Notice2022-19779
Privacy Act of 1974; Department of Transportation (DOT), Federal Motor Carrier Safety Administration (FMCSA); DOT/FMCSA 010-Drug and Alcohol Clearinghouse (Clearinghouse)
Primary source
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Published
September 14, 2022
Effective
October 14, 2022
Issuing agencies
Transportation Department
Abstract
In accordance with the Privacy Act of 1974, the Department of Transportation (DOT), Federal Motor Carrier Safety Administration (FMCSA) proposes to modify and reissue an existing system of records notice titled "DOT/FMCSA 010, Drug and Alcohol Clearinghouse (Clearinghouse)". This system of records allows FMCSA to collect and maintain records on commercial motor vehicle (CMV) drivers subject to the commercial driver's license (CDL) and commercial learner's permit (CLP) regulations who have received verified positive DOT drug or alcohol test results, refuse such testing, or otherwise violate FMCSA's drug and alcohol use prohibitions. The Clearinghouse also collects and maintains records on the completion of substance abuse programs as part of the return-to-duty process, as well as forms evidencing drivers' consent to the release of information. In addition, the Clearinghouse collects and maintains records of queries of the system conducted by employers, or service agents acting on their behalf, and State Driver Licensing Agencies (SDLAs). The information in this system is used to enhance compliance with drug and alcohol use and testing regulations by identifying drivers who have committed drug and alcohol violations that render them ineligible to operate a CMV.
Full Text
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<title>Federal Register, Volume 87 Issue 177 (Wednesday, September 14, 2022)</title>
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[Federal Register Volume 87, Number 177 (Wednesday, September 14, 2022)]
[Notices]
[Pages 56485-56491]
From the Federal Register Online via the Government Publishing Office [<a href="http://www.gpo.gov">www.gpo.gov</a>]
[FR Doc No: 2022-19779]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary
[Docket No. DOT-OST-2022-0029]
Privacy Act of 1974; Department of Transportation (DOT), Federal
Motor Carrier Safety Administration (FMCSA); DOT/FMCSA 010--Drug and
Alcohol Clearinghouse (Clearinghouse)
AGENCY: Federal Motor Carrier Safety Administration, Department of
Transportation
ACTION: Notice of a modified system of records notice.
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SUMMARY: In accordance with the Privacy Act of 1974, the Department of
Transportation (DOT), Federal Motor Carrier Safety Administration
(FMCSA) proposes to modify and reissue an existing system of records
notice titled ``DOT/FMCSA 010, Drug and Alcohol Clearinghouse
(Clearinghouse)''. This system of records allows FMCSA to collect and
maintain records on commercial motor vehicle (CMV) drivers subject to
the commercial driver's license (CDL) and commercial learner's permit
(CLP) regulations who have received verified positive DOT drug or
alcohol test results, refuse such testing, or otherwise violate FMCSA's
drug and alcohol use prohibitions. The Clearinghouse also collects and
maintains records on the completion of substance abuse programs as part
of the return-to-duty process, as well as forms evidencing drivers'
consent to the release of information. In addition, the Clearinghouse
collects and maintains records of queries of the system conducted by
employers, or service agents acting on their behalf, and State Driver
Licensing Agencies (SDLAs). The information in this system is used to
enhance compliance with drug and alcohol use and testing regulations by
identifying drivers who have committed drug and alcohol violations that
render them ineligible to operate a CMV.
DATES: Written comments should be submitted on or before October 14,
2022. The Department may publish an amended SORN in light of any
comments received. This new system will be effective October 14, 2022.
ADDRESSES: You may submit comments, identified by docket number 2022-
0029 by one of the following methods:
<bullet> Federal e-Rulemaking Portal: <a href="https://www.regulations.gov">https://www.regulations.gov</a>.
Follow the instructions for submitting comments.
<bullet> Mail: Department of Transportation Docket Management, Room
W12-140, 1200 New Jersey Ave. SE, Washington, DC 20590.
[[Page 56486]]
<bullet> Hand Delivery or Courier: West Building Ground Floor, Room
W12-140, 1200 New Jersey Ave. SE, between 9 a.m. and 5 p.m. ET, Monday
through Friday, except Federal holidays.
<bullet> Instructions: You must include the agency name and docket
number 2022-0029. All comments received will be posted without change
to <a href="https://www.regulations.gov">https://www.regulations.gov</a>, including any personal information
provided. In order to facilitate comment tracking and response, we
encourage commenters to provide their name, or the name of their
organization; however, submission of names is completely optional.
Whether or not commenters identify themselves, all timely comments will
be fully considered. If you wish to provide comments containing
proprietary or confidential information, please contact the agency for
alternate submission instructions.
Privacy Act: Anyone is able to search the electronic form of all
comments received in any of our dockets by the name of the individual
submitting the comment (or signing the comment, if submitted on behalf
of an association, business, labor union, etc.). You may review the
DOT's complete Privacy Act Statement in the Federal Register published
on January 17, 2008, (73 FR 3316-3317).
Docket: For access to the docket to read background documents or
comments received, go to <a href="http://www.regulations.gov">http://www.regulations.gov</a> or to the street
address listed above. Follow the online instructions for accessing the
docket.
FOR FURTHER INFORMATION CONTACT: For system-related questions please
contact Bryan Price, Chief, Drug and Alcohol Programs Division, Office
of Safety Programs, Federal Motor Carrier Safety Administration, Email:
<a href="/cdn-cgi/l/email-protection#9efdf2fbffecf7f0f9f6f1ebedfbdefaf1eab0f9f1e8"><span class="__cf_email__" data-cfemail="abc8c7cecad9c2c5ccc3c4ded8ceebcfc4df85ccc4dd">[email protected]</span></a>, Tel. (202) 366-0928. For privacy questions,
please contact Karyn Gorman, Acting Departmental Chief Privacy Officer,
Department of Transportation, S-83, Washington, DC 20590, Email:
<a href="/cdn-cgi/l/email-protection#5a2a28332c3b39231a3e352e743d352c"><span class="__cf_email__" data-cfemail="a9d9dbc0dfc8cad0e9cdc6dd87cec6df">[email protected]</span></a>, Tel. (202) 366-3140.
SUPPLEMENTARY INFORMATION:
Notice Updates
This Notice includes both substantive changes and non-substantive
changes to the previously published Notice.\1\ The substantive changes
have been made to the authority, contesting record procedures, and
routine uses. The non-substantive changes have been made to background,
system manager, purposes, categories of individuals, categories of
records, record source categories, policies and practices for retrieval
of records sections, as well as revisions to align with the
requirements of the Office of Management and Budget (OMB) Circular No.
A-108 and ensure consistency with other Notices issued by the
Department of Transportation.
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\1\ 84 FR 56521 (Oct. 22, 2019).
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This modified system will be included in the DOT inventory of
record systems.
I. Background
In accordance with the Privacy Act of 1974, FMCSA is modifying and
reissuing a system of records titled ``DOT/FMCSA 010--Drug and Alcohol
Clearinghouse (Clearinghouse).'' This system collects information
related to violations of the Agency's drug and alcohol testing program
regulations committed by CMV operators subject to the CDL and CLP
regulations set forth in 49 CFR part 383. FMCSA published the initial
system of records notice for the Clearinghouse on October 22, 2019 (84
FR 56521). The records are collected and maintained for the purposes
of:
<bullet> informing current and prospective employers of CMV drivers
whether the driver is prohibited from operating a CMV due to drug and
alcohol program violations;
<bullet> informing SDLAs and Motor Carrier Safety Assistance
Program (MCSAP) enforcement officers whether the driver is prohibited
from operating a CMV due to drug and alcohol program violations;
<bullet> providing drug and alcohol program violation information,
upon request from the National Transportation Safety Board (NTSB),
about a driver involved in a crash under investigation by the NTSB.
The Clearinghouse is a tool FMCSA, employers, prospective
employers, and SDLAs use to identify drivers who are prohibited from
operating a CMV, based on DOT drug and alcohol program violations, and
ensure that such drivers receive the required substance abuse
evaluation and treatment before operating a CMV on public roads. The
requirements and procedures for use of the Clearinghouse by employers,
drivers and specified service agents are set forth in 49 CFR part 382,
subpart G.
Employers or their designated service agents (Consortia/Third-Party
Administrators (C/TPA)) are required to query the Clearinghouse using
the CDL number of the driver to search for any drug and alcohol program
violations before hiring a prospective driver, and at least annually
for all currently employed drivers. Queries of the Clearinghouse fall
into one of two categories: limited or full. Both limited and full
queries require a driver's consent before any information can be
released about that driver. A limited query of the Clearinghouse will
inform the employer or C/TPA whether any violation-related information
about the driver exists; however, a limited query does not result in
the release of any detailed violation information. To view detailed
violation information contained in the Clearinghouse, the employer or
C/TPA must perform a full query. Once a driver's specific consent is
obtained, a full query returns the following information about the
driver:
<bullet> Driver details
<bullet> Information about the driver's employer who ordered the test
or reported a violation to the Clearinghouse
<bullet> Test details, including the type of test, violation details,
and test result
<bullet> Information about who entered the test result
<bullet> Return-to-duty (RTD) activity information
When an employer queries the driver as a pre-employment check, a
full query must be conducted. In accordance with 49 CFR 382.701(c), if
additional information is entered on the driver within 30 days of the
pre-employment query, the Clearinghouse sends an electronic
notification to the employer or C/TPA indicating additional information
has been added to a previously queried record. The employer must log in
to the Clearinghouse and obtain specific consent from the driver before
the details of this newly reported information are disclosed. An annual
query may be conducted as either a limited query or a full query.
A limited query requires a driver's general consent, which may be
effective for an indefinite period (e.g., the duration of employment)
and for an unlimited number of queries. Once the employer obtains
general consent, the employer will submit the query and receive a
notification from the Clearinghouse indicating whether the
Clearinghouse contains drug or alcohol violation-related information on
the queried driver. If the limited query indicates that the
Clearinghouse contains information on the driver, the employer or C/TPA
must conduct a full query.
When conducting a full query, the employer or C/TPA must obtain
specific consent from the driver by logging into the Clearinghouse and
requesting that the driver provide consent to release full query
results. To grant or decline specific consent, the driver must register
in the Clearinghouse to establish an account. If the driver provides
consent, the employer will receive notification of
[[Page 56487]]
the consent via email. The employer logs into their account to view the
detailed information for the queried driver.
In accordance with the Clearinghouse regulations if an employer is
unable to obtain either general consent from a driver for a limited
query, or specific consent for a full query, the employer must remove
the driver from performing safety-sensitive functions, including
operating a CMV, as described below.
On October 7, 2021, FMCSA published a final rule entitled
``Controlled Substances and Alcohol Testing: State Driver's Licensing
Agency Non-Issuance/Downgrade of Commercial's Driver's License'' (86 FR
55718) (2021 final rule). The rule requires SDLAs, prior to completing
a commercial licensing transaction, to access and use driver-specific
information from the Clearinghouse to determine whether, pursuant to 49
CFR 382.501(a), a driver is prohibited from operating a CMV due to drug
and alcohol program violations. The requirements and procedures for
SDLAs' use of the Clearinghouse are set forth in 49 CFR part 383. If
the applicant is prohibited from operating, the SDLA must not complete
the licensing transaction, resulting in non-issuance of the CLP or CDL.
The rule also requires that SDLAs downgrade the CLP or CDL of any
driver prohibited from operating a CMV and revises how reports of
actual knowledge of drug or alcohol use, based on the issuance of a
citation for DUI in CMV, will be maintained in the system. Under then-
current regulations, drivers could request the removal of an employer's
report of actual knowledge of use, based on a traffic citation for
driving a CMV under the influence of controlled substances or alcohol,
if the citation did not result in the driver's conviction. The 2021
final rule amended 49 CFR 382.717 so that drivers can no longer request
removal of the citation but may add documentary evidence of non-
conviction to their Clearinghouse record.
The following substantive changes have been made to this Notice:
1. Authority: This Notice updates the authorities to add sections
31305(a), 31308, and 31311 of title 49, United States Code, on which
FMCSA relies to implement requirements pertaining to the SDLAs' use of
the Clearinghouse, and to add the regulatory authorities authorizing
access to and uses of the Clearinghouse as set forth in 49 CFR part
382, subpart G, and 49 CFR part 383.
2. Contesting Record Procedures: This Notice updates contesting
record procedures to conform with the following regulatory change to 49
CFR 382.717: Drivers may no longer request removal of an actual
knowledge violation based on the issuance of a citation for DUI in a
CMV when the citation does not result in a conviction, but they can
request that documentary evidence of non-conviction be added to their
Clearinghouse record.
3. Routine Uses: This Notice updates routine uses to add four
system-specific routine uses, as described below.
In this Notice, FMCSA adds four new system-specific routine uses to
support enforcement of drug and alcohol use and testing regulations and
to implement regulatory requirements pertaining to States (SDLAs).
The first new routine use allows SDLAs to receive notification from
FMCSA of a CMV driver's operating status (i.e., prohibited or not
prohibited). This routine use enables the SDLA to initiate a downgrade
of the CLP or CDL of any driver prohibited from operating a CMV due to
drug and alcohol program violations, as required by 49 CFR 383.73(q).
It will also enable the SDLA to restore the commercial driving
privilege to the driver's license following the driver's completion of
the return-to-duty process or to correct an error, as required by 49
CFR 383.73(q)(2) and (3), respectively.
The second new routine use allows notification to employers when
new information has been added to the Clearinghouse record of a CMV
driver about whom the employer has either queried the Clearinghouse, or
reported information to the Clearinghouse, in the past 12 months (i.e.,
since the preemployment query or last annual query). This routine use
alerts employers that new information about a driver they may employ
was reported to Clearinghouse by another employer or prospective
employer. If the driver is still employed, the employer must log in to
the Clearinghouse and obtain specific consent from the driver before
the details of this newly reported information will be disclosed.
The third new routine use allows employers, confirmed by FMCSA to
currently employ CMV drivers prohibited under 49 CFR 382.501(a) from
operating a CMV due to drug and alcohol program violations reported to
the Clearinghouse by another employer or prospective employer, to be
notified of the driver's prohibited operating status. The employer must
log in to the Clearinghouse and obtain specific consent from the driver
before details of this newly reported violation will be disclosed.
However, upon receiving notification that the driver is prohibited from
operating a CMV, the employer must not allow the driver to perform
safety-sensitive functions, in accordance with 49 CFR 382.501(b).
The fourth new routine use allows employers who are notified by
FMCSA of a driver's disqualification under 49 CFR 391.41(b)(12) for
prohibited controlled substances use to receive details of the positive
test result violation from the Clearinghouse. Under this routine use,
FMCSA will provide the required employer notification of the driver's
disqualification under 49 CFR 391.41(b)(12) for CDL or CLP holders who
continue to operate a CMV in violation of 49 CFR 382.501(a).
The new routine uses are compatible with the purpose for which the
information was collected, directly furthering the goals of 49 U.S.C.
31306a, to improve roadway safety and enhance compliance with drug and
alcohol use and testing regulations.
The following non-substantive changes have been made to the
background, system manager, purposes, categories of individuals covered
by the system, categories of records in the system, record source
categories, and policies and practices for retrieval, to improve the
readability and transparency of this Notice:
1. Background: This Notice updates background to add information
about FMCSA's recent amendments to 49 CFR parts 382 and 383. This
Notice also updates the background to eliminate redundancies in the
description of the limited and full query processes as set forth in the
previous Notice and to conform the description of CMV drivers subject
to FMCSA's drug and alcohol use and testing regulations to existing
regulatory text in 49 CFR 382.103(a). These updates are made to improve
clarity and do not reflect any change in either the Clearinghouse query
processes or the population of CMV drivers about whom information is
maintained in the System.
2. System Manager: This Notice updates the system manager to
include contact information for FMCSA's Drug and Alcohol Programs
Division, Office of Safety Programs and to delete contact information
for the Compliance Division, Office of Enforcement and Compliance. This
change reflects a reorganization within FMCSA and is compatible with
the purpose of this system of records.
3. Purposes: This Notice updates the purposes to add specific
references to FMCSA's MCSAP partners and to SDLAs to improve the
clarity of the description. In addition, this Notice updates the
purposes to conform the description of CMV drivers subject to FMCSA's
drug and alcohol use and
[[Page 56488]]
testing regulations to existing regulatory text in 49 CFR 382.103(a).
The previous Notice described the CMV drivers as ``CLP and CDL
holders''; this Notice changes that reference to ``CMV drivers who are
subject to the CDL and CLP requirements of 49 CFR part 383.'' FMCSA
makes this update to improve clarity; it does not reflect any change in
the population of CMV drivers about whom information is maintained in
this System.
4. Categories of Individuals: This Notice updates categories of
individuals to conform the description of CMV drivers subject to
FMCSA's drug and alcohol use and testing regulations to existing
regulatory text in 49 CFR 382.103(a). The previous Notice described the
CMV drivers as ``CLP and CDL holders''; this Notice changes that
reference to ``CMV drivers who are subject to the CDL and CLP
requirements of 49 CFR part 383.'' FMCSA makes this update to improve
clarity; it does not reflect any change in the population of CMV
drivers about whom information is maintained in this System.
5. Categories of Records: This Notice updates categories of records
to conform the description of CMV drivers subject to FMCSA's drug and
alcohol use and testing regulations with existing regulatory text in 49
CFR 382.103(a). The previous Notice described the CMV drivers as ``CLP
and CDL holders''; this Notice changes that reference to ``CMV drivers
who are subject to the CDL and CLP requirements of 49 CFR part 383.''
FMCSA makes this update to improve clarity; it does not reflect any
change in the population of CMV drivers about whom information is
maintained in this System.
6. Record Source Categories: This Notice updates record source
categories to conform the description of CMV drivers subject to FMCSA's
drug and alcohol use and testing regulations with existing regulatory
text in 49 CFR 382.103(a). The previous Notice described the CMV
drivers as ``CLP and CDL holders''; this Notice changes that reference
to ``CMV drivers who are subject to the CDL and CLP requirements of 49
CFR part 383.'' FMCSA makes this update to improve clarity; it does not
reflect any change in the population of CMV drivers about whom
information is maintained in this system.
7. Policies and Practices for Retrieval: To improve clarity, this
Notice updates policies and practices to replace ``CDL holder'' with
``CMV driver'' and to specify that State issuance pertains to CDLs and
CLPs.
II. Privacy Act
The Privacy Act governs the means by which the Federal Government
agencies collect, maintain, use, and disseminate individuals' records.
The Privacy Act applies to information that is maintained in a ``system
of records.'' A ``system of records'' is a group of any records under
the control of an agency from which information is retrieved by the
name of an individual or by some identifying number, symbol, or other
identifying particular assigned to the individual. The Privacy Act
extends rights and protections to individuals who are U.S. citizens and
lawful permanent residents. Additionally, the Judicial Redress Act
(JRA) provides a covered person with a statutory right to make requests
for access and amendment to covered records, as defined by the JRA,
along with judicial review for denials of such requests. In addition,
the JRA prohibits disclosures of covered records, except as otherwise
permitted by the Privacy Act. In accordance with 5 U.S.C. 552a(r), DOT
has provided a report of this system of records to the Office of
Management and Budget and to Congress.
Below is the description of the Clearinghouse System of Records. In
accordance with 5 U.S.C. 552a(r), DOT has provided a report of this
modified system of records to the OMB and to Congress.
SYSTEM NAME AND NUMBER:
DOT/FMCSA 010- Commercial Driver's License Drug and Alcohol
Clearinghouse (Clearinghouse).
SECURITY CLASSIFICATION:
Unclassified.
SYSTEM LOCATION:
Records are maintained in a FedRAMP-certified third-party cloud
environment. The contracts are maintained by DOT at 1200 New Jersey
Avenue SE, Washington, DC 20590.
SYSTEM MANAGER(S):
Chief, Drug and Alcohol Programs Division, Office of Safety
Programs, FMCSA, U.S. DOT, 1200 New Jersey Avenue SE, Washington, DC
20590; <a href="/cdn-cgi/l/email-protection#d5b6b9b0b4a7bcbbb2bdbaa0a6b095b1baa1fbb2baa3"><span class="__cf_email__" data-cfemail="9ffcf3fafeedf6f1f8f7f0eaecfadffbf0ebb1f8f0e9">[email protected]</span></a>.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
49 U.S.C. 31305(a), 31306, 31306a(a)(1), 31308, and 31311; CFR part
382 subpart G; and 49 CFR part 383.
PURPOSE(S) OF THE SYSTEM:
The purpose of the Clearinghouse is to: (1) improve compliance with
the DOT's controlled substances and alcohol testing program applicable
to CMV drivers who are subject to the CDL and CLP requirements of 49
CFR part 383; and (2) enhance the safety of U.S. roadways by reducing
crashes and injuries involving drivers violating alcohol or controlled
substances regulations (49 U.S.C. 31306a(a)(2)). FMCSA and its MCSAP
partners, motor carrier employers, and State Driver Licensing Agencies
use information in the Clearinghouse records to identify drivers who
are prohibited from operating a CMV and must receive the required
evaluation and treatment before resuming safety-sensitive functions.
Safety-sensitive functions are defined in 49 CFR 382.107 as the time
from when a driver begins to work or is required to be in readiness to
work until the time he/she is relieved from work and all responsibility
for performing work. Safety-sensitive functions include driving a CMV
on public roads.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Categories of individuals within this system include: CMV drivers
subject to the CDL and CLP requirements of 49 CFR part 383, Medical
Review Officers (MRO), Substance Abuse Professionals (SAP), employers,
and Consortia/Third-Party Administrators (C/TPA).
CATEGORIES OF RECORDS IN THE SYSTEM:
Categories of records in the system include:
The following information about CMV drivers is subject to the CDL
and CLP requirements of 49 CFR part 383:
<bullet> Name.
<bullet> Contact Information including physical address, phone
number(s) and email address.
<bullet> Date of birth.
<bullet> Current and previous CLP or CDL license number, state of
issuance, and expiration date.
<bullet> Drug or alcohol test results and violation information
including employer name, address, and USDOT#, as applicable.
<bullet> CMV driving eligibility status.
<bullet> Driver Substance Abuse Professional (SAP) selection
including SAP name, address and phone number, as applicable.
<bullet> Actual Knowledge Report Information, including violation
details, documentation to support the allegation and certificate of
service to the employee, as applicable.
<bullet> Failure to appear and refusal to test detail information,
including documentation regarding notification of test requirement,
documentation of termination or resignation and certificate of service
to the employee, as applicable.
[[Page 56489]]
<bullet> Return to duty (RTD) eligibility date and negative test
result. A negative RTD test result allows the driver to resume
operation of a CMV and other safety-sensitive functions.
<bullet> Follow-up testing plan completion information.
<bullet> Query information including who requested the query and
when the query was conducted.
<bullet> Query consent information including the driver's approval
or refusal.
Information about MROs and SAPs as specified in 49 CFR 382.711(c)
to include:
<bullet> Contact information including name, email address, phone
number(s), office location addresses and applicable qualifications as
per 49 CFR part 40.
Information about employers, designated agents and C/TPAs as
specified in Sec. 382.711(b) and Sec. 382.711(d) to include:
<bullet> Contact information including name, email address, phone
number(s), office location addresses.
<bullet> USDOT #, as applicable.
RECORD SOURCE CATEGORIES:
Records are obtained from MROs for CMV drivers subject to the CDL
and CLP requirements of 49 CFR part 383 who have confirmed positive
tests or test refusals. Motor carrier employers will report actual
knowledge of use, alcohol confirmation test results, or test refusals.
Records regarding completion of required RTD processes are obtained
from SAPs and employers. Records are obtained from employers who
request full query consent of drivers and the approval or rejection of
the consent from the drivers. Registration information records are
obtained from CMV drivers subject to the CDL and CLP requirements of 49
CFR part 383, MROs, SAPs, employers, and their designated agents when
an authorized user registers for the Clearinghouse and creates a new
account or when updating previous account information.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND PURPOSES OF SUCH USES:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a portion of the records or
information contained in this system may be disclosed outside DOT as a
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
System Specific Routine Uses
1. To Motor Carrier Safety Assistance Program (MCSAP) partner
agencies, for use during investigations, roadside inspections and
safety audits of motor carriers. This routine use enables the MCSAP
agencies to enforce the current prohibition against operating a CMV, or
performing other safety-sensitive functions, due to drug and alcohol
program violations.
2. To State Driver's Licensing Agencies for the purpose of
verifying a driver's qualification to operate a CMV prior to completing
any licensing transactions, including issuance, renewal, transfer, or
upgrade of any a CLP or CDL (as mandated by 49 U.S.C. 31311(a)(24) and
31306a(h)(2)).
3. To the NTSB, upon request, when a driver is involved in a crash
under investigation by the NTSB (as mandated by 49 U.S.C. 31306a(i)).
4. To State Driver Licensing Agencies, for the purpose of
initiating a downgrade of the CLP or CDL of any driver prohibited from
operating a CMV due to drug and alcohol program violations or
reinstating the CLP or CDL when the driver is no longer prohibited from
operating, as required by 49 CFR 383.73(q).
5. To employers who have either queried the Clearinghouse, or
reported information to the Clearinghouse, about a CMV driver in the
past 12 months, when new information about the driver has been added to
the Clearinghouse by another employer. This routine use enables
employers to comply with the current prohibition against allowing a
driver to operate a CMV, or perform other safety-sensitive functions,
due to drug and alcohol program violations.
6. To employers who currently employ a CMV driver prohibited from
operating a CMV due to a drug and alcohol program violation reported to
the Clearinghouse by another employer. This routine use enables current
employers to comply with the prohibition against allowing a driver to
operate a CMV, or perform other safety-sensitive functions, due to drug
and alcohol program violations.
7. To employers notified by FMCSA that a CDL or CLP holder is
disqualified under 49 CFR 391.41(b)(12) for prohibited controlled
substances use. Under this routine use, FMCSA will provide the required
employer notification of the driver's disqualification under 49 CFR
391.41(b)(12) for CDL or CLP holders who continue to operate a CMV in
violation of 49 CFR 382.501(a).
Department General Routine Uses
8. In the event that a system of records maintained by DOT to carry
out its functions indicates a violation or potential violation of law,
whether civil, criminal or regulatory in nature, and whether arising by
general statute or particular program pursuant thereto, the relevant
records in the system of records may be referred, as a routine use, to
the appropriate agency, whether Federal, State, local or foreign,
charged with the responsibility of investigating or prosecuting such
violation or charged with enforcing or implementing the statute, or
rule, regulation, or order issued pursuant thereto.
9a. Routine Use for Disclosure for Use in Litigation. It shall be a
routine use of the records in this system of records to disclose them
to the Department of Justice or other Federal agency conducting
litigation when--(a) DOT, or any agency thereof, or (b) Any employee of
DOT or any agency thereof, in his/her official capacity, or (c) Any
employee of DOT or any agency thereof, in his/her individual capacity
where the Department of Justice has agreed to represent the employee,
or (d) The United States or any agency thereof, where DOT determines
that litigation is likely to affect the United States, is a party to
litigation or has an interest in such litigation, and the use of such
records by the Department of Justice or other Federal agency conducting
the litigation is deemed by DOT to be relevant and necessary in the
litigation, provided, however, that in each case, DOT determines that
disclosure of the records in the litigation is a use of the information
contained in the records that is compatible with the purpose for which
the records were collected.
9b. Routine Use for Agency Disclosure in Other Proceedings. It
shall be a routine use of records in this system to disclose them in
proceedings before any court or adjudicative or administrative body
before which DOT or any agency thereof, appears, when-- (a) DOT, or any
agency thereof, or (b) Any employee of DOT or any agency thereof in
his/her official capacity, or (c) Any employee of DOT or any agency
thereof in his/her individual capacity where DOT has agreed to
represent the employee, or (d) The United States or any agency thereof,
where DOT determines that the proceeding is likely to affect the United
States, is a party to the proceeding or has an interest in such
proceeding, and DOT determines that use of such records is relevant and
necessary in the proceeding, provided, however, that in each case, DOT
determines that disclosure of the records in the proceeding is a use of
the information contained in the records that is compatible with the
purpose for which the records were collected.
10. Disclosure may be made to a Congressional office from the
record of an individual in response to an inquiry
[[Page 56490]]
from the Congressional office made at the request of that individual.
In such cases, however, the Congressional office does not have greater
rights to records than the individual. Thus, the disclosure may be
withheld from delivery to the individual where the file contains
investigative or actual information or other materials which are being
used, or are expected to be used, to support prosecution or fines
against the individual for violations of a statute, or of regulations
of the Department based on statutory authority. No such limitations
apply to records requested for Congressional oversight or legislative
purposes; release is authorized under 49 CFR 10.35(9).
11. One or more records from a system of records may be disclosed
routinely to the National Archives and Records Administration (NARA) in
records management inspections being conducted under the authority of
44 U.S.C. 2904 and 2906.
12. DOT may make available to another agency or instrumentality of
any government jurisdiction, including State and local governments,
listings of names from any system of records in DOT for use in law
enforcement activities, either civil or criminal, or to expose
fraudulent claims, regardless of the stated purpose for the collection
of the information in the system of records. These enforcement
activities are generally referred to as matching programs because two
lists of names are checked for match using automated assistance. This
routine use is advisory in nature and does not offer unrestricted
access to systems of records for such law enforcement and related
antifraud activities. Each request will be considered on the basis of
its purpose, merits, cost effectiveness and alternatives using
Instructions on reporting computer matching programs to the Office of
Management and Budget, OMB, Congress, and the public, published by the
Director, OMB, dated September 20, 1989.
13. DOT may disclose records from the system, as a routine use to
appropriate agencies, entities, and persons when (1) DOT suspects or
has confirmed that there has been a breach of the system of records,
(2) DOT has determined that as a result of the suspected or confirmed
breach there is a risk of harm to individuals, DOT (including its
information systems, programs, and operations), the Federal Government,
or national security; and (3) the disclosure made to such agencies,
entities, and persons is reasonably necessary to assist in connection
with DOT's efforts to respond to the suspected or confirmed breach or
to prevent, minimize, or remedy such harm.
14. DOT may disclose records from this system, as a routine use, to
the Office of Government Information Services for the purpose of (a)
resolving disputes between FOIA requesters and Federal agencies and (b)
reviewing agencies' policies, procedures, and compliance in order to
recommend policy changes to Congress and the President.
15. DOT may disclose records from the system, as a routine use, to
contractors and their agents, experts, consultants, and others
performing or working on a contract, service, cooperative agreement, or
other assignment for DOT, when necessary to accomplish an agency
function related to this system of records.
16. DOT may disclose records from this system, as a routine use, to
an agency, organization, or individual for the purpose of performing
audit or oversight operations related to this system of records, but
only such records as are necessary and relevant to the audit or
oversight activity. This routine use does not apply to intra-agency
sharing authorized under Section (b)(1) of the Privacy Act.
17. A record from this system of records may be disclosed, as a
routine use, to a Federal, State, or local agency maintaining civil,
criminal, or other relevant enforcement information or other pertinent
information, such as current licenses, if necessary to obtain
information relevant to a DOT decision concerning the hiring or
retention of an employee, the issuance of a security clearance, the
letting of a contract, or the issuance of a license, grant or other
benefit.
18. A record from this system of records may be disclosed, as a
routine use, to a Federal agency, in response to its request, in
connection with the hiring or retention of an employee, the issuance of
a security clearance, the reporting of an investigation of an employee,
the letting of a contract, or the issuance of a license, grant, or
other benefit by the requesting agency, to the extent that the
information is relevant and necessary to the requesting agency's
decision on the matter.
19. DOT may disclose records from the system, as a routine use to
another Federal agency or Federal entity, when DOT determines that
information from this system of records is reasonably necessary to
assist the recipient agency or entity in (1) responding to a suspected
or confirmed breach or (2) preventing, minimizing, or remedying the
risk of harm to individuals, the recipient agency or entity (including
its information systems, programs, and operations), the Federal
Government, or national security, resulting from a suspected or
confirmed breach.
POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
Records in this system are stored electronically on a contractor-
maintained cloud storage service.
POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
Records may be retrieved by the following data elements: CMV
driver's name, date of birth, license number, and State of issuance of
the CLP or CDL.
POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
Records will be retained and disposed of in accordance with the
records control schedule titled, ``Commercial Driver's License Drug and
Alcohol Clearinghouse'' approved by the NARA on July 23, 2019. The
record schedule requires retention for 5 years if the violation is
resolved and RTD is completed; after 5 years the records will be
transferred to a separate location for archiving for 6 years and then
the records will be destroyed. For records that have not had the RTD
process successfully completed, they will remain active in the
Clearinghouse for 70 years.
ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
Records in this system are safeguarded in accordance with
applicable rules and policies, including all applicable DOT automated
systems security and access policies. Appropriate controls have been
imposed to minimize the risk of compromising the information that is
being stored and ensuring confidentiality of communications using tools
such as encryption, authentication of sending parties, and
compartmentalizing databases; and employing auditing software.
Clearinghouse data is encrypted at rest and in transit. In addition,
the connection between the database and the server is encrypted. Access
to records in this system is limited to those individuals who have a
need to know the information for the performance of their official
duties and who have appropriate clearances or permissions. All
personnel with access to data are screened through background
investigations commensurate with the level of access required to
perform their duties.
[[Page 56491]]
RECORD ACCESS PROCEDURES:
Individuals seeking notification of and access to any record
contained in this system of records, or seeking to contest its content,
may submit a request to the System Manager in writing to the address
provided, or to the email provided, under ``System Manager and
Address.'' Individuals may also search the public docket at
<a href="http://www.regulations.gov">www.regulations.gov</a> by their name.
When seeking records about yourself from this system of records or
any other Departmental system of records your request must conform with
the Privacy Act regulations set forth in 49 CFR part 10. You must sign
your request, and your signature must either be notarized or submitted
under 28 U.S.C. 1746, a law that permits statements to be made under
penalty of perjury as a substitute for notarization. While no specific
form is required, you should provide the following:
<bullet> An explanation of why you believe the Department would
have information on you;
<bullet> Identify which component(s) of the Department you believe
may have the information about you;
<bullet> Specify when you believe the records would have been
created;
<bullet> Provide any other information that will help the FOIA
staff determine which DOT component agency may have responsive records;
and
If your request is seeking records pertaining to another living
individual, you must include a statement from that individual
certifying his/her agreement for you to access his/her records. Without
this bulleted information, the component(s) may not be able to conduct
an effective search, and your request may be denied due to lack of
specificity or lack of compliance with applicable regulations.
CONTESTING RECORD PROCEDURES:
Individuals seeking to contest the content of any record pertaining
to him or her in the system may contact the System Manager following
the Privacy Act procedures in 49 CFR part 10, subpart E, Correction of
Records.
Drivers may request corrections of administrative errors in their
Clearinghouse record using procedures set forth in 49 CFR 382.717.
Under these procedures, request for correction are limited to
incorrectly reported information, not the accuracy of test results or
refusals. Drivers may also request that the following information be
removed from their Clearinghouse record: an employer's report of actual
knowledge of use, if the employer's report does not comply with
applicable documentation and notice requirements; or an employer's
report of a failure to appear test refusal, if the employer's report
does not comply with applicable documentation and notice requirements.
Drivers may submit their request for correction or removal under 49 CFR
382.717 electronically through the Clearinghouse or in writing to
FMCSA.
Requests for correction under the Privacy Act must conform with
regulations set forth in 49 CFR part 10. Your request must either be
notarized or submitted under 28 U.S.C. 1746, a law that permits
statements to be made under penalty of perjury as a substitute for
notarization.
NOTIFICATION PROCEDURES:
Individuals seeking to contest the content of any record pertaining
to him or her in the system may contact the System Manager following
the procedures described in ``Record Access Procedures'' above.
EXEMPTIONS PROMULGATED FOR THE SYSTEM:
None.
HISTORY:
A full notice of this system of records, DOT/FMCSA 010--Drug and
Alcohol Clearinghouse, was published in the Federal Register on October
22, 2019 (84 FR 56521)
Issued in Washington, DC.
Karyn Gorman,
Acting Departmental Chief Privacy Officer.
[FR Doc. 2022-19779 Filed 9-13-22; 8:45 am]
BILLING CODE 4910-9X-P
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</html>Indexed from Federal Register on September 14, 2022.
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.