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