Rule2021-15693
Commercial Driver's License Standards, Requirements and Penalties; Exclusively Electronic Exchange of Driver History Record Information
Primary source
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Published
July 23, 2021
Effective
August 23, 2021
Issuing agencies
Transportation DepartmentFederal Motor Carrier Safety Administration
Abstract
FMCSA codifies the statutory requirement that State driver licensing agencies (SDLAs) implement a system and practices for the exclusively electronic exchange of driver history record (DHR) information through the Commercial Driver's License Information System (CDLIS), including the posting of convictions, withdrawals, and disqualifications. The rule aligns FMCSA's regulations with existing statutory requirements set forth in the Moving Ahead for Progress in the 21st Century Act (MAP-21). The rule also establishes a date by which States must be in substantial compliance with this final rule.
Full Text
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<title>Federal Register, Volume 86 Issue 139 (Friday, July 23, 2021)</title>
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[Federal Register Volume 86, Number 139 (Friday, July 23, 2021)]
[Rules and Regulations]
[Pages 38937-38940]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2021-15693]
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DEPARTMENT OF TRANSPORTATION
Federal Motor Carrier Safety Administration
49 CFR Part 384
[Docket No. FMCSA-2020-0198]
RIN 2126-AC36
Commercial Driver's License Standards, Requirements and
Penalties; Exclusively Electronic Exchange of Driver History Record
Information
AGENCY: Federal Motor Carrier Safety Administration (FMCSA), Department
of Transportation (DOT).
ACTION: Final rule.
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SUMMARY: FMCSA codifies the statutory requirement that State driver
licensing agencies (SDLAs) implement a system and practices for the
exclusively electronic exchange of driver history record (DHR)
information through the Commercial Driver's License Information System
(CDLIS), including the posting of convictions, withdrawals, and
disqualifications. The rule aligns FMCSA's regulations with existing
statutory requirements set forth in the Moving Ahead for Progress in
the 21st Century Act (MAP-21). The rule also establishes a date by
which States must be in substantial compliance with this final rule.
DATES:
Effective Date: This final rule is effective August 23, 2021.
[[Page 38938]]
Compliance Date: Compliance with the final rule is required August
22, 2024.
Petitions for Reconsideration: Petitions for reconsideration of
this final rule must be submitted to the FMCSA Administrator no later
than August 23, 2021.
FOR FURTHER INFORMATION CONTACT: Mr. Joshua Jones, Commercial Driver's
License Division, Federal Motor Carrier Safety Administration, 1200 New
Jersey Avenue SE, Washington, DC 20590-0001, (202) 366-7332,
<a href="/cdn-cgi/l/email-protection#44272028272b2934282d252a272104202b306a232b32"><span class="__cf_email__" data-cfemail="83e0e7efe0eceef3efeae2ede0e6c3e7ecf7ade4ecf5">[email protected]</span></a>. If you have questions on viewing or submitting
material to the docket, contact Dockets Operations, (202) 366-9826.
SUPPLEMENTARY INFORMATION:
I. Availability of Rulemaking Documents
For access to docket FMCSA-2020-0198 to read background documents,
go to <a href="https://www.regulations.gov/docket/FMCSA-2020-0198/document">https://www.regulations.gov/docket/FMCSA-2020-0198/document</a> at
any time, or to Dockets Operations at U.S. Department of
Transportation, Room W12-140, 1200 New Jersey Avenue SE, Washington, DC
20590-0001, between 9:00 a.m. and 5:00 p.m., Monday through Friday,
except Federal holidays.
II. Executive Summary
This rule revises 49 CFR 384.208, Notification of disqualification,
and 384.209, Notification of traffic violations, to require that States
implement a system and practices for the exclusively electronic
exchange of DHR information through CDLIS, including the posting of
convictions, withdrawals, and disqualifications. The requirements are
mandated by sections 32305(a)(1) and 32305(b)(1)(B) of MAP-21 (Pub. L.
112-141, 126 Stat. 405, 792, codified at 49 U.S.C. 31309(e)(4)(A)(ii)
and 31311(a)(23)). The purpose of the rule is to align FMCSA's
regulations with existing statutory requirements. States must achieve
substantial compliance with this requirement as soon as practicable,
but not later than 3 years after the effective date of the final rule.
``Substantial compliance'' means that a State meets this requirement
``by means of the demonstrable combined effect of its statutes,
regulations, administrative procedures and practices, organizational
structures, internal control mechanisms, resource assignments
(facilities, equipment, and personnel), and enforcement practices.'' 49
CFR 384.301(a).
Because all States currently have the technical capability to send
DHR information electronically through CDLIS, including convictions,
withdrawals, and disqualifications, the Agency does not expect this
rule to result in incremental costs or benefits to the States. Costs
and benefits are discussed further below in Section VI.
III. Legal Basis for the Rulemaking
This final rule is based on the general authority of 49 U.S.C.
chapter 313. The provisions in 49 U.S.C. chapter 313, implemented in 49
CFR parts 383 and 384, establish the commercial driver's license (CDL)
and commercial learner's permit (CLP) programs, as well as the CDLIS.
The CDLIS is a national information technology system facilitating the
electronic exchange of driver-specific data among the States, including
commercial license status and driving history (49 U.S.C. 31309). The
States are required to ensure that CDL and CLP holders convicted of
serious traffic violations are prohibited from operating a CMV for the
periods prescribed (49 U.S.C. 31310). The Secretary of Transportation
(the Secretary) is directed to monitor the States' compliance with the
licensing, testing, and qualification standards set forth in the
statute (49 U.S.C. 31311). The goal of these provisions is to improve
highway safety by ensuring that drivers of large trucks and buses are
qualified to operate those vehicles, and to remove unqualified drivers
from public roads.
As noted above, this final rule derives from the specific authority
of sections 32305(a)(1) and 32305(b)(1)(B) of MAP-21. Those provisions
require, respectively, that States use CDLIS to receive and submit
driver conviction and disqualification data, and that, to avoid having
apportionments from the Highway Trust Fund under 23 U.S.C. 104(b)(1)
and (b)(2) withheld, States must implement procedures for the
exclusively electronic exchange of DHR information on CDLIS, including
the posting of convictions, withdrawals, and disqualifications. This
final rule incorporates those requirements into the Code of Federal
Regulations (CFR).
The Administrative Procedure Act (APA) provides that notice and
comment are not required when the agency finds ``good cause'' to
dispense with such procedures, and incorporates the finding, and a
brief statement of reasons supporting the finding, in the rule issued.
Good cause exists when the agency determines that notice and public
comment procedures ``are impracticable, unnecessary, or contrary to the
public interest'' (5 U.S.C. 553(b)(B)). In this case, Congress did not
vest any discretion in the Secretary for carrying out the statutory
provisions cited above; these requirements are already in effect and
enforceable, regardless of whether they are incorporated in the CFR.
The Agency therefore finds that notice and public comment are
unnecessary because FMCSA is not authorized to make any changes in
these requirements in response to public comments. This final rule
simply codifies an existing statutory requirement, thereby aligning the
statute and CFR.
The requirements pertaining to public participation in rulemaking,
as set forth in 49 U.S.C. 31136(g) and 49 CFR 389.13(b), do not apply
here because this final rule is not a major rule.\1\
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\1\ `A ``major rule'' means any rule that the Administrator of
Office of Information and Regulatory Affairs (OIRA) at the Office of
Management and Budget (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, or 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 (49 CFR
389.3).
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Finally, the FMCSA Administrator is delegated authority under 49
CFR 1.87(e)(1) to carry out the functions vested in the Secretary by 49
U.S.C. chapter 313, relating to commercial motor vehicle operators.
IV. Discussion of Final Rule
As noted above, MAP-21 amended 49 U.S.C. 31311(a) by adding the
requirement that States implement a system and practices for the
exclusively electronic exchange of driver history record information on
the system the Secretary maintains under section 31309 (i.e., CDLIS),
including the posting of convictions, withdrawals, and
disqualifications. This final rule codifies those requirements.
In March 2020, FMCSA held an information listening session during
its regular ``Roundtable'' discussion with the American Association of
Motor Vehicle Administrators (AAMVA), SDLAs, and other stakeholders
affected by the electronic exchange requirements. While all States
currently have the technical capability to transmit the DHR information
through CDLIS, some SDLAs are unable to do so when the driver
information (e.g., driver's CDL number, date of birth, or State of
record), required for CDLIS to validate and accept the electronic
record, is incorrect or missing. Under those circumstances, States must
rely on alternative methods of transmission, such as the U.S. mail.
Some States also noted the need for specific authorization by their
State legislatures to incorporate
[[Page 38939]]
the exclusively electronic exchange requirements into State law.
In recognition of these issues, the final rule provides that States
should achieve substantial compliance as soon as possible, but not
later than 3 years from the effective date of this rule. This period
provides sufficient time for those SDLAs required to obtain
authorization from their State legislatures to do so. In addition,
FMCSA will work closely with AAMVA and the States to address current
systemic impediments to transmitting DHR information through CDLIS, and
to provide related regulatory guidance responding to SDLAs' questions
and concerns. The Agency acknowledges that some SDLAs believe CDLIS is
not the most efficient electronic means of transmitting driver
conviction information. As discussed above, however, FMCSA must adhere
to the statutory requirements codified by this final rule, which
specify that CDLIS be used to transmit the information.
V. Section-by-Section Analysis
The words ``via CDLIS'' are added to the end of paragraph (a) of
Sec. 384.208. The phrase ``and must be transmitted through CDLIS'' is
added to the end of paragraph (c) of Sec. 384.209.
This final rule also adds new paragraph (n) to Sec. 384.301,
requiring States to come into substantial compliance with the changes
made by this final rule within 3 years of its effective date.
VI. Regulatory Analyses
A. Executive Order (E.O.) 12866 (Regulatory Planning and Review), E.O.
13563 (Improving Regulation and Regulatory Review), and DOT Regulatory
Policies and Procedures
FMCSA has considered the impact of this final rule 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 DOT's regulatory policies and procedures. OIRA determined
that this final rule is not a significant regulatory action under
section 3(f) of E.O. 12866, as supplemented by E.O. 13563, 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 these
orders.
This rulemaking codifies a mandate imposed by MAP-21, as set forth
in 49 U.S.C. 31309(e)(4)(A)(ii) and 31311(a)(23). Those provisions
require, respectively, that States use CDLIS to receive and submit
driver conviction and disqualification data, and that, to avoid having
apportionments from the Highway Trust Fund under 23 U.S.C. 104(b)(1)
and (b)(2) withheld, States must implement procedures for the
exclusively electronic exchange of DHR information on CDLIS, including
the posting of convictions, withdrawals, and disqualifications.
While all States currently have the technical capability to comply
with the MAP-21 requirements by electronically transmitting DHR
information through CDLIS, some States must rely on non-electronic
means (e.g., mail) to transfer the DHR information on those occasions
when they do not have sufficient information for CDLIS to validate and
accept transmission (e.g., when there is a missing or incorrect date of
birth or incorrect CDL number). As discussed above, FMCSA will work
with AAMVA and the States to address the CDLIS constraints on
submitting electronic DHR information, which should minimize the extent
to which the initiating State is unable to complete the transmission
due to deficient information, and to streamline further the exchange of
DHR information through CDLIS. CDLIS costs may result, however, if
AAMVA determines that software updates are necessary at the State level
to accomplish this change. At this time, the existence or extent of
potential CDLIS update costs is unknown. If such costs are incurred,
States are eligible to apply for Commercial Driver License Program
Implementation grants.
Further, FMCSA is aware that at least one State believes
exclusively electronic exchange of DHR information would result in a
cost savings. Some States currently employ people and/or pay overtime
to process paper convictions; the more efficient electronic submission
of DHR information will allow those resources to be used for other
purposes. FMCSA does not know the extent of these cost savings in any
given State, or the number of States that would experience a cost
savings.
B. Congressional Review Act
This rule is not a major rule as defined under the Congressional
Review Act (5 U.S.C. 801, et seq.).
C. Regulatory Flexibility Act
The Regulatory Flexibility Act of 1980 (5 U.S.C. 601, et seq.)
applies to any rule subject to notice and comment rulemaking under
section 553(b) of the APA and 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. FMCSA is not
required to complete a regulatory flexibility analysis, because, as
discussed earlier in the Legal Basis section, this action is not
subject to notice and comment under section 553(b) of the APA.
D. Assistance for Small Entities
In accordance with section 213(a) of the Small Business Regulatory
Enforcement Fairness Act of 1996,\2\ FMCSA wants to assist small
entities in understanding this final rule so they can better evaluate
its effects on themselves and participate in the rulemaking initiative.
If the final rule will 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.
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\2\ Public Law 104-121, 110 Stat. 857, (Mar. 29, 1996).
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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 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)
requires Federal agencies to assess the effects of their discretionary
regulatory actions. In particular, 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 $168 million (which is the
value equivalent of $100,000,000 in 1995, adjusted for inflation to
2019 levels) or more in any one year. Though this final rule will not
result in such an expenditure, the Agency does discuss the effects of
this rule elsewhere in this preamble.
F. Paperwork Reduction Act
This final rule contains no new information collection requirements
under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520).
[[Page 38940]]
G. E.O. 13132 (Federalism)
A rule has implications for federalism under Section 1(a) of
Executive Order 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.'' This rule amends the CDL regulations in
49 CFR part 384 to align regulatory requirements with existing
statutory requirements on States. Because this rule makes conforming,
and not substantive, changes to requirements already imposed on States
in the CDL program, FMCSA has determined that it does not have
substantial direct effects on the States, on the relationship between
the Federal and State governments, or on the distribution of power and
responsibilities among the various levels of government. Therefore,
this rule does not have sufficient federalism implications to warrant
the preparation of a Federalism Impact Statement.
H. Privacy Impact Assessment
The Consolidated Appropriations Act, 2005, (Pub. L. 108-447, 118
Stat. 2809, 3268, 5 U.S.C. 552a note), requires the Agency to conduct a
privacy impact assessment (PIA) of a regulation that will affect the
privacy of individuals. Because this rule does not require the
collection of personally identifiable information, the Agency is not
required to conduct a PIA.
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, Public Law 107-347, section 208, 116
Stat. 2899, 2921 (Dec. 17, 2002), requires Federal agencies to conduct
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 rule. As a result, FMCSA
has not conducted a PIA.
I. E.O. 13175 (Indian Tribal Governments)
This rule 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 the distribution of power and responsibilities between
the Federal Government and Indian Tribes.
J. National Environment Policy Act of 1969
FMCSA analyzed this rule pursuant to the National Environmental
Policy Act of 1969 (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, Mar. 1, 2004), Appendix 2, paragraphs
(6)(t)(1). The Categorical Exclusion (CE) in paragraph (6)(t)(1) covers
requirements for regulations to ensure that the States comply with the
provisions of the Commercial Motor Vehicle Safety Act of 1986, by
including the minimum standards for the actions States must take to be
in substantial compliance with each of the statutory requirements of 49
U.S.C. 31311(a). The content in this rule is covered by this CE and the
final action does not have any effect on the quality of the
environment.
List of Subjects in 49 CFR Part 384
Administrative practice and procedure, Alcohol abuse, Drug abuse,
Highway safety, and Motor carriers.
Accordingly, FMCSA amends 49 CFR part 384 as follows:
PART 384--STATE COMPLIANCE WITH COMMERCIAL DRIVER'S LICENSE PROGRAM
0
1. The authority citation for part 384 is revised to read as follows:
Authority: 49 U.S.C. 31136, 31301 et seq., 31502; secs. 103 and
215, Pub. L. 106-159, 113 Stat. 1753, 1767; sec. 32934, Pub. L. 112-
141, 126 Stat. 405, 830; and 49 CFR 1.87.
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2. Amend Sec. 384.208 by revising paragraph (a) to read as follows:
Sec. 384.208 Notification of disqualification.
(a) No later than 10 days after disqualifying a CLP or CDL holder
licensed by another State, or disqualifying an out-of-State CLP or CDL
holder's privilege to operate a commercial motor vehicle for at least
60 days, the State must notify the State that issued the license of the
disqualification via CDLIS.
* * * * *
0
3. Amend Sec. 384.209 by revising paragraph (c) to read as follows:
Sec. 384.209 Notification of traffic violations.
* * * * *
(c) Required timing of notification. Notification of traffic
violations must be made within 10 days of the conviction and must be
transmitted through CDLIS.
0
4. Amend Sec. 384.301 by adding paragraph (n) to read as follows:
Sec. 384.301 Substantial compliance-general requirements.
* * * * *
(n) A State must come into substantial compliance with the
requirements of this part in effect as of August 23, 2021, as soon as
practicable, but not later than August 22, 2024.
Issued under authority delegated in 49 CFR 1.87.
Meera Joshi,
Deputy Administrator.
[FR Doc. 2021-15693 Filed 7-22-21; 8:45 am]
BILLING CODE 4910-EX-P
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This is legal information, not legal advice. Laws vary by jurisdiction and change frequently. Always verify current law with official sources and consult a licensed attorney in your jurisdiction for advice on your specific situation.