80_FR_13117 80 FR 13069 - Driver Qualifications; Regulatory Guidance Concerning the Use of Computerized Employer Notification Systems for the Annual Inquiry and Review of Driving Records

80 FR 13069 - Driver Qualifications; Regulatory Guidance Concerning the Use of Computerized Employer Notification Systems for the Annual Inquiry and Review of Driving Records

DEPARTMENT OF TRANSPORTATION
Federal Motor Carrier Safety Administration

Federal Register Volume 80, Issue 48 (March 12, 2015)

Page Range13069-13070
FR Document2015-05645

FMCSA provides regulatory guidance concerning the use of State-operated employer notification systems (ENS) for the annual inquiry and review of driving records required by 49 CFR 391.25. The guidance explains the use of State-operated ENS that provide motor carriers with a department of motor vehicle report for every State in which the driver held either an operator's license, a commercial driver's license (CDL), or permit when a driver is enrolled in the system. Many State driver licensing agencies (SDLAs) provide ENS that either automatically update requestors (push-system) on license status, crashes and convictions of laws or regulations governing the operation of motor vehicles or allow the requestor to regularly query the record (pull-system) for this information. The use of these systems to check the driving record, at least annually, satisfies the requirement for an annual review of each driver's record. This includes when a third-party is used to accumulate the records for a motor carrier. This revises the Agency guidance issued in 2003 that referenced to a specific third- party vendor.

Federal Register, Volume 80 Issue 48 (Thursday, March 12, 2015) 
[Federal Register Volume 80, Number 48 (Thursday, March 12, 2015)]
[Notices]
[Pages 13069-13070]
From the Federal Register Online  [www.thefederalregister.org]
[FR Doc No: 2015-05645]


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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration


Driver Qualifications; Regulatory Guidance Concerning the Use of 
Computerized Employer Notification Systems for the Annual Inquiry and 
Review of Driving Records

AGENCY: Federal Motor Carrier Safety Administration.

ACTION: Notice of regulatory guidance.

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SUMMARY: FMCSA provides regulatory guidance concerning the use of 
State-operated employer notification systems (ENS) for the annual 
inquiry and review of driving records required by 49 CFR 391.25. The 
guidance explains the use of State-operated ENS that provide motor 
carriers with a department of motor vehicle report for every State in 
which the driver held either an operator's license, a commercial 
driver's license (CDL), or permit when a driver is enrolled in the 
system. Many State driver licensing agencies (SDLAs) provide ENS that 
either automatically update requestors (push-system) on license status, 
crashes and convictions of laws or regulations governing the operation 
of motor vehicles or allow the requestor to regularly query the record 
(pull-system) for this information. The use of these systems to check 
the driving record, at least annually, satisfies the requirement for an 
annual review of each driver's record. This includes when a third-party 
is used to accumulate the records for a motor carrier. This revises the 
Agency guidance issued in 2003 that referenced to a specific third-
party vendor.

DATES: This guidance is effective March 12, 2015.

FOR FURTHER INFORMATION CONTACT: Mr. Thomas L. Yager, Chief, Driver and 
Carrier Operations Division, Office of Bus and Truck Standards and 
Operations, 1200 New Jersey Ave. SE., Washington, DC 20590, Telephone 
202-366-4325, Email: [email protected].

SUPPLEMENTARY INFORMATION: 

Legal Basis

    The Secretary of Transportation has statutory authority to set 
minimum standards for commercial motor vehicle safety. These minimum 
standards must ensure that: (1) CMVs are maintained, equipped, loaded, 
and operated safely; (2) the responsibilities imposed on operators of 
CMVs do not impair their ability to operate the vehicles safely; (3) 
the physical condition of CMV operators is adequate to enable them to 
operate the vehicles safely; (4) the operation of CMVs does not have a 
deleterious effect on the physical condition of the operators; and (5) 
an operator of a commercial motor vehicle is not coerced by a motor 
carrier, shipper, receiver, or transportation intermediary to operate a 
commercial motor vehicle in violation of a regulation (49 U.S.C. 
31136(a)(1)-(5), as amended). The Secretary also has broad power in 
carrying out motor carrier safety statutes and regulations to 
``prescribe recordkeeping and reporting requirements'' and to ``perform 
other acts the Secretary considers appropriate'' (49 U.S.C. 31133(a)(8) 
and (10)).
    The Administrator of FMCSA has been delegated authority under 49 
CFR 1.87(f) to carry out the functions vested in the Secretary of 
Transportation by 49 U.S.C. chapter 311, subchapters I, III and IV, 
relating to commercial motor vehicle programs and safety regulation.

Background

    On January 13, 2003, FMCSA issued a letter to a company providing 
regulatory guidance concerning the use of computerized employer 
notification systems for the annual inquiry and review of driving 
records required by 49 CFR 391.25. The guidance explained that the use 
of a specific third-party computerized ENS that provides motor carriers 
with a department of motor vehicle report for every State in which the 
driver held either an operator's license, a CDL, or permit when a 
driver is enrolled in the system, and provides an update anytime the 
State licensing agency enters new information about license status, 
crashes and convictions of laws or regulations governing the operation 
of motor vehicles satisfies the requirement for an annual review of 
each driver's record. However, the guidance referenced a specific 
vendor providing such services to the motor carrier industry.
    The regulatory guidance issued to the specific company was 
subsequently posted to FMCSA's Web site as question #4 to 49 CFR 391.25 
(See http://www.fmcsa.dot.gov/regulations/title49/section/391.25?guidance). The 2003 guidance reads as follows:
    Question 4: Does the use of a third-party computerized system that 
provides motor carriers with a complete department of motor vehicle 
report for every State in which the driver held a commercial motor 
vehicle operator's license or permit when a driver is enrolled in the 
system, and then automatically provides an update anytime the State 
licensing agency enters new information on the driving record, satisfy 
the requirements of Sec.  391.25?
    Guidance: Yes. Since motor carriers would be provided with a 
complete department of motor vehicle report for every State in which 
the driver held a commercial motor vehicle operator's license or permit 
when a driver is enrolled in the system, and then provided with an 
update any time the State licensing agency enters new information on 
the driving record, the requirements of Sec.  391.25(a) would be 
satisfied. When the motor carrier manager reviews the information on 
the driving record, and the License Monitor system records the identity 
of the manager who conducted the review, the requirements of Sec.  
391.25(b) and (c) would be satisfied.
    With regard to the requirement that the response from each State 
agency, and a note identifying the person who performed the review, may 
be maintained in the driver's qualification files, motor carriers may 
satisfy the record keeping requirement by using computerized records in 
accordance with 49 CFR 390.31. Section [390.31] allows all records that 
do not require signatures to be maintained through the use of computer 
technology provided the motor carrier can produce, upon demand, a 
computer printout of the required data. Therefore, motor carriers using 
an automated computer system would not be required to maintain paper 
copies of the driving records, or a note identifying the person who 
performed the review, in each individual driver qualification file 
provided a computer printout can be produced upon demand of a Federal 
or State enforcement official.

[[Page 13070]]

    Because the guidance made reference to one vendor, License Monitor, 
it was not considered helpful by some in the industry for motor 
carriers using systems other than the one operated by License Monitor. 
The American Trucking Associations raised the issue with FMCSA and the 
Agency agrees that the guidance should be revised to provide generic 
guidance rather than vendor-specific guidance. In addition, since 2003, 
several SDLAs have implemented ENS systems that provide the driver 
record information to employers.

FMCSA's Decision

    In consideration of the above, FMCSA has determined that the 
current regulatory guidance should be revised to make clear that any 
State-operated ENS may be used to satisfy the requirements of 49 CFR 
391.25, even if the information is accumulated by a third party. The 
FMCSA revises Question 4 to 49 CFR 391.25 to read as follows:

Qualification of Drivers, Annual Inquiry and Review of Driving Record; 
Regulatory Guidance for 49 CFR 391.25

    Question 4: Does the use of an employer notification system that 
provides motor carriers with a department of motor vehicle report for 
every State in which the driver held either an operator's license, a 
commercial driver's license (CDL), or permit when a driver is enrolled 
in the system and provides information about license status, crashes 
and convictions of laws or regulations governing the operation of motor 
vehicles on the driving record satisfy the requirement for an annual 
review of each driver's record?
    Guidance: Yes. Since motor carriers would be provided with a 
department of motor vehicle report for every State in which the driver 
held a commercial motor vehicle operator's license or permit when a 
driver is enrolled in the system and the State licensing agency 
includes information about crashes and convictions of laws or 
regulations governing the operation of motor vehicles on the driving 
record, the requirements of Sec.  391.25(a) would be satisfied. 
Generally, the requirements of Sec.  391.25(b) and (c) would be 
satisfied if the employer notification system records the identity of 
the motor carrier's representative who conducted the review when the 
carrier's representative reviews the information on the driving record.
    The use of an employer notification system would meet the 
requirements if either the motor carrier automatically receives updates 
from the State (push-system) or can regularly access the system to 
check for updates (pull-system), as long as the check occurs at least 
once per year. In addition, receipt of these reports meets the 
requirement for the annual check even if it is provided to the motor 
carrier by a third-party.
    With regard to the requirement that the response from each State 
agency, and a note identifying the person who performed the review, may 
be maintained in the driver's qualification files, motor carriers may 
satisfy the recordkeeping requirement by using computerized records in 
accordance with FMCSA's Regulatory Guidance Concerning Electronic 
Documents and Signatures, 75 FR 411, January 4, 2011. Therefore, motor 
carriers using an automated employer notification computer system would 
not be required to maintain paper copies of the driving records, or a 
note identifying the person who performed the review, in each 
individual driver qualification file provided documentation consistent 
with FMCSA's January 4, 2011, guidance can be produced upon demand of a 
Federal or State enforcement official.

    Issued on: March 2, 2015.
T.F. Scott Darling, III,
Acting Administrator.
[FR Doc. 2015-05645 Filed 3-11-15; 8:45 am]
 BILLING CODE 4910-EX-P

Federal Register / Vol. 80, No. 48 / Thursday, March 12, 2015 / Notices 13069 It is therefore ordered, pursuant to guidance issued in 2003 that referenced of laws or regulations governing the Section 19(b)(2) of the Act,116 that the to a specific third-party vendor. operation of motor vehicles satisfies the proposed rule change (File No. SR– DATES: This guidance is effective March requirement for an annual review of OCC–2015–02) be, and it hereby is, 12, 2015. each driver’s record. However, the approved as of the date of this notice or FOR FURTHER INFORMATION CONTACT: Mr. guidance referenced a specific vendor the date of an order by the Commission Thomas L. Yager, Chief, Driver and providing such services to the motor authorizing OCC to implement OCC’s Carrier Operations Division, Office of carrier industry. advance notice proposal that is The regulatory guidance issued to the Bus and Truck Standards and consistent with this proposed rule specific company was subsequently Operations, 1200 New Jersey Ave. SE., change (File No. SR–OCC–2014–813), posted to FMCSA’s Web site as question Washington, DC 20590, Telephone 202– whichever is later. #4 to 49 CFR 391.25 (See http:// 366–4325, Email: MCPSD@dot.gov. www.fmcsa.dot.gov/regulations/title49/ For the Commission, by the Division of SUPPLEMENTARY INFORMATION: Trading and Markets, pursuant to delegated section/391.25?guidance). The 2003 authority.117 Legal Basis guidance reads as follows: Question 4: Does the use of a third- Jill M. Peterson, The Secretary of Transportation has party computerized system that Assistant Secretary. statutory authority to set minimum provides motor carriers with a complete [FR Doc. 2015–05556 Filed 3–11–15; 8:45 am] standards for commercial motor vehicle department of motor vehicle report for BILLING CODE 8011–01–P safety. These minimum standards must every State in which the driver held a ensure that: (1) CMVs are maintained, commercial motor vehicle operator’s equipped, loaded, and operated safely; license or permit when a driver is (2) the responsibilities imposed on enrolled in the system, and then DEPARTMENT OF TRANSPORTATION operators of CMVs do not impair their automatically provides an update ability to operate the vehicles safely; (3) anytime the State licensing agency Federal Motor Carrier Safety the physical condition of CMV operators enters new information on the driving Administration is adequate to enable them to operate record, satisfy the requirements of the vehicles safely; (4) the operation of § 391.25? Driver Qualifications; Regulatory CMVs does not have a deleterious effect Guidance: Yes. Since motor carriers Guidance Concerning the Use of on the physical condition of the would be provided with a complete Computerized Employer Notification operators; and (5) an operator of a department of motor vehicle report for Systems for the Annual Inquiry and commercial motor vehicle is not coerced every State in which the driver held a Review of Driving Records by a motor carrier, shipper, receiver, or commercial motor vehicle operator’s AGENCY: Federal Motor Carrier Safety transportation intermediary to operate a license or permit when a driver is Administration. commercial motor vehicle in violation enrolled in the system, and then ACTION: Notice of regulatory guidance. of a regulation (49 U.S.C. 31136(a)(1)– provided with an update any time the (5), as amended). The Secretary also has State licensing agency enters new SUMMARY: FMCSA provides regulatory broad power in carrying out motor information on the driving record, the guidance concerning the use of State- carrier safety statutes and regulations to requirements of § 391.25(a) would be operated employer notification systems ‘‘prescribe recordkeeping and reporting satisfied. When the motor carrier (ENS) for the annual inquiry and review requirements’’ and to ‘‘perform other manager reviews the information on the of driving records required by 49 CFR acts the Secretary considers driving record, and the License Monitor 391.25. The guidance explains the use appropriate’’ (49 U.S.C. 31133(a)(8) and system records the identity of the of State-operated ENS that provide (10)). manager who conducted the review, the motor carriers with a department of The Administrator of FMCSA has requirements of § 391.25(b) and (c) motor vehicle report for every State in been delegated authority under 49 CFR would be satisfied. which the driver held either an 1.87(f) to carry out the functions vested With regard to the requirement that operator’s license, a commercial driver’s in the Secretary of Transportation by 49 the response from each State agency, license (CDL), or permit when a driver U.S.C. chapter 311, subchapters I, III and a note identifying the person who is enrolled in the system. Many State and IV, relating to commercial motor performed the review, may be driver licensing agencies (SDLAs) vehicle programs and safety regulation. maintained in the driver’s qualification provide ENS that either automatically files, motor carriers may satisfy the Background record keeping requirement by using update requestors (push-system) on license status, crashes and convictions On January 13, 2003, FMCSA issued computerized records in accordance of laws or regulations governing the a letter to a company providing with 49 CFR 390.31. Section [390.31] operation of motor vehicles or allow the regulatory guidance concerning the use allows all records that do not require requestor to regularly query the record of computerized employer notification signatures to be maintained through the (pull-system) for this information. The systems for the annual inquiry and use of computer technology provided use of these systems to check the review of driving records required by 49 the motor carrier can produce, upon driving record, at least annually, CFR 391.25. The guidance explained demand, a computer printout of the satisfies the requirement for an annual that the use of a specific third-party required data. Therefore, motor carriers computerized ENS that provides motor using an automated computer system asabaliauskas on DSK5VPTVN1PROD with NOTICES review of each driver’s record. This includes when a third-party is used to carriers with a department of motor would not be required to maintain paper accumulate the records for a motor vehicle report for every State in which copies of the driving records, or a note carrier. This revises the Agency the driver held either an operator’s identifying the person who performed license, a CDL, or permit when a driver the review, in each individual driver impact on efficiency, competition, and capital is enrolled in the system, and provides qualification file provided a computer formation. See 15 U.S.C. 78c(f). an update anytime the State licensing printout can be produced upon demand 116 15 U.S.C. 78s(b)(2). agency enters new information about of a Federal or State enforcement 117 17 CFR 200.30–3(a)(12). license status, crashes and convictions official. VerDate Sep<11>2014 17:40 Mar 11, 2015 Jkt 235001 PO 00000 Frm 00096 Fmt 4703 Sfmt 4703 E:\FR\FM\12MRN1.SGM 12MRN1

13070 Federal Register / Vol. 80, No. 48 / Thursday, March 12, 2015 / Notices Because the guidance made reference system) or can regularly access the Due Date for Answers, Conforming to one vendor, License Monitor, it was system to check for updates (pull- Applications, or Motion to Modify not considered helpful by some in the system), as long as the check occurs at Scope: January 29, 2015. industry for motor carriers using least once per year. In addition, receipt Description: Application of Air systems other than the one operated by of these reports meets the requirement Caledonie International S.A. (Aircalin), License Monitor. The American for the annual check even if it is requesting a foreign air carrier permit Trucking Associations raised the issue provided to the motor carrier by a third- and exemption authorizing it to provide with FMCSA and the Agency agrees that party. scheduled and charter foreign air the guidance should be revised to With regard to the requirement that transportation of persons, property and provide generic guidance rather than the response from each State agency, mail from any point or points behind vendor-specific guidance. In addition, and a note identifying the person who New Caledonia, via any point or points since 2003, several SDLAs have performed the review, may be in New Caledonia and any intermediate implemented ENS systems that provide maintained in the driver’s qualification points, to any point or points in the the driver record information to files, motor carriers may satisfy the United States. employers. recordkeeping requirement by using computerized records in accordance FMCSA’s Decision Barbara J. Hairston, with FMCSA’s Regulatory Guidance In consideration of the above, FMCSA Concerning Electronic Documents and Supervisory Dockets Officer, Docket has determined that the current Operations, Federal Register Liaison. Signatures, 75 FR 411, January 4, 2011. regulatory guidance should be revised to [FR Doc. 2015–05629 Filed 3–11–15; 8:45 am] Therefore, motor carriers using an make clear that any State-operated ENS automated employer notification BILLING CODE 4910–9X–P may be used to satisfy the requirements computer system would not be required of 49 CFR 391.25, even if the to maintain paper copies of the driving information is accumulated by a third records, or a note identifying the person DEPARTMENT OF TRANSPORTATION party. The FMCSA revises Question 4 to who performed the review, in each 49 CFR 391.25 to read as follows: Federal Motor Carrier Safety individual driver qualification file Administration Qualification of Drivers, Annual provided documentation consistent with FMCSA’s January 4, 2011, [Docket No. FMCSA–1998–4334; FMCSA– Inquiry and Review of Driving Record; guidance can be produced upon 2000–7006; FMCSA–2000–8398; FMCSA– Regulatory Guidance for 49 CFR 391.25 2005–20027] demand of a Federal or State Question 4: Does the use of an enforcement official. Qualification of Drivers; Exemption employer notification system that provides motor carriers with a Issued on: March 2, 2015. Applications; Vision department of motor vehicle report for T.F. Scott Darling, III, AGENCY: Federal Motor Carrier Safety every State in which the driver held Acting Administrator. Administration (FMCSA), DOT. either an operator’s license, a [FR Doc. 2015–05645 Filed 3–11–15; 8:45 am] ACTION: Notice of renewal of commercial driver’s license (CDL), or BILLING CODE 4910–EX–P permit when a driver is enrolled in the exemptions; request for comments. system and provides information about SUMMARY: FMCSA announces its license status, crashes and convictions DEPARTMENT OF TRANSPORTATION decision to renew the exemptions from of laws or regulations governing the the vision requirement in the Federal operation of motor vehicles on the Office of the Secretary Motor Carrier Safety Regulations for 4 driving record satisfy the requirement individuals. FMCSA has statutory Notice of Applications for Certificates for an annual review of each driver’s authority to exempt individuals from of Public Convenience and Necessity record? the vision requirement if the Guidance: Yes. Since motor carriers and Foreign Air Carrier Permits Filed Under Subpart B (formerly Subpart Q) exemptions granted will not would be provided with a department of compromise safety. The Agency has motor vehicle report for every State in during the Week Ending January 10, 2015 concluded that granting these which the driver held a commercial exemption renewals will provide a level motor vehicle operator’s license or The following Applications for of safety that is equivalent to or greater permit when a driver is enrolled in the Certificates of Public Convenience and than the level of safety maintained system and the State licensing agency Necessity and Foreign Air Carrier without the exemptions for these includes information about crashes and Permits were filed under Subpart B commercial motor vehicle (CMV) convictions of laws or regulations (formerly Subpart Q) of the Department drivers. governing the operation of motor of Transportation’s Procedural vehicles on the driving record, the Regulations (See 14 CFR 302.201 et. DATES: This decision is effective April 5, requirements of § 391.25(a) would be seq.). The due date for Answers, 2015. Comments must be received on or satisfied. Generally, the requirements of Conforming Applications, or Motions to before April 13, 2015. § 391.25(b) and (c) would be satisfied if Modify Scope are set forth below for ADDRESSES: You may submit comments the employer notification system each application. Following the Answer bearing the Federal Docket Management records the identity of the motor System (FDMS) numbers: Docket No. asabaliauskas on DSK5VPTVN1PROD with NOTICES period DOT may process the application carrier’s representative who conducted by expedited procedures. Such [Docket No. FMCSA–1998–4334; the review when the carrier’s procedures may consist of the adoption FMCSA–2000–7006; FMCSA–2000– representative reviews the information of a show-cause order, a tentative order, 8398; FMCSA–2005–20027], using any on the driving record. or in appropriate cases a final order of the following methods: The use of an employer notification without further proceedings. • Federal eRulemaking Portal: Go to system would meet the requirements if Docket Number: DOT–OST–2015– http://www.regulations.gov. Follow the either the motor carrier automatically 0003. on-line instructions for submitting receives updates from the State (push- Date Filed: January 8, 2015. comments. VerDate Sep<11>2014 17:40 Mar 11, 2015 Jkt 235001 PO 00000 Frm 00097 Fmt 4703 Sfmt 4703 E:\FR\FM\12MRN1.SGM 12MRN1


Document Created: 2018-02-21 09:36:18
Document Modified: 2018-02-21 09:36:18
CategoryRegulatory Information
CollectionFederal Register
sudoc ClassAE 2.7:
GS 4.107:
AE 2.106:
PublisherOffice of the Federal Register, National Archives and Records Administration
SectionNotices
ActionNotice of regulatory guidance.
DatesThis guidance is effective March 12, 2015.
ContactMr. Thomas L. Yager, Chief, Driver and Carrier Operations Division, Office of Bus and Truck Standards and Operations, 1200 New Jersey Ave. SE., Washington, DC 20590, Telephone 202-366-4325, Email: [email protected]
FR Citation80 FR 13069 
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