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