instead of one driver at a time,
to fulfil their requirement. This process was
developed as an alternative to the CDLIS online
search inquiry.
18 The CD04 post requisite determines whether
any information in the driver’s history precludes it
from granting a license or requires it to conduct
additional processing.
19 This describes a change of record transaction
by transferring a message from the new SOR to the
CS.
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information, retrieves the status
information, and returns the status
information to the inquirer.
The second procedure applies to an
S2S history request (CD04, SB message).
In the CDLIS S2S history request the
SOR or old State of record (OSOR) must
report the entire driver history to the
SOI or new State of record (NSOR). An
S2S history request enables an inquirer
to obtain the DHR on a CDL holder
directly from the SOR without inquiring
through CDLIS. Typically, a jurisdiction
uses this transaction when a driver is
considered for a change if State of
record (CSOR). First, the inquirer
verifies the driver’s existence in the
CDLIS CS, license status, and SOR using
search inquiry, verification inquiry,20 or
verification inquiry preceding an S2S
history request. The inquirer may
request the history for only one driver
at a time with this request. Upon
receipt, the SOR validates the driver
identification information, retrieves the
DHR, and returns the driver history
information to the SOI.
The third procedure applies to a
CSOR Request (CD08, SD message). In
the S2S CSOR request processed in
CDLIS, the SOR or OSOR must report
the entire driver history to the SOI or
NSOR. The CSOR transaction is used to
transfer a DHR from an OSOR to a
NSOR, and to reflect this change in the
Master Pointer Record (MPR).21 The
new jurisdiction officially becomes the
NSOR when the CSOR request is
initiated. Simultaneously, the old
jurisdiction becomes the OSOR. The
new roles are reflected in the MPR once
CDLIS retrieves and updates the MPR.
The CSOR transaction is not used when
Canadian or Mexican CDL holders move
to the United States. In these cases, the
driver is added as a new driver. The
previous CDL’s jurisdiction code and
driver’s license number combination
may be entered in the corresponding
primary identification data, or ‘‘AKA’’
fields. The transaction is also not used
for United States CDL holders moving to
Mexico or Canada. When issuing any
type of license to a driver, if the driver
has a CDLIS MPR at the CS, the new
licensing jurisdiction must initiate the
CSOR and accept responsibility of the
pointer as the NSOR.
The NSOR sends a CSOR update
message to CDLIS upon receipt of the
CSOR update message, and CDLIS will
validate the driver identification
20 A verification inquiry (CD02) is a request for a
driver’s Master Pointer Record (MPR) and license
status.
21 The Master Pointer Record (MPR) is a pointer
to the jurisdictions that issued the driver’s latest
CDL or CLP. In CDLIS and SPEXS, the CS keeps a
MPR for each driver.
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information in the message. If the NSOR
is changing the driver’s name, date of
birth, and/or social security number,
CDLIS checks to see if any drivers can
be considered possible duplicates for
the new driver. If so, CDLIS issues
notifications of possible duplicate driver
to all SORs affected, including the SOR
that submitted the CSOR update
message. CDLIS retrieves the driver’s
MPR, updates it by noting the initiator
of the CSOR transaction as the NSOR
and the recipient of the CSOR request as
the OSOR. After CDLIS returns a
confirmation to the NSOR, it sends a
DHR request to the OSOR. Upon receipt
of the DHR request, the OSOR: validates
the message data, retrieves the DHR, and
adds the NSOR’s jurisdiction code and
driver’s license number to its DHR. This
enables the OSOR to respond to status
and history requests from the NSOR
until such time as the CSOR is
complete, and to return driver history
information to the NSOR.
The CDLIS Common Validation
Processor (CVP) is a function of CDLIS
which performs edits on the history
information before forwarding it to the
NSOR. Upon receipt of the response
message from the OSOR via the CDLIS
CVP, the NSOR performs any required
additional validations not already
performed by the CDLIS CVP. Within 96
hours of receipt of the information, the
NSOR creates the DHR and posts the
history, and sends a confirmation to
CDLIS. Upon receipt of the confirmation
from the NSOR, CDLIS validates the
information, verifies that the
information matches the updated MPR,
and sends confirmations to both the
NSOR and OSOR validating the CSOR is
complete.
A process is also set in place for the
change of record requests from the
OSOR to the NSOR. Both SORs have
specific responsibilities while a CSOR is
being processed. The transaction is
initiated when the OSOR receives an SD
message from the CDLIS CS. When the
CSOR is processing, the OSOR must not
respond to status or history requests for
that driver, except those received from
the NSOR. The OSOR must respond
with an error to all other inquiring the
jurisdictions and clearly annotate that
the driver record is no longer associated
with the SOR. The OSOR must also
annotate the driver’s record to indicate
the NSOR’s jurisdiction code and driver
license number. After the NSOR
receives the ‘‘Confirm CSOR inProgress’’ (CG) message, the CDLIS CS
sets an internal flag that the CSOR is in
progress. The NSOR then becomes the
driver’s SOR and must respond to all
status and history requests for that
driver.
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16. New procedures were introduced
for the NSOR and OSOR during and
after the CSOR process outlining the
appropriate course of action when the
OSOR performs an in-State withdrawal
due to a Clearinghouse violation and a
CSOR is taking place. An in-State
withdrawal is performed when an SDLA
initiates a withdrawal of a driver’s CDL
or CLP due to a Clearinghouse violation
against a jurisdiction’s State laws and/
or policies.
The first procedure applies to the
OSOR when the following applies in the
DHR: the driver’s commercial status is
designated as ‘‘NOT,’’ the DHR only
consists of an open in-State withdrawal
due to a Clearinghouse violation, and
the driver’s record does not have any
other open convictions and/or
withdrawals. In this case, the OSOR
must have in-State procedures in place
to reinstate the driver’s commercial
status to ELG upon receipt of the CSOR
history request (SD message).
The second procedure applies to the
OSOR when the DHR with the driver’s
commercial status is designated as
‘‘NOT,’’ and the DHR consists of an
open in-State withdrawal along with
other convictions and/or withdrawals.
In this case, the OSOR must have inState procedures in place to reinstate
only the Clearinghouse in-State
withdrawal and follow existing Federal
and State guidelines for convictions and
withdrawals.
The third update is applicable when
the driver has obtained a NSOR. In this
case, the NSOR must respond to all
status and history requests for that
driver. Procedures are also set in place
for the NSOR when a Clearinghouse
violation is found. In this case, the
NSOR must follow the procedures
described in update 12 to determine
whether the driver is eligible for a CDL
or CLP.
17. New procedures were added to
enable SDLAs to respond to an S2S
status request, S2S history request, and
CSOR request. This procedure also
requires that the SDLAs must not
transmit Clearinghouse withdrawals on
the CDLIS DHR. In the S2S status
request, the SOR must report the driver
status to the SOI, as specified in CD03.
In the S2S history request and CSOR
requests, the SOR or OSOR must report
the entire driver history to the SOI or
SOR as specified in CD04 and CD08
transactions. A SOR must send the
entire AAMVA Code Dictionary
(ACD) 22 history when responding to a
CSOR or history request.
22 The ACD is a standardized set of threecharacter codes used to identify either a type of
conviction or the reason for a withdrawal of driving
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When the SOR receives an S2S SG
message for the driver, the SOR must
respond with the current CDL status and
must not include any details of
Clearinghouse in-State withdrawal in
the CDLIS DHR.
When the SOR receives an S2S SB
message, for the driver, the SOR must
respond with the current CDL status and
history but must not include any details
of Clearinghouse in-State withdrawal in
the CDLIS DHR.
When a SOR receives a CSOR request,
or SD message for the driver, States
must refer to the procedures outlining
OSOR and NSOR responsibilities
outlined in update 15.
18. An update to the procedures set
out for SDLAs to follow when a driver
applies for reinstatement was included
in the SPM (version c.0). Additionally,
AAMVA incorporated FMCSA’s
guidance requiring SDLAs to have a
process in place to ensure the driver is
not prohibited from operating a CMV
due to a Clearinghouse violation prior to
reinstatement. To comply with this
requirement, the jurisdictions may
perform a Clearinghouse check or
maintain records of notifications
received from the Clearinghouse.
19. Procedures were also added for
the jurisdictions to perform a
Clearinghouse query on the driver prior
to issuing, reinstating, renewing,
upgrading, or transferring a CDL or CLP.
When an individual applies for a CDL
or CLP, the jurisdictions must initiate a
search inquiry in CDLIS, the National
Driver Registry,23 and the Clearinghouse
no earlier than 24 hours prior to
issuance. This search process confirms
that no matches already exist for an
individual, and whether a violation has
been recorded. The jurisdictions must
also initiate a 10-year history check for
a new CLP or CDL applicant. The PDPS
State Procedures Manual provides more
detail on conducting and recording the
10-year history check.
Additional procedures also apply to
when a driver applies for reinstatement
of a CDL or CLP. This may occur when
a SOR withdraws the driver’s CDL or
CLP and the driver applies for
reinstatement at the end of the
withdrawal period. After being
reinstated, the driver needs to apply for
a new license, and the jurisdiction must
privileges. The ACD provides a single list of all
codes that all the jurisdictions can understand and
removes the need for a jurisdiction to map their
laws and rules to the laws and rules of every other
jurisdiction.
23 The National Driver Registry is a central
repository for collecting, maintaining, and
distributing information of all drivers whose
driving privileges were suspended, revoked, or
denied by a State due to a Clearinghouse violation.
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follow procedures to complete a search
inquiry (as described above) and refer to
the added documentation (the PDPS
State Procedures Manual) for more
detail about conducting the 10-year
history check.
The jurisdictions must also conduct a
check following the same procedures
when a driver applies for a renewal of
their CDL or CLP, using the additional
PDPS documentation to conduct and
record the 10-year history check. The
same process applies to drivers
changing the jurisdictions if they have
not completed the 10-year history
check.
Additional procedures were updated
to establish rules for managing and
maintaining driver records in the MPR
and DHR. In accordance with Federal
regulations, a DHR and associated MPR
are required for three types of U.S.
drivers. The first type of driver is a
current CDL or CLP holder, the second
is an individual who has previously
held (but no longer holds) a CDL or CLP
(and data retention requirements 24 have
not been met), and the third is a non
CDL or CLP holder who has been
convicted of a violation (and data
retention requirements have not been
met). The SOR is responsible for
maintaining the MPR and DHR for each
of its drivers and ensuring the records
are complete and accurate. The SOR
cannot delete the MPR of a former or
non-CDL or CLP holder until:
1—1 year has passed since CDL or
CLP expiration;
2—The driver is reported deceased or
the driver’s license has been
downgraded to non-commercial; or
3—All DHR retention requirements
are met.
The SOR will delete a MPR based on
whichever period is greater. The ACD
provides additional detail on retention
requirements for convictions 25 and
withdrawals, as well as retention
requirement details. The SOR may also
use this SPM (version c.0) to reevaluate
whether to continue maintaining the
record of a deceased driver after 10
years or more have passed since the
driver was reported deceased.
20. Procedures were added for
performing a Clearinghouse query when
a driver applies for the initial issuance
or renewal of a hazardous materials
endorsement. In such cases, the
jurisdictions must submit search
24 Retention requirements are the time periods
that a jurisdiction must keep specific types of data,
such as conviction data.
25 The ‘‘ACD conviction’’ is an adjudication of
guilt for a traffic-safety or Federally mandated
violation, as defined by FMCSA. The ACD is
available on the internet at https://www.aamva.org/
technology/technology-standards/acd.
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requests and are provided with the
latest version of the SPEXS System
Specification document as a guide to aid
them in conducting a verification query
using the CDLIS CS. The jurisdictions
are also provided guidance on how to
proceed based on the driver’s search
results in the Clearinghouse, as
described in the previous SPM (version
c.0) updates.
21. Procedures were added for the
jurisdictions to perform a Clearinghouse
check to determine the driver’s
eligibility prior to transferring a CDL.
This includes conducting a search
inquiry on a driver and determining a
course of action based on the results of
the Clearinghouse check, as described in
the previous SPM (version c.0) updates.
The SPEXS System Specification
manual provides additional information
on conducting a search in CDLIS.
22. A new section was added to
include procedures to evaluate if
matching records exist for an applicant
in the Clearinghouse, and whether those
are in fact associated with the applicant.
If a Clearinghouse query ‘‘returns a
record,’’ this indicates a violation
prohibiting the driver from operating a
CMV may or may not be found. If a
record is found, the CDL or CLP
applicant is considered a ‘‘match.’’ In
this case, the jurisdictions must follow
guidance for evaluating Clearinghouse
results, as described in previous SPM
(version c.0) updates. Additionally, the
jurisdictions must confirm that the
record is associated with the applicant.
The jurisdictions are also provided
guidance for maintaining the driver’s
record if the individual moves to
another jurisdiction. If a record is not
found, the applicant is ‘‘not returned as
a match.’’
23. An update was also added for the
jurisdictions when no match is found
for a driver in the Clearinghouse, CDLIS,
or PDPS. If a violation record is not
found in the Clearinghouse, the
applicant is ‘‘not returned as a match.’’
In that case, a jurisdiction can issue a
CDL. In addition, the jurisdiction must
add the driver to CDLIS within a 10-day
period beginning the date of license
issuance, per §§ 383.73(h) and
384.207(a). The jurisdictions are
provided guidance on using the SPEXS
system to aid in utilizing CDLIS.
If no matches are returned form the
verification inquiry in CDLIS, there is
no error in CDLIS. The fact that the
driver is requesting renewal indicates
the driver should have an MPR on the
CDLIS CS. The jurisdictions must
contact the AAMVA operations help
desk for assistance in determining why
this situation occurred. No matches
from PDPS indicates there are no
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problems with the driver. A no match
from the Clearinghouse for a driver
indicates there are no Clearinghouse
violations that prohibit the driver from
operating a CMV.
If the search inquiry or verification
inquiry transactions return no matches
from CDLIS for the driver, there is an
error in CDLIS. The fact that the driver
is requesting a CSOR indicates that the
driver should have an MPR on the
CDLIS CS. The jurisdictions must
contact AAMVA operations help desk
for assistance in resolving this situation.
24. Procedures were added for SDLAs
to follow when a State performs an inState withdrawal due to a Clearinghouse
violation based on lack of compliance
with the State’s law or policies. This
section includes three main procedures.
The first procedure applies to the OSOR
when the DHR only consists of an openstate withdrawal due to a Clearinghouse
violation. The second procedure applies
to the OSOR when the DHR includes an
open in-State withdrawal due to a
Clearinghouse violation along with
other open convictions and/or
withdrawals. The final procedure
applies to the NSOR if a Clearinghouse
violation is found.
In the third instance mentioned
above, the SOR must use a State native
code, which is only used for State
violations, to perform the Clearinghouse
in-State withdrawal. This type of
withdrawal must not be transmitted in
the CDLIS DHR. The jurisdictions
performing these withdrawals must
downgrade the CDL by removing the
commercial driving privilege by
changing the commercial status on the
CDLIS driver record from LIC to a
minimum of ELG for CDL holders, and
similarly changing the permit status
from LIC to a minimum to ELG for CLP
holders.
The items below describing updates
number 25 and 26 were made pursuant
to the EEE final rule and will take effect
beginning August 22, 2024. The EEE
final rule codifies the statutory
requirement for SDLAs to implement a
system and practices for the exclusively
electronic exchange of DHR information
through CDLIS. This includes the
posting of convictions, withdrawals,
and disqualifications.
25. Updates were made to the
procedures requiring the State of
conviction (SOC) 26 or State of
withdrawal (SOW) 27 to work with the
SOR to ensure the timely posting of
26 The SDLA jurisdiction which convicts a driver
and maintains the original record of the conviction.
27 The SDLA jurisdiction which withdraws a
driver and maintains the original record of the
withdrawal.
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16:27 Feb 16, 2024
Jkt 262001
convictions and withdrawals when
received outside CDLIS. In all cases, the
jurisdictions must ensure convictions
are reported to the SOR within time
frames set out in §§ 384.208 and
384.209. The SOC must report
convictions for out-of-State drivers,
including failures of out-of-State drivers
to appear, pay, or comply, within 10
days of the conviction date. The SOR
has 10 days from the receipt date of an
out-of-State conviction to post the
conviction to the driver’s record. The
SOR has 10 days from the conviction
date to post an in-State conviction. With
the exception of ‘‘W00’’ 28 withdrawals,
the SOR must record all withdrawals
received from another jurisdiction on
the CDLIS DHR. Additionally, the
jurisdictions have the ability to contact
the AAMVA help desk for assistance.
26. The procedures requiring the
OSOR to work with the NSOR to ensure
the timely posing of convictions and
withdrawals when received outside
CDLIS were updated within the 10-day
timeframe described above. If an OSOR
receives an out-of-State conviction or
withdrawal 29 outside of CDLIS for a
driver with a CDLIS driver record, the
OSOR and SOR or SOW must work
together to ensure the conviction or
withdrawal is posted promptly on the
CDLIS driver record. A second update
directs either the OSOR, NSOR, SOC, or
SOW to request assistance from
AAMVA’s help desk, if necessary.
VII. Severability
Section 206 of MCSA (Pub. L. 98–554,
title II, 98 Stat. 2832, 2834, codified at
49 U.S.C. 31136) directed the Secretary
to regulate CMVs and the drivers and
motor carriers that operate them.
FMCSA is further required by statute to
maintain an information system that
serves as the clearinghouse and
depository of information about the
licensing, identification, and
disqualification of operators of CMVs
(49 U.S.C. 31309). CDLIS is the
information system that serves that
function.
The purpose of this rulemaking is to
incorporate by reference version c.0 of
the AAMVA SPM outlining guidance on
the use of CDLIS. The provisions within
the SPM (version c.0) are intended to
operate holistically in addressing a
range of issues necessary to ensure
compliance with the information system
procedures of the commercial driver’s
license program. However, FMCSA
recognizes that certain provisions focus
28 W000 is the code used to indicate a
withdrawal.
29 Out-of-State convictions and withdrawals
include the fifty States and the District of Columbia.
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on unique topics. FMCSA finds that the
various provisions within the SPM
(version c.0) would be severable and
able to operate functionally if one or
more provisions were rendered null or
otherwise eliminated. The remaining
provision or provisions within the SPM
(version c.0) would continue to operate
functionally if any one or more
provisions were invalidated and any
other provision(s) remained. In the
event a court were to invalidate one or
more of the SPM’s unique provisions,
the remaining provisions should stand.
VIII. Section-by-Section Analysis
Part 384
Section 384.107. The Agency would
revise paragraph (b) to incorporate by
reference version c.0 of the CDLIS SPM.
Section 384.301. The Agency would
add, as a conforming amendment, a new
paragraph (p) specifying that the State
must comply with the requirements of
this rule by August 22, 2024.
IX. Regulatory Analyses
A. Executive Order (E.O.) 12866
(Regulatory Planning and Review), E.O.
13563 (Improving Regulation and
Regulatory Review), E.O. 14094
(Modernizing Regulatory Review), and
DOT Regulatory Policies and Procedures
FMCSA has considered the impact of
this NPRM under E.O. 12866 (58 FR
51735, Oct. 4, 1993), Regulatory
Planning and Review, E.O. 13563 (76 FR
3821, Jan. 21, 2011), Improving
Regulation and Regulatory Review, and
E.O. 14094 (88 FR 21879, Apr. 11, 2023)
Modernizing Regulatory Review. The
Office of Information and Regulatory
Affairs within the Office of Management
and Budget (OMB) determined that this
NPRM is not a significant regulatory
action under section 3(f) of E.O. 12866,
as supplemented by E.O. 13563 and
amended by E.O. 14094 and does not
require an assessment of potential costs
and benefits under section 6(a)(3) of that
order. Accordingly, OMB has not
reviewed it under that E.O.
This proposed rule updates the
‘‘American Association of Motor
Vehicle Administrators, Inc.
Commercial Driver’s License
Information System State Procedures
Manual, Version c.0’’ manual.
Specifically, it includes changes
introduced to the FMCSRs as a result of
the EEE and DACH II final rules. The
proposed rule solely defines processes
and procedures which ensure that other
regulations are uniformly implemented
and imposes no new regulatory
requirements. The rule would impose
no new costs, and any benefits that
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would result from it are expected to be
de minimis.
B. Congressional Review Act
This rulemaking is not a major rule as
defined under the Congressional Review
Act (5 U.S.C. 801–808).30
C. Regulatory Flexibility Act
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The Regulatory Flexibility Act (5
U.S.C. 601 et seq.), as amended by the
Small Business Regulatory Enforcement
Fairness Act of 1996,31 requires Federal
agencies to consider the effects of the
regulatory action on small business and
other small entities and to minimize any
significant economic impact. The term
small entities comprise small businesses
and not-for-profit organizations that are
independently owned and operated and
are not dominant in their fields, and
governmental jurisdictions with
populations of less than 50,000 (5 U.S.C.
601(6)). Accordingly, DOT policy
requires an analysis of the impact of all
regulations on small entities, and
mandates that agencies strive to lessen
any adverse effects on these businesses.
When an Agency issues a proposed
rule, the RFA requires the Agency to
‘‘prepare an initial regulatory flexibility
analysis’’ that will describe the impact
of the proposed rule on small entities (5
U.S.C. 604(a)). Section 605 of the RFA
allows an agency to certify a rule,
instead of preparing an analysis, if the
rule is not expected to have a significant
impact on a substantial number of small
entities. This rulemaking incorporates
by reference the September 2023 edition
of the AAMVA CDLIS SPM (version
c.0). The changes to the 2023 edition of
the AAMVA CDLIS SPM (version c.0)
from the 2013 edition are intended to
ensure clarity in the presentation of the
SDLA conditions and are generally
editorial or ministerial. As noted above,
FMCSA does not expect the changes
made in the 2023 edition of the AAMVA
CDLIS SPM (version c.0) to impose new
costs or to result in quantifiable
benefits, as it imposes no new
regulatory requirements. The editorial
and ministerial changes that would
result from this proposed rule apply to
SDLA processes and procedures; SDLAs
30 A major rule means any rule that the OMB
finds has resulted in or is likely to result in (a) an
annual effect on the economy of $100 million or
more; (b) a major increase in costs or prices for
consumers, individual industries, geographic
regions, Federal, State, or local government
agencies; or (c) significant adverse effects on
competition, employment, investment,
productivity, innovation, or on the ability of United
States-based enterprises to compete with foreignbased enterprises in domestic and export markets
(5 U.S.C. 802(4)).
31 Public Law 104–121, 110 Stat. 857, (Mar. 29,
1996).
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are not small entities. Consequently, I
certify that this proposed rule will not
have a significant economic impact on
a substantial number of small entities.
D. Assistance for Small Entities
In accordance with section 213(a) of
the Small Business Regulatory
Enforcement Fairness Act of 1996 (Pub.
L. 104–121, 110 Stat. 857), FMCSA
wants to assist small entities in
understanding this proposed rule so
they can better evaluate its effects on
themselves and participate in the
rulemaking initiative. If the proposed
rule would affect your small business,
organization, or governmental
jurisdiction and you have questions
concerning its provisions or options for
compliance, please consult the person
listed under FOR FURTHER INFORMATION
CONTACT.
Small businesses may send comments
on the actions of Federal employees
who enforce or otherwise determine
compliance with Federal regulations to
the Small Business Administration’s
Small Business and Agriculture
Regulatory Enforcement Ombudsman
(Office of the National Ombudsman, see
https://www.sba.gov/about-sba/
oversight-advocacy/office-nationalombudsman) and the Regional Small
Business Regulatory Fairness Boards.
The Ombudsman evaluates these
actions annually and rates each agency’s
responsiveness to small business. If you
wish to comment on actions by
employees of FMCSA, call 1–888–REG–
FAIR (1–888–734–3247). DOT has a
policy regarding the rights of small
entities to regulatory enforcement
fairness and an explicit policy against
retaliation for exercising these rights.
E. Unfunded Mandates Reform Act of
1995
The Unfunded Mandates Reform Act
of 1995 (2 U.S.C. 1531–1538) (UMRA)
requires Federal agencies to assess the
effects of their discretionary regulatory
actions. The Act addresses actions that
may result in the expenditure by a State,
local, or Tribal government, in the
aggregate, or by the private sector of
$192 million (which is the value
equivalent of $100 million in 1995,
adjusted for inflation to 2022 levels) or
more in any 1 year. Though this NPRM
would not result in such an
expenditure, and the analytical
requirements of UMRA do not apply as
a result.
F. Paperwork Reduction Act
This proposed rule contains no new
information collection requirements
under the Paperwork Reduction Act of
1995 (44 U.S.C. 3501–3520).
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12809
G. E.O. 13132 (Federalism)
A rule has implications for federalism
under section 1(a) of E.O. 13132 if it has
‘‘substantial direct effects on the States,
on the relationship between the national
government and the States, or on the
distribution of power and
responsibilities among the various
levels of government.’’
FMCSA has determined that this
rulemaking would not have substantial
direct costs on or for States, nor would
it limit the policymaking discretion of
States. Nothing in this document
preempts any State law or regulation.
Therefore, this rulemaking does not
have sufficient federalism implications
to warrant the preparation of a
Federalism Impact Statement.
H. Privacy
The Consolidated Appropriations Act,
2005,32 requires the Agency to assess
the privacy impact of a regulation that
will affect the privacy of individuals.
This NPRM would not require the
collection of personally identifiable
information (PII).
The Privacy Act (5 U.S.C. 552a)
applies only to Federal agencies and any
non-Federal agency that receives
records contained in a system of records
from a Federal agency for use in a
matching program.
The E-Government Act of 2002,33
requires Federal agencies to conduct a
PIA for new or substantially changed
technology that collects, maintains, or
disseminates information in an
identifiable form. No new or
substantially changed technology would
collect, maintain, or disseminate
information as a result of this
rulemaking. Accordingly, FMCSA has
not conducted a PIA.
In addition, the Agency submitted a
Privacy Threshold Assessment (PTA) to
evaluate the risks and effects the
proposed rulemaking might have on
collecting, storing, and sharing
personally identifiable information. The
PTA was adjudicated by DOT’s Chief
Privacy Officer on Jan. 4, 2024.
I. E.O. 13175 (Indian Tribal
Governments)
This rulemaking does not have Tribal
implications under E.O. 13175,
Consultation and Coordination with
Indian Tribal Governments, because it
does not have a substantial direct effect
on one or more Indian Tribes, on the
relationship between the Federal
Government and Indian Tribes, or on
32 Public Law 108–447, 118 Stat. 2809, 3268, note
following 5 U.S.C. 552a (Dec. 4, 2014).
33 Public Law 107–347, sec. 208, 116 Stat. 2899,
2921 (Dec. 17, 2002).
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the distribution of power and
responsibilities between the Federal
Government and Indian Tribes.
J. National Environmental Policy Act of
1969
FMCSA analyzed this proposed rule
pursuant to the National Environmental
Policy Act of 1969 (NEPA) (42 U.S.C.
4321 et seq.) and determined this action
is categorically excluded from further
analysis and documentation in an
environmental assessment or
environmental impact statement under
FMCSA Order 5610.1 (69 FR 9680),
Appendix 2, paragraphs 6(s) and (t) of
the order (69 FR 9703). The categorical
exclusions in paragraphs 6(s) and (t)
cover regulations regarding the CDL and
related activities to assure CDL
information is exchanged between
States. The proposed requirements in
this rule are covered by these CEs.
K. Rulemaking Summary
As required by 5 U.S.C. 553(b)(4), a
summary of this rulemaking can be
found in the Abstract section of the
Department’s Unified Agenda entry for
this rulemaking at https://www.reginfo.
gov/public/do/eAgendaMain.
List of Subjects in 49 CFR Part 384
Administrative practice and
procedure, Alcohol abuse, Drug Abuse,
Highway safety, Incorporation by
reference, and Motor carriers.
In consideration of the foregoing,
FMCSA proposes to amend 49 CFR part
384 as follows:
2. Revise § 384.107 to read as follows:
ddrumheller on DSK120RN23PROD with PROPOSALS1
§ 384.107 Matter incorporated by
reference.
(a) Incorporation by reference. Certain
material is incorporated by reference
into this part with the approval of the
Director of the Federal Register under 5
U.S.C. 552(a) and 1 CFR part 51. All
approved incorporation by reference
(IBR) material is available for inspection
at FMCSA and at the National Archives
and Records Administration (NARA).
Contact FMCSA at the Department of
Transportation Library, 1200 New Jersey
Ave. SE, Washington, DC 20590–0001;
Jkt 262001
*
*
*
*
(p) A State must come into substantial
compliance with the requirements of
subpart B of this part, which is effective
as of [EFFECTIVE DATE OF FINAL
RULE], as soon as practicable, but not
later than August 22, 2024.
Issued under authority delegated in 49 CFR
1.87.
Sue Lawless,
Acting Deputy Administrator.
[FR Doc. 2024–03191 Filed 2–16–24; 8:45 am]
BILLING CODE 4910–EX–P
DEPARTMENT OF COMMERCE
[RTID 0648–XD481]
Authority: 49 U.S.C. 31136, 31301, et seq.,
and 31502; secs. 103 and 215 of Pub. L. 106–
159, 113 Stat. 1748, 1753, 1767; sec. 32934
of Pub. L. 112–141, 126 Stat. 405, 830; sec.
5524 of Pub. L. 114–94, 129 Stat. 1312, 1560;
and 49 CFR 1.87.
16:27 Feb 16, 2024
*
50 CFR Part 660
1. The authority citation for part 384
continues to read as follows:
■
VerDate Sep<11>2014
§ 384.301 Substantial compliance—
general requirements.
National Oceanic and Atmospheric
Administration
PART 384—STATE COMPLIANCE
WITH COMMERCIAL DRIVER’S
LICENSE PROGRAM
■
(202) 366–0746 . For information on the
availability of this material at NARA,
visit www.archives.gov/federal-register/
cfr/ibr-locations or email fr.inspection@
nara.gov. The material may be obtained
from the sources in the following
paragraph of this section.
(b) The American Association of
Motor Vehicle Administrators
(AAMVA), 4401 Wilson Boulevard,
Suite 700, Arlington, VA 22203; (703)
522–1300; www.aamva.org.
(1) ‘‘Commercial Driver’s License
Information System (CDLIS) State
Procedures Manual,’’ Version c.0,
September 2023; approved for
§§ 384.225(f) and 384.231(d).
(2) [Reserved]
■ 3. Amend § 384.301 by adding
paragraph (p) to read as follows:
Fisheries Off West Coast States;
Coastal Pelagic Species Fisheries;
Amendment 21 to the Coastal Pelagic
Species Fishery Management Plan
National Marine Fisheries
Service (NMFS), National Oceanic and
Atmospheric Administration (NOAA),
Commerce.
ACTION: Notice of availability of an
amendment to a fishery management
plan; request for comments.
AGENCY:
The Pacific Fishery
Management Council has submitted
Amendment 21 to the Coastal Pelagic
Species (CPS) Fishery Management Plan
(FMP) for review by the Secretary of
Commerce. If approved, Amendment 21
would make a number of nonsubstantive, administrative changes to
the CPS FMP including defining
SUMMARY:
PO 00000
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acronyms upon first use, adding
hyperlinks, removing repetitive
language, and rearranging sections for
clarity and logical sequence. These
changes, colloquially referred to as
‘‘housekeeping’’ changes, would not
change the management of the fishery.
This proposed amendment is intended
to promote the goals and objectives of
the Magnuson-Stevens Fishery
Conservation and Management Act, the
CPS FMP, and other applicable laws.
NMFS will consider public comments
in deciding whether to approve,
disapprove, or partially approve
Amendment 21.
DATES: Comments on the notice of
availability must be received by April
22, 2024 to be considered in the
decision whether to approve,
disapprove, or partially approve
Amendment 21.
ADDRESSES: You may submit comments
on this document, identified by NOAA–
NMFS–2023–0134, by the following
method:
• Electronic Submissions: Submit all
electronic public comments via the
Federal e-Rulemaking Portal. Go to
https://www.regulations.gov and type
NOAA–NMFS–2023–0134 in the Search
box (note: copying and pasting the
FDMS Docket Number directly from this
document may not yield search results).
Click the ‘‘Comment’’ icon, complete
the required fields, and enter or attach
your comments.
Instructions: Comments must be
submitted by the above method to
ensure that the comments are received,
documented, and considered by NMFS.
Comments sent by any other method, to
any other address or individual, or
received after the end of the comment
period, may not be considered. All
comments received are a part of the
public record and will generally be
posted for public viewing on https://
www.regulations.gov without change.
All personal identifying information
(e.g., name, address, etc.) submitted
voluntarily by the sender will be
publicly accessible. Do not submit
confidential business information, or
otherwise sensitive or protected
information. NMFS will accept
anonymous comments (enter ‘‘N/A’’ in
the required fields if you wish to remain
anonymous).
Electronic Access
This rule is accessible via the internet
on the Office of the Federal Register
website at https://www.federalregister.
gov/. Additionally, background
information and documents are
available on the Pacific Fishery
Management Council’s website at
E:\FR\FM\20FEP1.SGM
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Agencies
[Federal Register Volume 89, Number 34 (Tuesday, February 20, 2024)]
[Proposed Rules]
[Pages 12800-12810]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-03191]
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Motor Carrier Safety Administration
49 CFR Part 384
[Docket No. FMCSA-2023-0269]
RIN 2126-AC68
Commercial Driver's License (CDL) Standards; Incorporation by
Reference of a New State Procedures Manual (SPM)
AGENCY: Federal Motor Carrier Safety Administration (FMCSA), Department
of Transportation (DOT).
ACTION: Notice of proposed rulemaking (NPRM).
-----------------------------------------------------------------------
SUMMARY: FMCSA proposes to amend the Federal Motor Carrier Safety
Regulations (FMCSRs) to incorporate by reference the most recent
edition of the American Association of Motor Vehicle Administrators,
Inc. (AAMVA) Commercial Driver's License Information System (CDLIS)
State Procedures Manual (SPM), Version c.0. This would require all
State driver's licensing agencies (SDLAs) to use this edition of the
manual to provide guidance on the information systems procedures of the
commercial driver's license (CDL) program. Such information includes,
but is not limited to, CDL standards, State compliance with CDL
programs, qualifications of drivers, and credentials and security
threats assessments.
DATES: Comments must be received on or before March 21, 2024.
ADDRESSES: You may submit comments identified by Docket Number FMCSA-
2023-0269 using any of the following methods:
Federal eRulemaking Portal: Go to https://www.regulations.gov/docket/FMCSA-2023-0269/document. Follow the online
instructions for submitting comments.
Mail: Dockets Operations, U.S. Department of
Transportation, 1200 New Jersey Avenue SE, West Building, Ground Floor,
Washington, DC 20590-0001.
[[Page 12801]]
Hand Delivery or Courier: Dockets Operations, U.S.
Department of Transportation, 1200 New Jersey Avenue SE, West Building,
Ground Floor, Washington, DC 20590-0001, between 9 a.m. and 5 p.m.,
Monday through Friday, except Federal holidays. To be sure someone is
there to help you, please call (202) 366-9317 or (202) 366-9826 before
visiting Dockets Operations.
Fax: (202) 493-2251.
Viewing incorporation by reference material: You may inspect the
material proposed for incorporation by reference at U.S. Department of
Transportation Library, 1200 New Jersey Avenue SE, Washington, DC
20590-0001 between 8 a.m. and 5 p.m., Monday through Friday, except
Federal holidays. The telephone number is (202) 366-1812. Copies of the
material are available as indicated in the ``Executive Summary''
section of this preamble.
FOR FURTHER INFORMATION CONTACT: Ms. Rebecca Rehberg, CDL Division,
FMCSA, 1200 New Jersey Avenue SE, Washington, DC 20590-0001; (850) 728-
2034, [email protected]. If you have questions on viewing or
submitting material to the docket, call Dockets Operations at (202)
366-9826.
SUPPLEMENTARY INFORMATION: FMCSA organizes this NPRM as follows:
I. Public Participation and Request for Comments
A. Submitting Comments
B. Viewing Comments and Documents
C. Privacy
II. Executive Summary
A. Purpose and Summary of the Regulatory Action
III. Abbreviations
IV. Legal Basis
V. Background
VI. Discussion of Proposed Rulemaking
VII. Severability
VIII. Section-by-Section Analysis
IX. Regulatory Analyses
A. E.O. 12866 (Regulatory Planning and Review), E.O. 13563
(Improving Regulation and Regulatory Review), E.O. 14094
(Modernizing Regulatory Review), and DOT Regulatory Policies and
Procedures
B. Congressional Review Act
C. Regulatory Flexibility Act
D. Assistance for Small Entities
E. Unfunded Mandates Reform Act of 1995
F. Paperwork Reduction Act
G. E.O. 13132 (Federalism)
H. Privacy
I. E.O. 13175 (Indian Tribal Governments)
J. National Environmental Policy Act of 1969
K. Rulemaking Summary
I. Public Participation and Request for Comments
A. Submitting Comments
If you submit a comment, please include the docket number for this
NPRM (FMCSA-2023-0269), indicate the specific section of this document
to which your comment applies, and provide a reason for each suggestion
or recommendation. You may submit your comments and material online or
by fax, mail, or hand delivery, but please use only one of these means.
FMCSA recommends that you include your name and a mailing address, an
email address, or a phone number in the body of your document so FMCSA
can contact you if there are questions regarding your submission.
To submit your comment online, go to https://www.regulations.gov/docket/FMCSA-2023-0269/document, click on this NPRM, click ``Comment,''
and type your comment into the text box on the following screen.
If you submit your comments by mail or hand delivery, submit them
in an unbound format, no larger than 8\1/2\ by 11 inches, suitable for
copying and electronic filing. FMCSA will consider all comments and
material received during the comment period.
Confidential Business Information (CBI)
CBI is commercial or financial information that is both customarily
and actually treated as private by its owner. Under the Freedom of
Information Act (5 U.S.C. 552), CBI is exempt from public disclosure.
If your comments responsive to the NPRM contain commercial or financial
information that is customarily treated as private, that you actually
treat as private, and that is relevant or responsive to the NPRM, it is
important that you clearly designate the submitted comments as CBI.
Please mark each page of your submission that constitutes CBI as
``PROPIN'' to indicate it contains proprietary information. FMCSA will
treat such marked submissions as confidential under the Freedom of
Information Act, and they will not be placed in the public docket of
the NPRM. Submissions containing CBI should be sent to Brian Dahlin,
Chief, Regulatory Evaluation Division, Office of Policy, FMCSA, 1200
New Jersey Avenue SE, Washington, DC 20590-0001 or via email at
[email protected]. At this time, you need not send a duplicate
hardcopy of your electronic CBI submissions to FMCSA headquarters. Any
comments FMCSA receives not specifically designated as CBI will be
placed in the public docket for this rulemaking.
B. Viewing Comments and Documents
To view any documents mentioned as being available in the docket,
go to https://www.regulations.gov/docket/FMCSA-2023-0269/document and
choose the document to review. To view comments, click this NPRM, then
click ``Browse Comments.'' If you do not have access to the internet,
you may view the docket online by visiting Dockets Operations on the
ground floor of the DOT West Building, 1200 New Jersey Avenue SE,
Washington, DC 20590-0001, between 9 a.m. and 5 p.m., Monday through
Friday, except Federal holidays. To be sure someone is there to help
you, please call (202) 366-9317 or (202) 366-9826 before visiting
Dockets Operations.
C. Privacy
In accordance with 5 U.S.C. 553(c), DOT solicits comments from the
public to better inform its regulatory process. DOT posts these
comments, including any personal information the commenter provides, to
www.regulations.gov as described in the system of records notice DOT/
ALL 14 (Federal Docket Management System (FDMS)), which can be reviewed
at https://www.transportation.gov/individuals/privacy/privacy-act-system-records-notices. The comments are posted without edit and are
searchable by the name of the submitter.
II. Executive Summary
A. Purpose and Summary of the Regulatory Action
In this NPRM, FMCSA proposes to incorporate by reference version
c.0 of the Commercial Driver's License Information System (CDLIS) State
Procedures Manual (SPM), which the American Association of Motor
Vehicle Administrators, Inc. (AAMVA) released in September 2023. In
2014, FMCSA incorporated by reference version 5.3.2.1 of the CDLIS SPM,
which AAMVA released in August 2013 (79 FR 59450 (Oct. 14, 2014)).
Version c.0 of the CDLIS SPM has replaced the 2013 version. The CDLIS
SPM (version c.0) provides guidance on the information system
procedures of the CDL program. This change reflects a routine update of
the referenced SPM (version c.0) to include changes introduced to
exchange driver history record information (EEE) procedures and drug
and alcohol clearinghouse (DACH II or Clearinghouse) information
exclusively electronically. This NPRM discusses all updates to the
currently incorporated 2013 edition of the SPM (version c.0). FMCSA is
providing the public an opportunity to comment on the incorporation by
reference of version c.0 of the SPM.
The material is available, and will continue to be available, for
inspection at the Department of Transportation
[[Page 12802]]
Library by the means identified in ADDRESSES. Copies of the SPM
(version c.0) may also be obtained through AAMVA. Further details and
contact addresses and telephone numbers are provided in proposed Sec.
384.107 in the amendatory text of this NPRM. AAMVA plans to update this
SPM as needed to reflect changing legal requirements and best practices
in the operations of CDLIS. Incorporating version c.0 by reference,
however, should ensure that each State complies with the specific
version required by FMCSA.
Twenty-six updates distinguish the September 2023 edition of the
SPM (version c.0) from the August 2013 edition. The incorporation by
reference of the September 2023 edition does not impose new regulatory
requirements and consequently would neither impose costs nor result in
quantifiable benefits.
III. Abbreviations
AAMVA American Association of Motor Vehicle Administrators
AAMVAnet American Association of Motor Vehicle Administrators
Network
ACD AAMVA Code Dictionary
CBI Confidential Business Information
CDL Commercial Driver's License
CDLIS Commercial Driver's License Information System
CFR Code of Federal Regulations
CLP Commercial Learner's Permit
CMV Commercial Motor Vehicle
CMVSA Commercial Motor Vehicle Safety Act
CS Central Site
CSOR Change of State of Record
CVP Common Validation Processor
DACH Drug and Alcohol Clearinghouse
DGAF Mexican General Directorship of Federal Motor Carrier
Transportation
DHR Driver History Record
DOT Department of Transportation
EEE Exclusive Electronic Exchange
ELG Eligible
E.O. Executive Order
FHWA Federal Highway Administration
FMCSA Federal Motor Carrier Safety Administration
FMCSRs Federal Motor Carrier Safety Regulations
FR Federal Register
LIC Licensed
MPR Master Pointer Record
NARA National Archives and Records Administration
NPRM Notice of Proposed Rulemaking
OSOR Old State of Record
PDPS Problem Driver Pointer System
RTD Return to Duty
SDLA State Driver's Licensing Agency
SOC State of Conviction
SOI State of Inquiry
SOR State of Record
SOW State of Withdrawal
SPEXS State Pointer Exchange Services
SPM State Procedures Manual
S2S State-to-State
The Secretary The Secretary of Transportation
UMRA Unfunded Mandates Reform Act
U.S.C. United States Code
IV. Legal Basis
Section 206 of the Motor Carrier Safety Act of 1984 (Pub. L. 98-
554, title II, 98 Stat. 2832, 2834, codified at 49 U.S.C. 31136)
directed the Secretary of Transportation (the Secretary) to regulate
commercial motor vehicles (CMVs) and the drivers and motor carriers
that operate them. The Secretary was also directed to issue regulations
governing the physical condition of drivers.
The Commercial Motor Vehicle Safety Act of 1986 (CMVSA) (Pub. L.
99-570, title XII, 100 Stat. 3207-170, codified at 49 U.S.C. chapter
313) required the Secretary, after consultation with the States, to
prescribe regulations on minimum uniform standards for State issuance
of CDLs. CMVSA also specified information States must include on each
CDL (49 U.S.C. 31308). Congress delegated the authorities set forth in
the Motor Carrier Safety Act of 1984 and the CMVSA to FMCSA's
Administrator (see 49 U.S.C. 113(f)(1); see also section 1.87(e)-(f)).
FMCSA, in accordance with 49 U.S.C. 31308, has authority to
prescribe procedures and requirements the States must adhere to in
issuing CDLs and commercial learner's permits (CLPs). To avoid loss of
Federal-aid highway funds, 49 U.S.C. 31314 requires each State to
comply substantially with 49 U.S.C. 31311(a), which prescribes the
requirements for State participation in the CDL program. To ensure that
the States are able to exchange information about CDL holders
efficiently and effectively through CDLIS, as required by 49 U.S.C.
31311(a)(5) through (9), (15), (18) through (19), and (21), this
proposal would require States issuing CDLs and CLPs to follow all the
procedures described in version c.0 of the CDLIS SPM when posting,
transmitting, and receiving all information on a CDL driver's CDLIS
driver record.
V. Background
FMCSA is required by statute to maintain an information system that
serves as the clearinghouse depository of information about the
licensing, identification, and disqualification of operators of CMVs
(49 U.S.C. 31309). CDLIS is the information system that serves that
function.
In 1988, the Federal Highway Administration (FHWA) entered into a
designation agreement with AAMVA's affiliate AAMVAnet,\1\ Inc.
(AAMVAnet) to create and operate CDLIS. Under that agreement, CDLIS
must contain all the information required in 49 U.S.C. 31309(b). The
1988 agreement states that AAMVAnet will ``cooperate fully with FHWA
with respect to the operation of CDLIS including, but not limited to,
information content and the development of standards relating to access
to CDLIS by States and various employers and employees.'' Pursuant to
section 106(b) of the Motor Carrier Safety Improvement Act of 1999
(MCSIA) (Pub. L. 106-159, 113 Stat. 1748, 1757, 49 U.S.C. 113 note),
the 1988 agreement automatically transferred to FMCSA upon the Agency's
establishment and remained in effect until FMCSA and AAMVA, the party
that inherited the responsibilities of its affiliate AAMVAnet entered
into a superseding agreement in 2008, discussed below.
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\1\ AAMVAnet is the telecommunications network that
electronically links the following systems: The jurisdictions (motor
vehicle Agencies or Department of motor vehicles), FMCSA, third-
party service providers (TPSPs), Canadian interprovincial record
exchange (IRE) Bridge, Mexican Access Node, and the CDLIS central
site.
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In August 2005, section 4123 of the Safe, Accountable, Flexible,
Efficient Transportation Equity Act: A Legacy for Users authorized
FMCSA to establish a modernization plan for CDLIS (Pub. L. 109-59, 119
Stat. 1144, 1734, codified in part at 49 U.S.C. 31309(e) et seq.).
Section 4123 also authorized grants to States or organizations
representing States for the modernization of CDLIS (49 U.S.C.
31309(f)).
On May 2, 2006, FMCSA published the CDLIS Modernization Plan in the
Federal Register (71 FR 25885). The Plan detailed the statutory
requirements for modernization, the phases of the modernization plan,
and the availability of grant funding for AAMVA and the States to
comply with CDLIS modernization requirements. Since May 2006, AAMVA has
received grants from FMCSA to complete the tasks enumerated in the
Modernization Plan.
On June 9, 2008, FMCSA and AAMVA entered into a new cooperative
agreement regarding the operation, maintenance, and modernization of
CDLIS. While FMCSA authorizes AAMVA to maintain and operate CDLIS,
FMCSA does not own CDLIS, and it is not a Federal system of records.
FMCSA and AAMVA work closely together to monitor State compliance with
the CDLIS specifications, as set forth in the 2006 CDLIS Modernization
Plan, and States' annual grant agreements. FMCSA has awarded AAMVA
Federal financial assistance grants to maintain an active Help Desk for
the jurisdictions, conduct regularly occurring CDLIS training courses
for the
[[Page 12803]]
jurisdictions, and provide States with regular CDLIS transaction and
error reports to improve their compliance efforts.
The goals of the 2008 agreement, to which any amendments must be
made in writing and signed by all parties,\2\ are to provide a
framework for the ongoing operation, maintenance, administration,
enhancement, and modernization of CDLIS by AAMVA. The modernization
will ensure compliance with applicable Federal information technology
security standards; electronic exchange of all information including
the posting of convictions; self-auditing features to ensure that data
are being posted correctly and consistently by the States; and
integration of an individual's CDL and the medical certificate as
required in the final rule, Medical Certification Requirements as Part
of CDL (73 FR 73096, Dec. 1, 2008). Finally, the agreement provides a
schedule for modernization of the system. The updated version c.0 of
the SPM implements the CDLIS modernization effort.
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\2\ The 2008 agreement was amended in 2013, however, the
amendments did not relate to the CDLIS modernization efforts.
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VI. Discussion of Proposed Rulemaking
Version c.0 of the CDLIS SPM outlines the standard administrative
practices required of the fifty States and the District of Columbia,
known as ``the jurisdictions,'' when participating in CDLIS. The
thirteen Canadian provinces and territories and the Mexican General
Directorship of Federal Motor Carrier Transportation (DGAF) will also
adopt version c.0 of the CDLIS SPM. Version c.0 of the SPM supersedes
previous versions of the CDLIS SPM.
The primary audiences for this SPM (version c.0) are the
jurisdictions involved in CDL programs, and their counterparts in
Canada and Mexico, including administrative employees involved in
driver licensing and computer technology staff supporting CDLIS
transactions. The SPM (version c.0) contains background information
about the laws mandating CDLIS and discusses types of CDLIS users. The
SPM (version c.0) also includes descriptions, excerpted from the CDLIS
System Specifications (version c.0), of the nationwide computerized
data-exchange transactions used to electronically record and report
driver information. Further, the SPM (version c.0) provides guidance on
administrative driver licensing procedures that involve CDLIS,
including issuing, renewing, transferring, withdrawing, and reinstating
a driver's license, and posting convictions. The SPM (version c.0) does
not address CDL or CLP program requirements outside the scope of CDLIS.
The CDLIS SPM (version c.0) addresses changes that were made as
part of the modernization effort to make CDLIS more efficient in
handling the increasing number of driver records and data transactions.
These changes provide guidance on the information system procedures of
the CDL program. In addition, version c.0 includes updates to support
changes made to CDLIS as a result of the DACH II rule, published in
October 2021 (81 FR 87686), and revises procedures to support changes
made to CDLIS as a result of the EEE rule, published in July 2023 (86
FR 38937). Any references in the SPM (version c.0) to the U.S. Code or
CFR should be confirmed by users.
The following is a summary of the updates introduced in version c.0
of the SPM:
AAMVA released a new version of the CDLIS SPM (version c.0) to
introduce updates to CDLIS,\3\ as well as new administrative practices
required by the jurisdictions as a result of the DACH II final rule.
This new version of the SPM (version c.0) also revised procedural
updates pertaining to the EEE final rule when a State receives a
notification \4\ of conviction or withdrawal outside CDLIS after the
EEE compliance date.\5\
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\3\ CDLIS is a nationwide network composed of a database that
stores information about commercial drivers, and the associated
hardware and software used to manage commercial driver information.
\4\ A notification is an indicator that a driver's status has
changed in the Clearinghouse.
\5\ The EEE rule compliance date is August 22, 2024.
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The SPM includes multiple versions; however, this proposed rule
will focus solely on the contents of latest version (c.0), which are
discussed in more detail below. Twenty-six changes in the 2023 edition
of the SPM (version c.0) distinguish it from the August 2013 edition.
Of the 26 updates, 24 stem from the DACH II final rule and 2 stem from
the EEE final rule.
The purpose of DACH II is to improve highway safety by ensuring
that CLP or CDL holders with drug and alcohol program violations do not
operate a CMV until they complete the return to duty process (RTD) and
can lawfully resume driving. DACH II also ensures that all SDLAs \6\
are able to determine whether CMV drivers licensed in their State are
subject to FMCSA's CMV driving prohibition. The following updates were
made pursuant to the DACH II final rule:
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\6\ SDLAs maintain databases, application programs, and systems
software to support State-to-State functions.
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The first through fourth updates are related to the CDLIS system
and the newly introduced electronic transactions.
1. An update to the DACH II State Pointer Exchange Services (SPEXS)
system was introduced to CDLIS-only participants, as well as CDLIS and
State-to-State (S2S) participants.\7\ The SPEXS system is a platform
operated by AAMVA, that is utilized to locate driver information in
CDLIS based on identifiable information provided by the State, to
ensure that each driver is associated with one license, one identity,
and one record. The SPM (version c.0) adds a functional release level
to SPEXS, providing specified sets of system functionality, thereby
enabling participants to use the SPEXS platform. This helps identify
and locate a driver's record and prevents the creation of duplicate
records for the same driver.
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\7\ The State-to-State (S2S) system allows States to
electronically check with other participating States if an
individual holds a CDL or CLP in another State.
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2. As a result of the SPEXS update described above, two new
transaction codes (CD40) and (CD41) were added to the CDLIS Solution
table, which assigns and defines all existing codes in the SPEXS system
to accomplish a specific business function. Each transaction
facilitates the exchange of data by sending a message (in the form of a
one-way transmission) carrying driver information from one CDLIS node
to another in the AAMVA network. These new transactions will improve
the functionality of driver record searches in CDLIS. The first
transaction (CD40) enables information to be communicated from the
central site (CS) \8\ to the State of record (SOR) via the
Clearinghouse. The second transaction (CD41) enables information to be
communicated from the State of inquiry (SOI) \9\ to the Clearinghouse
via the CS. Both transactions are discussed in more detail below.
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\8\ The SPEXS central site (CS) facilitates the transmission of
information from the Clearinghouse system to the States.
\9\ The SDLA jurisdiction that requests information about the
driver from the State of record (SOR).
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3. A new transaction code (CD40) was added to table 2 of the CDLIS
transactions in the SPEXS system to obtain Clearinghouse driver status
updates. The driver status update transaction is used to notify the SOR
of a change in driver status by obtaining information from the
Clearinghouse records. The SPEXS system facilitates the transmission of
information in the
[[Page 12804]]
form of notifications \10\ from the Clearinghouse to the States. In
this transaction, the CS sends a request to the Clearinghouse to get a
driver status for a jurisdiction. The Clearinghouse sends all driver
status changes to the CS in response, and the CS then forwards the
Clearinghouse notification to the requesting State. Finally, the SOR
sends a receipt to the CS to confirm receipt of the notification. When
receiving information from the CS, the SOR interprets it to determine
whether a CDL or CLP needs to be downgraded, upgraded, or reinstated
based on the Federal minimum requirements and the State's laws and
policies, as applicable.
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\10\ This applies to States that opt to receive notifications
from the Clearinghouse. The Clearinghouse sends notifications to the
States whenever there is a change of status in the Clearinghouse.
States may also opt to use CDLIS to receive notifications.
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In certain cases, an error message is triggered for this type of
transaction. This may originate from the CS to the Clearinghouse, or
from the SOR to the CS, if a validation error occurs. An error could be
triggered if the SOR cannot locate the CDL or CLP record or is no
longer the current SOR, if the driver in question is reposed or
deceased, and if the requested driver is not a CDL or CLP holder. The
SPM (version c.0) also included a diagram (Figure 20) to aid in
visualizing the driver status update process for the CD40 transaction.
4. A second transaction code (CD41) was introduced to table 2 of
the CDLIS transactions in the SPEXS system to enable the SOI to request
a driver's current status from the Clearinghouse. A change in the
driver's status is caused either by an unresolved drug and alcohol
violation or an erroneous violation. In this process, the SOI sends a
status inquiry to the CS to obtain information on the driver's status.
The CS then forwards the SOI's request to the Clearinghouse, and the
latter sends a response to CS. The CS validates and forwards the
Clearinghouse notification to the SOI. When receiving information from
the CS, the SOI (if it is the SOR) interprets the information to
determine whether a CDL or CLP needs to be downgraded, upgraded, or
reinstated based on the Federal minimum requirements and the State's
laws and policies, as applicable. If the SOI is not the SOR, the SOR
interprets the information from the CS to determine if the applicant
has a Clearinghouse violation, which would prohibit the issuance of a
CDL or CLP.
In certain cases, an error message is triggered for this type of
transaction. This may originate from the CS to the Clearinghouse or
from the CS to the SOI, if a validation error occurs. An error would be
triggered if the driver status inquiry message does not pass the
validations performed by the CS, if the Clearinghouse notification does
not pass the validations performed by the CS, or if any system errors
are encountered (such as message delivery errors, timeout, or software
issues). The SPM (version c.0) incorporated a diagram (Figure 21) to
aid in visualizing the driver status update process for the CD41
transaction.
Items 5 through 24 are related to the processes for the
jurisdictions to conduct Clearinghouse checks on an individual prior to
issuing a CDL or CLP and the steps they must follow based on the
results of those checks.
5. A new bullet item was added to the ``Procedures for Issuing a
CDL or CLP'' section of the SPM (version c.0) to establish procedures
relating to issuing a duplicate CDL or CLP. The purpose of this
addition is to establish a procedure for SDLAs to adopt when issuing a
duplicate. This new procedure aims to reduce the risk of fraud by
requiring that the jurisdiction issuing a duplicate CLP or CDL check
the driver's image on file when they appear in-person.
6. A new section (divided into two subsections) was added to
establish Clearinghouse checks, as a requirement for the jurisdictions
prior to issuing a CDL or CLP. In the first subsection, a reference to
Sec. 383.73 was included, which requires Clearinghouse checks be made
prior to the issuance of a CDL or CLP.
The second subsection introduced a new column to table 4 titled
``CDLIS Checks Prior to Issuance'' to ensure a Clearinghouse check to
confirm the applicant's eligibility is completed prior to the issuance
of a CDL or CLP. Additionally, Note 3 was added to table 4 regarding
CDL reinstatement applications. The note specifies that, prior to
reinstatement, the jurisdictions must have processes in place to ensure
the driver is not prohibited from operating a CMV due to a
Clearinghouse violation. It also outlines the ways in which the
jurisdictions can accomplish this process by providing options to
either perform a Clearinghouse check or to maintain internal records of
notifications received from the Clearinghouse.
7. A new section was added on the Clearinghouse check requirements.
First, this section describes the purpose of the DACH II final rule and
references the requirements associated with conducting a Clearinghouse
check to comply with the rule's provisions. This section also addresses
the circumstances in which States and the jurisdictions must complete
checks or obtain a record using the Clearinghouse prior to issuing a
CDL or CLP.
This section also addresses the processes for the jurisdictions to
downgrade the driver's license when notified \11\ by the Clearinghouse,
or when the Clearinghouse query \12\ indicates that the driver is
prohibited from operating a CMV. This would be achieved by changing the
commercial status on the CDLIS driver record from ``LIC'' (licensed) to
a minimum of ``ELG'' (eligible) for CDL holders, and similarly changing
the permit status from LIC to ELG for CLP holders. Additionally, the
SOR may perform an in-State withdrawal for a person with a
Clearinghouse violation and must follow the procedures outlined in the
SPM (version c.0) to complete the withdrawal process. This process is
further explained in update 15 of the SPM (version c.0).
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\11\ The DACH Driver Status Update transaction is used to notify
the SOR of a change in driver status via the Clearinghouse.
\12\ The jurisdictions are required to query the Clearinghouse
to receive status updates on a given driver prior to issuing,
renewing, transferring, or upgrading a CDL or CLP starting November
18, 2024.
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Lastly, this section includes a note on data records for drivers
who are in prohibited status due to a Clearinghouse violation starting
January 6, 2020 (the original compliance date for initial Clearinghouse
requirements) and directs the jurisdictions to adopt a process to
retrieve that data. The process provided lists two viable options to
retrieve data either via the FMCSA web portal or by contacting FMCSA or
AAMVA directly. The jurisdictions will have 60 days from the compliance
date \13\ of the DACH II final rule to act on such records.
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\13\ The DACH II final rule's compliance date is November 18,
2024.
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8. A new section was added to describe the procedures for SDLAs to
connect to the Clearinghouse, as well as brief descriptions for each
option. The jurisdictions may either choose to connect to the
Clearinghouse using the FMCSA direct-connect option \14\ (or the FMCSA
solution), or via the CD40 or CD41 transaction (or the CDLIS solution).
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\14\ The jurisdictions that opt to use the FMCSA direct-connect
option must refer to https://clearinghouse.fmcsa.dot.gov/Resource/Page/SDLA-Resources page and must directly contact FMCSA
([email protected]) for the implementation of this option.
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9. An update was made to determine eligibility for a CDL or CLP by
the addition of a Clearinghouse check. A bullet was added to the list
of eligibility criteria \15\ to prohibit drivers from being
[[Page 12805]]
disqualified again if the driver's prior jurisdiction disqualified and
subsequently reinstated them. A subsection was also added to introduce
a requirement that the jurisdictions query the Clearinghouse prior to
issuing, renewing, transferring, or upgrading a CDL or CLP.
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\15\ The list of eligibility criteria include: a CDLIS check, a
Problem Driver Pointer System (PDPS) check, a 10-year history check,
a medical qualification check, social security number verification
and citizenship/lawful permanent residency/legal presence, or a
Clearinghouse check.
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10. A new section was added to clarify the course of action SDLAs
must take in evaluating the results received from the Clearinghouse on
a driver's status, or when the jurisdiction queries the Clearinghouse.
Pursuant to Sec. 383.73, the jurisdictions are required to access and
use information from the Clearinghouse and to check the driver's status
by querying the Clearinghouse prior to issuing, renewing, transferring,
or upgrading a CDL or CLP.
Five subsections were added to describe a list of reasons why a
Clearinghouse status may change and how SDLAs evaluate the information
provided by the Clearinghouse. The five sections include more detail on
the Clearinghouse data elements, identifying and matching a driver in
the Clearinghouse, acting on a driver with prohibited status, acting on
a driver with a not prohibited status, and Clearinghouse downgrade,
which are explained below.
11. The Clearinghouse data elements subsection identifies
information that a jurisdiction must use, including the driver's
identifying information (such as the driver's full name, date of birth,
CDL or CLP number, etc.) and status in the Clearinghouse system (if the
driver is prohibited and, if so, the date that status went into
effect). A full list of all Clearinghouse elements, their description
and usage are outlined in table 10 titled ``Clearinghouse Data
Elements'' in the SPM (version c.0).
12. The second subsection was added to provide guidelines for the
jurisdictions to identify a driver's matching record in the
Clearinghouse, and to compare Clearinghouse information against
information from other checks (including CDLIS and the Problem Driver
Pointer System \16\ (PDPS)), to ensure action is being taken on the
correct driver. States may also use existing guidelines to determine if
a Clearinghouse notification is needed for the driver in question.
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\16\ The Problem Driver Pointer System (PDPS) is a system in
which SDLAs provide the National Drivers Record with a pointer to a
problem driver's history when the driver is convicted of a
Clearinghouse violation.
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Additional procedures for States were introduced to evaluate which
record to act upon when multiple records are found on the same driver.
For instance, if more than one CDLIS record is found, the SOR must take
necessary action on the CDLIS record with the most recent issue date.
If one record is CDLIS and another record is non-CDLIS (kept outside of
the CDLIS system), the SOR must take necessary action on the CDLIS
record as applicable. If one or more non-CDLIS records indicating no
history or record of a prior CDL or CLP are found, the SOR may take
necessary action on the driver's CDL or CLP status, as applicable. If
no record exists in the Clearinghouse, no violations will prohibit a
driver from operating a CMV.
13. The third subsection addresses actions the jurisdictions must
take against a driver with a prohibited status after they are alerted
either via Clearinghouse notification or as a result of a Clearinghouse
query. This process will prevent prohibited drivers from operating a
CMV. This subsection lists three options for the jurisdictions to
follow: denial of the driver's request resulting in non-issuance of a
CDL or CLP, removal of CDL or CLP privileges from the driver's license,
or downgrade of the driver's CDL or CLP.
14. The fourth subsection addresses actions the jurisdictions must
take when the Clearinghouse indicates a driver is not prohibited from
operating a CMV. Pursuant to the DACH II final rule, a driver is
considered ``not prohibited'' when the driver is no longer prohibited
from operating a CMV. This occurs after the driver completes the RTD
requirements or if the driver was erroneously identified as prohibited.
In the latter case, the Clearinghouse notifies the jurisdiction that
the driver's status was based on erroneous information. After receiving
a notification, the jurisdiction will not initiate a downgrade process
if one has not been started. If the jurisdiction has already initiated
the downgrade process, it must terminate it and clear the driver's
record of any reference to the erroneously identified violation.
Finally, if the jurisdiction has already completed the downgrade
process, the jurisdiction must expeditiously reinstate the driver's
privileges and expunge the driver's record of any reference to the
erroneously identified violation. The jurisdictions must follow a
similar process when a query indicates the driver is not prohibited
from operating a CMV.
15. The final subsection addresses additional procedures to
downgrade the commercial driving privilege due to Clearinghouse
violations. In this case, the jurisdictions are subject to a Federal
requirement to change the commercial status of the CDLIS driver record
from LIC to a minimum of ELG for CDL holders, and similarly change the
permit status from LIC to a minimum of ELG for CLP holders.
This subsection also addresses scenarios when a SOR may take
additional action, such as in-State withdrawal, based on the State's
laws and/or policies. In this case, the SOR must downgrade the driver's
status to ``NOT'' (not a CDL or CLP) and use the State's code
indicating withdrawal. In-State withdrawals must not be transmitted to
the CDLIS driver history record (DHR), which is maintained on the
jurisdiction's system.
The subsection also outlines the process for SDLAs performing in-
State withdrawals to respond to an S2S status request (referred to as
an SG message), history request (referred to as an SB message) or
change of record request (referred to as an SD message). Transactions
for status requests from S2S to the SOR are coded CD30,\17\ CD04,\18\
and CD08,\19\ respectively. In all cases, the SOR must respond with the
current driver status, but must not include any details of
Clearinghouse in-state withdrawal in the CDLIS DHR.
---------------------------------------------------------------------------
\17\ This online search inquiry is a transaction which allows
the jurisdictions to perform inquiries on multiple drivers, instead
of one driver at a time, to fulfil their requirement. This process
was developed as an alternative to the CDLIS online search inquiry.
\18\ The CD04 post requisite determines whether any information
in the driver's history precludes it from granting a license or
requires it to conduct additional processing.
\19\ This describes a change of record transaction by
transferring a message from the new SOR to the CS.
---------------------------------------------------------------------------
The first procedure applies to an S2S Status Request (CD03, SG
message). In the CDLIS S2S Status Request, the SOR must report the
driver status to the SOI via SG message. This request enables the SOI
to obtain status information on a CDL holder directly from the SOR
without inquiring through CDLIS. The typical use of this transaction is
to obtain the status information for a driver who was one of several
returned as matches on a search inquiry. Since status requests are not
sent when a search inquiry results in more than one match, the S2S
status request gives the inquirer a tool for obtaining the status for
any or all of the matched drivers. This request may also be used to
verify the status of a CDL or CLP when an out of State license is
presented to a jurisdiction. The inquirer may request the status for
only one driver at a time with this request. Upon receipt, the SOR
validates the driver's identification
[[Page 12806]]
information, retrieves the status information, and returns the status
information to the inquirer.
The second procedure applies to an S2S history request (CD04, SB
message). In the CDLIS S2S history request the SOR or old State of
record (OSOR) must report the entire driver history to the SOI or new
State of record (NSOR). An S2S history request enables an inquirer to
obtain the DHR on a CDL holder directly from the SOR without inquiring
through CDLIS. Typically, a jurisdiction uses this transaction when a
driver is considered for a change if State of record (CSOR). First, the
inquirer verifies the driver's existence in the CDLIS CS, license
status, and SOR using search inquiry, verification inquiry,\20\ or
verification inquiry preceding an S2S history request. The inquirer may
request the history for only one driver at a time with this request.
Upon receipt, the SOR validates the driver identification information,
retrieves the DHR, and returns the driver history information to the
SOI.
---------------------------------------------------------------------------
\20\ A verification inquiry (CD02) is a request for a driver's
Master Pointer Record (MPR) and license status.
---------------------------------------------------------------------------
The third procedure applies to a CSOR Request (CD08, SD message).
In the S2S CSOR request processed in CDLIS, the SOR or OSOR must report
the entire driver history to the SOI or NSOR. The CSOR transaction is
used to transfer a DHR from an OSOR to a NSOR, and to reflect this
change in the Master Pointer Record (MPR).\21\ The new jurisdiction
officially becomes the NSOR when the CSOR request is initiated.
Simultaneously, the old jurisdiction becomes the OSOR. The new roles
are reflected in the MPR once CDLIS retrieves and updates the MPR. The
CSOR transaction is not used when Canadian or Mexican CDL holders move
to the United States. In these cases, the driver is added as a new
driver. The previous CDL's jurisdiction code and driver's license
number combination may be entered in the corresponding primary
identification data, or ``AKA'' fields. The transaction is also not
used for United States CDL holders moving to Mexico or Canada. When
issuing any type of license to a driver, if the driver has a CDLIS MPR
at the CS, the new licensing jurisdiction must initiate the CSOR and
accept responsibility of the pointer as the NSOR.
---------------------------------------------------------------------------
\21\ The Master Pointer Record (MPR) is a pointer to the
jurisdictions that issued the driver's latest CDL or CLP. In CDLIS
and SPEXS, the CS keeps a MPR for each driver.
---------------------------------------------------------------------------
The NSOR sends a CSOR update message to CDLIS upon receipt of the
CSOR update message, and CDLIS will validate the driver identification
information in the message. If the NSOR is changing the driver's name,
date of birth, and/or social security number, CDLIS checks to see if
any drivers can be considered possible duplicates for the new driver.
If so, CDLIS issues notifications of possible duplicate driver to all
SORs affected, including the SOR that submitted the CSOR update
message. CDLIS retrieves the driver's MPR, updates it by noting the
initiator of the CSOR transaction as the NSOR and the recipient of the
CSOR request as the OSOR. After CDLIS returns a confirmation to the
NSOR, it sends a DHR request to the OSOR. Upon receipt of the DHR
request, the OSOR: validates the message data, retrieves the DHR, and
adds the NSOR's jurisdiction code and driver's license number to its
DHR. This enables the OSOR to respond to status and history requests
from the NSOR until such time as the CSOR is complete, and to return
driver history information to the NSOR.
The CDLIS Common Validation Processor (CVP) is a function of CDLIS
which performs edits on the history information before forwarding it to
the NSOR. Upon receipt of the response message from the OSOR via the
CDLIS CVP, the NSOR performs any required additional validations not
already performed by the CDLIS CVP. Within 96 hours of receipt of the
information, the NSOR creates the DHR and posts the history, and sends
a confirmation to CDLIS. Upon receipt of the confirmation from the
NSOR, CDLIS validates the information, verifies that the information
matches the updated MPR, and sends confirmations to both the NSOR and
OSOR validating the CSOR is complete.
A process is also set in place for the change of record requests
from the OSOR to the NSOR. Both SORs have specific responsibilities
while a CSOR is being processed. The transaction is initiated when the
OSOR receives an SD message from the CDLIS CS. When the CSOR is
processing, the OSOR must not respond to status or history requests for
that driver, except those received from the NSOR. The OSOR must respond
with an error to all other inquiring the jurisdictions and clearly
annotate that the driver record is no longer associated with the SOR.
The OSOR must also annotate the driver's record to indicate the NSOR's
jurisdiction code and driver license number. After the NSOR receives
the ``Confirm CSOR in-Progress'' (CG) message, the CDLIS CS sets an
internal flag that the CSOR is in progress. The NSOR then becomes the
driver's SOR and must respond to all status and history requests for
that driver.
16. New procedures were introduced for the NSOR and OSOR during and
after the CSOR process outlining the appropriate course of action when
the OSOR performs an in-State withdrawal due to a Clearinghouse
violation and a CSOR is taking place. An in-State withdrawal is
performed when an SDLA initiates a withdrawal of a driver's CDL or CLP
due to a Clearinghouse violation against a jurisdiction's State laws
and/or policies.
The first procedure applies to the OSOR when the following applies
in the DHR: the driver's commercial status is designated as ``NOT,''
the DHR only consists of an open in-State withdrawal due to a
Clearinghouse violation, and the driver's record does not have any
other open convictions and/or withdrawals. In this case, the OSOR must
have in-State procedures in place to reinstate the driver's commercial
status to ELG upon receipt of the CSOR history request (SD message).
The second procedure applies to the OSOR when the DHR with the
driver's commercial status is designated as ``NOT,'' and the DHR
consists of an open in-State withdrawal along with other convictions
and/or withdrawals. In this case, the OSOR must have in-State
procedures in place to reinstate only the Clearinghouse in-State
withdrawal and follow existing Federal and State guidelines for
convictions and withdrawals.
The third update is applicable when the driver has obtained a NSOR.
In this case, the NSOR must respond to all status and history requests
for that driver. Procedures are also set in place for the NSOR when a
Clearinghouse violation is found. In this case, the NSOR must follow
the procedures described in update 12 to determine whether the driver
is eligible for a CDL or CLP.
17. New procedures were added to enable SDLAs to respond to an S2S
status request, S2S history request, and CSOR request. This procedure
also requires that the SDLAs must not transmit Clearinghouse
withdrawals on the CDLIS DHR. In the S2S status request, the SOR must
report the driver status to the SOI, as specified in CD03. In the S2S
history request and CSOR requests, the SOR or OSOR must report the
entire driver history to the SOI or SOR as specified in CD04 and CD08
transactions. A SOR must send the entire AAMVA Code Dictionary (ACD)
\22\ history when responding to a CSOR or history request.
---------------------------------------------------------------------------
\22\ The ACD is a standardized set of three-character codes used
to identify either a type of conviction or the reason for a
withdrawal of driving privileges. The ACD provides a single list of
all codes that all the jurisdictions can understand and removes the
need for a jurisdiction to map their laws and rules to the laws and
rules of every other jurisdiction.
---------------------------------------------------------------------------
[[Page 12807]]
When the SOR receives an S2S SG message for the driver, the SOR
must respond with the current CDL status and must not include any
details of Clearinghouse in-State withdrawal in the CDLIS DHR.
When the SOR receives an S2S SB message, for the driver, the SOR
must respond with the current CDL status and history but must not
include any details of Clearinghouse in-State withdrawal in the CDLIS
DHR.
When a SOR receives a CSOR request, or SD message for the driver,
States must refer to the procedures outlining OSOR and NSOR
responsibilities outlined in update 15.
18. An update to the procedures set out for SDLAs to follow when a
driver applies for reinstatement was included in the SPM (version c.0).
Additionally, AAMVA incorporated FMCSA's guidance requiring SDLAs to
have a process in place to ensure the driver is not prohibited from
operating a CMV due to a Clearinghouse violation prior to
reinstatement. To comply with this requirement, the jurisdictions may
perform a Clearinghouse check or maintain records of notifications
received from the Clearinghouse.
19. Procedures were also added for the jurisdictions to perform a
Clearinghouse query on the driver prior to issuing, reinstating,
renewing, upgrading, or transferring a CDL or CLP. When an individual
applies for a CDL or CLP, the jurisdictions must initiate a search
inquiry in CDLIS, the National Driver Registry,\23\ and the
Clearinghouse no earlier than 24 hours prior to issuance. This search
process confirms that no matches already exist for an individual, and
whether a violation has been recorded. The jurisdictions must also
initiate a 10-year history check for a new CLP or CDL applicant. The
PDPS State Procedures Manual provides more detail on conducting and
recording the 10-year history check.
---------------------------------------------------------------------------
\23\ The National Driver Registry is a central repository for
collecting, maintaining, and distributing information of all drivers
whose driving privileges were suspended, revoked, or denied by a
State due to a Clearinghouse violation.
---------------------------------------------------------------------------
Additional procedures also apply to when a driver applies for
reinstatement of a CDL or CLP. This may occur when a SOR withdraws the
driver's CDL or CLP and the driver applies for reinstatement at the end
of the withdrawal period. After being reinstated, the driver needs to
apply for a new license, and the jurisdiction must follow procedures to
complete a search inquiry (as described above) and refer to the added
documentation (the PDPS State Procedures Manual) for more detail about
conducting the 10-year history check.
The jurisdictions must also conduct a check following the same
procedures when a driver applies for a renewal of their CDL or CLP,
using the additional PDPS documentation to conduct and record the 10-
year history check. The same process applies to drivers changing the
jurisdictions if they have not completed the 10-year history check.
Additional procedures were updated to establish rules for managing
and maintaining driver records in the MPR and DHR. In accordance with
Federal regulations, a DHR and associated MPR are required for three
types of U.S. drivers. The first type of driver is a current CDL or CLP
holder, the second is an individual who has previously held (but no
longer holds) a CDL or CLP (and data retention requirements \24\ have
not been met), and the third is a non CDL or CLP holder who has been
convicted of a violation (and data retention requirements have not been
met). The SOR is responsible for maintaining the MPR and DHR for each
of its drivers and ensuring the records are complete and accurate. The
SOR cannot delete the MPR of a former or non-CDL or CLP holder until:
---------------------------------------------------------------------------
\24\ Retention requirements are the time periods that a
jurisdiction must keep specific types of data, such as conviction
data.
---------------------------------------------------------------------------
1--1 year has passed since CDL or CLP expiration;
2--The driver is reported deceased or the driver's license has been
downgraded to non-commercial; or
3--All DHR retention requirements are met.
The SOR will delete a MPR based on whichever period is greater. The
ACD provides additional detail on retention requirements for
convictions \25\ and withdrawals, as well as retention requirement
details. The SOR may also use this SPM (version c.0) to reevaluate
whether to continue maintaining the record of a deceased driver after
10 years or more have passed since the driver was reported deceased.
---------------------------------------------------------------------------
\25\ The ``ACD conviction'' is an adjudication of guilt for a
traffic-safety or Federally mandated violation, as defined by FMCSA.
The ACD is available on the internet at https://www.aamva.org/technology/technology-standards/acd.
---------------------------------------------------------------------------
20. Procedures were added for performing a Clearinghouse query when
a driver applies for the initial issuance or renewal of a hazardous
materials endorsement. In such cases, the jurisdictions must submit
search requests and are provided with the latest version of the SPEXS
System Specification document as a guide to aid them in conducting a
verification query using the CDLIS CS. The jurisdictions are also
provided guidance on how to proceed based on the driver's search
results in the Clearinghouse, as described in the previous SPM (version
c.0) updates.
21. Procedures were added for the jurisdictions to perform a
Clearinghouse check to determine the driver's eligibility prior to
transferring a CDL. This includes conducting a search inquiry on a
driver and determining a course of action based on the results of the
Clearinghouse check, as described in the previous SPM (version c.0)
updates. The SPEXS System Specification manual provides additional
information on conducting a search in CDLIS.
22. A new section was added to include procedures to evaluate if
matching records exist for an applicant in the Clearinghouse, and
whether those are in fact associated with the applicant. If a
Clearinghouse query ``returns a record,'' this indicates a violation
prohibiting the driver from operating a CMV may or may not be found. If
a record is found, the CDL or CLP applicant is considered a ``match.''
In this case, the jurisdictions must follow guidance for evaluating
Clearinghouse results, as described in previous SPM (version c.0)
updates. Additionally, the jurisdictions must confirm that the record
is associated with the applicant. The jurisdictions are also provided
guidance for maintaining the driver's record if the individual moves to
another jurisdiction. If a record is not found, the applicant is ``not
returned as a match.''
23. An update was also added for the jurisdictions when no match is
found for a driver in the Clearinghouse, CDLIS, or PDPS. If a violation
record is not found in the Clearinghouse, the applicant is ``not
returned as a match.'' In that case, a jurisdiction can issue a CDL. In
addition, the jurisdiction must add the driver to CDLIS within a 10-day
period beginning the date of license issuance, per Sec. Sec. 383.73(h)
and 384.207(a). The jurisdictions are provided guidance on using the
SPEXS system to aid in utilizing CDLIS.
If no matches are returned form the verification inquiry in CDLIS,
there is no error in CDLIS. The fact that the driver is requesting
renewal indicates the driver should have an MPR on the CDLIS CS. The
jurisdictions must contact the AAMVA operations help desk for
assistance in determining why this situation occurred. No matches from
PDPS indicates there are no
[[Page 12808]]
problems with the driver. A no match from the Clearinghouse for a
driver indicates there are no Clearinghouse violations that prohibit
the driver from operating a CMV.
If the search inquiry or verification inquiry transactions return
no matches from CDLIS for the driver, there is an error in CDLIS. The
fact that the driver is requesting a CSOR indicates that the driver
should have an MPR on the CDLIS CS. The jurisdictions must contact
AAMVA operations help desk for assistance in resolving this situation.
24. Procedures were added for SDLAs to follow when a State performs
an in-State withdrawal due to a Clearinghouse violation based on lack
of compliance with the State's law or policies. This section includes
three main procedures. The first procedure applies to the OSOR when the
DHR only consists of an open-state withdrawal due to a Clearinghouse
violation. The second procedure applies to the OSOR when the DHR
includes an open in-State withdrawal due to a Clearinghouse violation
along with other open convictions and/or withdrawals. The final
procedure applies to the NSOR if a Clearinghouse violation is found.
In the third instance mentioned above, the SOR must use a State
native code, which is only used for State violations, to perform the
Clearinghouse in-State withdrawal. This type of withdrawal must not be
transmitted in the CDLIS DHR. The jurisdictions performing these
withdrawals must downgrade the CDL by removing the commercial driving
privilege by changing the commercial status on the CDLIS driver record
from LIC to a minimum of ELG for CDL holders, and similarly changing
the permit status from LIC to a minimum to ELG for CLP holders.
The items below describing updates number 25 and 26 were made
pursuant to the EEE final rule and will take effect beginning August
22, 2024. The EEE final rule codifies the statutory requirement for
SDLAs to implement a system and practices for the exclusively
electronic exchange of DHR information through CDLIS. This includes the
posting of convictions, withdrawals, and disqualifications.
25. Updates were made to the procedures requiring the State of
conviction (SOC) \26\ or State of withdrawal (SOW) \27\ to work with
the SOR to ensure the timely posting of convictions and withdrawals
when received outside CDLIS. In all cases, the jurisdictions must
ensure convictions are reported to the SOR within time frames set out
in Sec. Sec. 384.208 and 384.209. The SOC must report convictions for
out-of-State drivers, including failures of out-of-State drivers to
appear, pay, or comply, within 10 days of the conviction date. The SOR
has 10 days from the receipt date of an out-of-State conviction to post
the conviction to the driver's record. The SOR has 10 days from the
conviction date to post an in-State conviction. With the exception of
``W00'' \28\ withdrawals, the SOR must record all withdrawals received
from another jurisdiction on the CDLIS DHR. Additionally, the
jurisdictions have the ability to contact the AAMVA help desk for
assistance.
---------------------------------------------------------------------------
\26\ The SDLA jurisdiction which convicts a driver and maintains
the original record of the conviction.
\27\ The SDLA jurisdiction which withdraws a driver and
maintains the original record of the withdrawal.
\28\ W000 is the code used to indicate a withdrawal.
---------------------------------------------------------------------------
26. The procedures requiring the OSOR to work with the NSOR to
ensure the timely posing of convictions and withdrawals when received
outside CDLIS were updated within the 10-day timeframe described above.
If an OSOR receives an out-of-State conviction or withdrawal \29\
outside of CDLIS for a driver with a CDLIS driver record, the OSOR and
SOR or SOW must work together to ensure the conviction or withdrawal is
posted promptly on the CDLIS driver record. A second update directs
either the OSOR, NSOR, SOC, or SOW to request assistance from AAMVA's
help desk, if necessary.
---------------------------------------------------------------------------
\29\ Out-of-State convictions and withdrawals include the fifty
States and the District of Columbia.
---------------------------------------------------------------------------
VII. Severability
Section 206 of MCSA (Pub. L. 98-554, title II, 98 Stat. 2832, 2834,
codified at 49 U.S.C. 31136) directed the Secretary to regulate CMVs
and the drivers and motor carriers that operate them. FMCSA is further
required by statute to maintain an information system that serves as
the clearinghouse and depository of information about the licensing,
identification, and disqualification of operators of CMVs (49 U.S.C.
31309). CDLIS is the information system that serves that function.
The purpose of this rulemaking is to incorporate by reference
version c.0 of the AAMVA SPM outlining guidance on the use of CDLIS.
The provisions within the SPM (version c.0) are intended to operate
holistically in addressing a range of issues necessary to ensure
compliance with the information system procedures of the commercial
driver's license program. However, FMCSA recognizes that certain
provisions focus on unique topics. FMCSA finds that the various
provisions within the SPM (version c.0) would be severable and able to
operate functionally if one or more provisions were rendered null or
otherwise eliminated. The remaining provision or provisions within the
SPM (version c.0) would continue to operate functionally if any one or
more provisions were invalidated and any other provision(s) remained.
In the event a court were to invalidate one or more of the SPM's unique
provisions, the remaining provisions should stand.
VIII. Section-by-Section Analysis
Part 384
Section 384.107. The Agency would revise paragraph (b) to
incorporate by reference version c.0 of the CDLIS SPM.
Section 384.301. The Agency would add, as a conforming amendment, a
new paragraph (p) specifying that the State must comply with the
requirements of this rule by August 22, 2024.
IX. Regulatory Analyses
A. Executive Order (E.O.) 12866 (Regulatory Planning and Review), E.O.
13563 (Improving Regulation and Regulatory Review), E.O. 14094
(Modernizing Regulatory Review), and DOT Regulatory Policies and
Procedures
FMCSA has considered the impact of this NPRM under E.O. 12866 (58
FR 51735, Oct. 4, 1993), Regulatory Planning and Review, E.O. 13563 (76
FR 3821, Jan. 21, 2011), Improving Regulation and Regulatory Review,
and E.O. 14094 (88 FR 21879, Apr. 11, 2023) Modernizing Regulatory
Review. The Office of Information and Regulatory Affairs within the
Office of Management and Budget (OMB) determined that this NPRM is not
a significant regulatory action under section 3(f) of E.O. 12866, as
supplemented by E.O. 13563 and amended by E.O. 14094 and does not
require an assessment of potential costs and benefits under section
6(a)(3) of that order. Accordingly, OMB has not reviewed it under that
E.O.
This proposed rule updates the ``American Association of Motor
Vehicle Administrators, Inc. Commercial Driver's License Information
System State Procedures Manual, Version c.0'' manual. Specifically, it
includes changes introduced to the FMCSRs as a result of the EEE and
DACH II final rules. The proposed rule solely defines processes and
procedures which ensure that other regulations are uniformly
implemented and imposes no new regulatory requirements. The rule would
impose no new costs, and any benefits that
[[Page 12809]]
would result from it are expected to be de minimis.
B. Congressional Review Act
This rulemaking is not a major rule as defined under the
Congressional Review Act (5 U.S.C. 801-808).\30\
---------------------------------------------------------------------------
\30\ A major rule means any rule that the OMB finds has resulted
in or is likely to result in (a) an annual effect on the economy of
$100 million or more; (b) a major increase in costs or prices for
consumers, individual industries, geographic regions, Federal,
State, or local government agencies; or (c) significant adverse
effects on competition, employment, investment, productivity,
innovation, or on the ability of United States-based enterprises to
compete with foreign-based enterprises in domestic and export
markets (5 U.S.C. 802(4)).
---------------------------------------------------------------------------
C. Regulatory Flexibility Act
The Regulatory Flexibility Act (5 U.S.C. 601 et seq.), as amended
by the Small Business Regulatory Enforcement Fairness Act of 1996,\31\
requires Federal agencies to consider the effects of the regulatory
action on small business and other small entities and to minimize any
significant economic impact. The term small entities comprise small
businesses and not-for-profit organizations that are independently
owned and operated and are not dominant in their fields, and
governmental jurisdictions with populations of less than 50,000 (5
U.S.C. 601(6)). Accordingly, DOT policy requires an analysis of the
impact of all regulations on small entities, and mandates that agencies
strive to lessen any adverse effects on these businesses.
---------------------------------------------------------------------------
\31\ Public Law 104-121, 110 Stat. 857, (Mar. 29, 1996).
---------------------------------------------------------------------------
When an Agency issues a proposed rule, the RFA requires the Agency
to ``prepare an initial regulatory flexibility analysis'' that will
describe the impact of the proposed rule on small entities (5 U.S.C.
604(a)). Section 605 of the RFA allows an agency to certify a rule,
instead of preparing an analysis, if the rule is not expected to have a
significant impact on a substantial number of small entities. This
rulemaking incorporates by reference the September 2023 edition of the
AAMVA CDLIS SPM (version c.0). The changes to the 2023 edition of the
AAMVA CDLIS SPM (version c.0) from the 2013 edition are intended to
ensure clarity in the presentation of the SDLA conditions and are
generally editorial or ministerial. As noted above, FMCSA does not
expect the changes made in the 2023 edition of the AAMVA CDLIS SPM
(version c.0) to impose new costs or to result in quantifiable
benefits, as it imposes no new regulatory requirements. The editorial
and ministerial changes that would result from this proposed rule apply
to SDLA processes and procedures; SDLAs are not small entities.
Consequently, I certify that this proposed rule will not have a
significant economic impact on a substantial number of small entities.
D. Assistance for Small Entities
In accordance with section 213(a) of the Small Business Regulatory
Enforcement Fairness Act of 1996 (Pub. L. 104-121, 110 Stat. 857),
FMCSA wants to assist small entities in understanding this proposed
rule so they can better evaluate its effects on themselves and
participate in the rulemaking initiative. If the proposed rule would
affect your small business, organization, or governmental jurisdiction
and you have questions concerning its provisions or options for
compliance, please consult the person listed under FOR FURTHER
INFORMATION CONTACT.
Small businesses may send comments on the actions of Federal
employees who enforce or otherwise determine compliance with Federal
regulations to the Small Business Administration's Small Business and
Agriculture Regulatory Enforcement Ombudsman (Office of the National
Ombudsman, see https://www.sba.gov/about-sba/oversight-advocacy/office-national-ombudsman) and the Regional Small Business Regulatory Fairness
Boards. The Ombudsman evaluates these actions annually and rates each
agency's responsiveness to small business. If you wish to comment on
actions by employees of FMCSA, call 1-888-REG-FAIR (1-888-734-3247).
DOT has a policy regarding the rights of small entities to regulatory
enforcement fairness and an explicit policy against retaliation for
exercising these rights.
E. Unfunded Mandates Reform Act of 1995
The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538)
(UMRA) requires Federal agencies to assess the effects of their
discretionary regulatory actions. The Act addresses actions that may
result in the expenditure by a State, local, or Tribal government, in
the aggregate, or by the private sector of $192 million (which is the
value equivalent of $100 million in 1995, adjusted for inflation to
2022 levels) or more in any 1 year. Though this NPRM would not result
in such an expenditure, and the analytical requirements of UMRA do not
apply as a result.
F. Paperwork Reduction Act
This proposed rule contains no new information collection
requirements under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-
3520).
G. E.O. 13132 (Federalism)
A rule has implications for federalism under section 1(a) of E.O.
13132 if it has ``substantial direct effects on the States, on the
relationship between the national government and the States, or on the
distribution of power and responsibilities among the various levels of
government.''
FMCSA has determined that this rulemaking would not have
substantial direct costs on or for States, nor would it limit the
policymaking discretion of States. Nothing in this document preempts
any State law or regulation. Therefore, this rulemaking does not have
sufficient federalism implications to warrant the preparation of a
Federalism Impact Statement.
H. Privacy
The Consolidated Appropriations Act, 2005,\32\ requires the Agency
to assess the privacy impact of a regulation that will affect the
privacy of individuals. This NPRM would not require the collection of
personally identifiable information (PII).
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\32\ Public Law 108-447, 118 Stat. 2809, 3268, note following 5
U.S.C. 552a (Dec. 4, 2014).
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The Privacy Act (5 U.S.C. 552a) applies only to Federal agencies
and any non-Federal agency that receives records contained in a system
of records from a Federal agency for use in a matching program.
The E-Government Act of 2002,\33\ requires Federal agencies to
conduct a PIA for new or substantially changed technology that
collects, maintains, or disseminates information in an identifiable
form. No new or substantially changed technology would collect,
maintain, or disseminate information as a result of this rulemaking.
Accordingly, FMCSA has not conducted a PIA.
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\33\ Public Law 107-347, sec. 208, 116 Stat. 2899, 2921 (Dec.
17, 2002).
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In addition, the Agency submitted a Privacy Threshold Assessment
(PTA) to evaluate the risks and effects the proposed rulemaking might
have on collecting, storing, and sharing personally identifiable
information. The PTA was adjudicated by DOT's Chief Privacy Officer on
Jan. 4, 2024.
I. E.O. 13175 (Indian Tribal Governments)
This rulemaking does not have Tribal implications under E.O. 13175,
Consultation and Coordination with Indian Tribal Governments, because
it does not have a substantial direct effect on one or more Indian
Tribes, on the relationship between the Federal Government and Indian
Tribes, or on
[[Page 12810]]
the distribution of power and responsibilities between the Federal
Government and Indian Tribes.
J. National Environmental Policy Act of 1969
FMCSA analyzed this proposed rule pursuant to the National
Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321 et seq.) and
determined this action is categorically excluded from further analysis
and documentation in an environmental assessment or environmental
impact statement under FMCSA Order 5610.1 (69 FR 9680), Appendix 2,
paragraphs 6(s) and (t) of the order (69 FR 9703). The categorical
exclusions in paragraphs 6(s) and (t) cover regulations regarding the
CDL and related activities to assure CDL information is exchanged
between States. The proposed requirements in this rule are covered by
these CEs.
K. Rulemaking Summary
As required by 5 U.S.C. 553(b)(4), a summary of this rulemaking can
be found in the Abstract section of the Department's Unified Agenda
entry for this rulemaking at https://www.reginfo.gov/public/do/eAgendaMain.
List of Subjects in 49 CFR Part 384
Administrative practice and procedure, Alcohol abuse, Drug Abuse,
Highway safety, Incorporation by reference, and Motor carriers.
In consideration of the foregoing, FMCSA proposes to amend 49 CFR
part 384 as follows:
PART 384--STATE COMPLIANCE WITH COMMERCIAL DRIVER'S LICENSE PROGRAM
0
1. The authority citation for part 384 continues to read as follows:
Authority: 49 U.S.C. 31136, 31301, et seq., and 31502; secs. 103
and 215 of Pub. L. 106-159, 113 Stat. 1748, 1753, 1767; sec. 32934
of Pub. L. 112-141, 126 Stat. 405, 830; sec. 5524 of Pub. L. 114-94,
129 Stat. 1312, 1560; and 49 CFR 1.87.
0
2. Revise Sec. 384.107 to read as follows:
Sec. 384.107 Matter incorporated by reference.
(a) Incorporation by reference. Certain material is incorporated by
reference into this part with the approval of the Director of the
Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved
incorporation by reference (IBR) material is available for inspection
at FMCSA and at the National Archives and Records Administration
(NARA). Contact FMCSA at the Department of Transportation Library, 1200
New Jersey Ave. SE, Washington, DC 20590-0001; (202) 366-0746 . For
information on the availability of this material at NARA, visit
www.archives.gov/federal-register/cfr/ibr-locations or email
[email protected]. The material may be obtained from the sources
in the following paragraph of this section.
(b) The American Association of Motor Vehicle Administrators
(AAMVA), 4401 Wilson Boulevard, Suite 700, Arlington, VA 22203; (703)
522-1300; www.aamva.org.
(1) ``Commercial Driver's License Information System (CDLIS) State
Procedures Manual,'' Version c.0, September 2023; approved for
Sec. Sec. 384.225(f) and 384.231(d).
(2) [Reserved]
0
3. Amend Sec. 384.301 by adding paragraph (p) to read as follows:
Sec. 384.301 Substantial compliance--general requirements.
* * * * *
(p) A State must come into substantial compliance with the
requirements of subpart B of this part, which is effective as of
[EFFECTIVE DATE OF FINAL RULE], as soon as practicable, but not later
than August 22, 2024.
Issued under authority delegated in 49 CFR 1.87.
Sue Lawless,
Acting Deputy Administrator.
[FR Doc. 2024-03191 Filed 2-16-24; 8:45 am]
BILLING CODE 4910-EX-P