[Federal Register Volume 64, Number 75 (Tuesday, April 20, 1999)]
[Rules and Regulations]
[Pages 19269-19273]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-9653]
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DEPARTMENT OF TRANSPORTATION
National Highway Traffic Safety Administration
23 CFR Part 1327
[Docket No. NHTSA-98-5084]
RIN 2127-AH54
Procedures for Participating in and Receiving Data From the
National Driver Register Problem Driver Pointer System
AGENCY: National Highway Traffic Safety Administration (NHTSA), DOT.
ACTION: Final rule.
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SUMMARY: This final rule announces that changes made to NHTSA's
National Driver Register (NDR) regulations, through an interim final
rule implementing a recent amendment to the National Driver Register
Act of 1982 (the Act), are adopted as final with some changes described
below. The amendment to the Act authorized the Commandant of the United
States Coast Guard to request and receive information from the NDR
regarding the motor vehicle driving records of any officer, chief
warrant officer, or enlisted member of the Coast Guard or Coast Guard
Reserve (including a cadet or an applicant for appointment or
enlistment of any of the foregoing, and any member of a uniformed
service who is assigned to the Coast Guard). NHTSA's interim final rule
established the procedures for such individuals to request, and for the
Commandant to receive, NDR information. This final rule also puts in
place technical amendments affecting the National Driver Register Act
of 1982 contained in the Transportation Equity Act for the 21st Century
(TEA-21).
DATES: This final rule becomes effective May 20, 1999.
FOR FURTHER INFORMATION CONTACT: Mr. William Holden, Chief, Traffic
Records and Driver Register Division, NTS-32. National Highway Traffic
Safety Administration, 400 Seventh Street, S.W., Washington, D.C.
20590; telephone (202) 366-4800 or Ms. Heidi L. Coleman, Assistant
Chief Counsel for General Law, NCC-30, National Highway Traffic Safety
Administration, 400 Seventh Street, S.W., Washington, D.C. 20590;
telephone (202) 366-1834.
SUPPLEMENTARY INFORMATION:
Background
The NDR is a central file of information on individuals whose
license to operate a motor vehicle has been denied, revoked, suspended
or canceled, for cause, or who have been
[[Page 19270]]
convicted of certain serious traffic-related violations such as racing
on the highways or driving while impaired by alcohol or other drugs.
The NDR Act of 1982, 49 U.S.C. 30301 et seq., authorizes State
chief driver licensing officials to request and receive information
from the NDR for driver licensing and driver improvement purposes. When
an individual applies for a driver's license, for example, the Act
authorizes the chief driver licensing official in the State to request
and receive NDR information in order to determine whether the
applicant's driver's license has been withdrawn for cause in any other
State. Because the NDR is a national database, State chief driver
licensing officials need to submit only a single inquiry to obtain this
information.
The Act also authorizes State chief driver licensing officials to
request NDR information on behalf of other NDR users for transportation
safety purposes. Until October 1996, the Act authorized the following
entities to receive NDR information through requests to State chief
driver licensing officials for the limited purpose of transportation
safety: the National Transportation Safety Board (NTSB) and the Federal
Highway Administration (FHWA) for accident investigations; employers
and prospective employers of motor vehicle operators; the Federal
Aviation Administration (FAA) regarding any individual who holds or has
applied for an Airman's Certificate; air carriers regarding individuals
who are seeking employment with the air carrier; the Federal Railroad
Administration (FRA) and employers or prospective employers of
locomotive operators; and the U.S. Coast Guard regarding any individual
who holds or who has applied for a license, certificate of registry, or
a merchant mariner's document. The Act also provided that the U.S.
Coast Guard could not obtain NDR information that was entered in the
register more than three years before the date of the request. In
addition, the Act allowed individuals to learn whether information
about themselves was in the NDR file and to receive any such
information.
Expanded Access to the Coast Guard
On October 19, 1996, Public Law 104-324 was enacted. Section 207 of
that law contained an amendment to the Act authorizing the Commandant
of the Coast Guard to request and receive NDR information regarding any
officer, chief warrant officer, or enlisted member of the Coast Guard
or Coast Guard Reserve (including a cadet or an applicant for
appointment or enlistment of any of the foregoing, and any member of a
uniformed service who is assigned to the Coast Guard).
On December 2, 1997 (62 FR 63655), NHTSA published an interim final
rule in the Federal Register amending the regulations that implement
the Act. The interim final rule provided that the procedures that the
Commandant of the Coast Guard would use to receive NDR information on
Coast Guard personnel would be the same as those previously used by the
Coast Guard to receive information regarding individuals who hold or
who have applied for a license, certificate of registry, or a merchant
mariner's document.
The interim final rule explained that the Commandant of the Coast
Guard may not initiate a request for NDR information. Rather, the
individual member or applicant must do so. The interim final rule
stated that to initiate a request, the individual must either complete,
sign, and submit a request for an NDR file search, or the individual
must authorize the Commandant of the Coast Guard to request the NDR
file search by completing and signing a written consent. The request or
written consent must explain that NDR records are being requested;
state specifically who is authorized to receive the records; be dated
and signed by the individual (the member or applicant); and
specifically state that the authorization is valid for only one search
of the NDR. The consent also must state specifically that the NDR
identifies ``probable'' matches that require further inquiry for
verification, that it is recommended (but not required) that the
Commandant of the Coast Guard verify matches with the State of record,
and the consent must explain that individuals have the right to request
their own NDR records in order to verify the accuracy of that
information.
The interim final rule indicated that the Commandant of the Coast
Guard may receive such information and shall make the information
available to the individual. The interim final rule provided that the
Commandant will not receive any information that was entered in the
Register more than three years before the date of the request, unless
the information relates to a revocation or suspension still in effect
on the date of the request.
The interim final rule stated, in accordance with Public Law 104-
324, that requests to transmit NDR information to the Commandant were
to be submitted through a State chief driver licensing official.
The interim rule explained that the NDR response would be sent to
the chief driver licensing official who would provide it to the
Commandant and would indicate whether a match (probable identification)
was found and, if so, the response would identify the State in which
the full substantive record can be found (the State of record). The
interim final rule encouraged the Commandant to obtain the substantive
data relating to the match from the State of record to determine
whether the person described in the record is in fact the subject
individual before taking further action.
Request for Comments
NHTSA requested comments from interested persons on the procedures
put in place by the interim final rule published in the Federal
Register on December 2, 1997. Those comments were due no later than
February 2, 1998. The interim final rule explained that the agency
would consider and respond to all comments and, if appropriate, would
make further amendments to the applicable provisions of 23 CFR Part
1327. Since NHTSA received no comments on the interim final rule, this
final rule adopts the interim final rule subject to the changes
described below, which NHTSA is adopting in conformance with the
amendments to the Act contained in TEA-21.
TEA-21 Amendments
The Transportation Equity Act for the 21st Century (TEA-21), Public
Law 105-178, 112 Stat. 107, was signed into law on June 9, 1998.
Section 2006 of the law contained amendments to the access provisions
of the NDR Act of 1982, as amended, 49 U.S.C. 30305(b).
Federal Transportation Licensing Officials
TEA-21 amended the NDR Act of 1982 to permit the head of a Federal
department or agency that issues motor vehicle operator's licenses,
such as the State Department, to receive NDR information. This final
rule puts in place this change to the NDR procedures.
Other Federal Entities Can Directly Request NDR Information for
Limited Transportation Safety Purposes
The TEA-21 amendments also provide that any Federal department or
agency authorized to receive NDR information may request NDR
information directly from the NDR, rather than requesting the
information through State chief driver licensing officials. These
Federal departments and agencies now include: the Chairman of the
National Transportation Safety Board (NTSB) and the Administrator of
the Federal Highway Administration
[[Page 19271]]
(FHWA) regarding an individual who is the subject of an accident
investigation conducted by the Board or Administrator; the Federal
Aviation Administration (FAA) regarding an individual who has received
or applied for an Airman's Certificate; the Federal Railroad
Administration (FRA) regarding a locomotive operator; the Commandant of
the United States Coast Guard regarding an individual who holds or who
has applied for a license, certificate of registry, or a merchant
mariner's document, and also regarding any officer, chief warrant
officer, or enlisted member of the Coast Guard or Coast Guard Reserve
(including a cadet or an applicant for appointment or enlistment of any
of the foregoing, and any member of a uniformed service who is assigned
to the Coast Guard); and the head of a Federal department or agency
that issues motor vehicle operator's licenses regarding an applicant
for a motor vehicle operator's license from such department or agency.
As a result of this change, these Federal departments and agencies
have a choice between continuing to request NDR information through
State driver licensing officials or, alternatively, requesting the NDR
information themselves, directly from the NDR.
This final rule incorporates this change into the NDR implementing
regulations. The change is expected to reduce administrative burdens on
both these Federal entities and the participating States with respect
to requests for and the receipt of NDR information.
Suspensions or Revocations Still in Effect
Prior to the enactment of TEA-21, the Act provided that employers
or prospective employers of motor vehicle operators could not receive
NDR information that was entered into the Register more than three
years before the date of the request. Other requesters, such as the
Commandant of the U.S. Coast Guard, were subject to the same
restraints, except that these entities could receive NDR information
received more than three years prior to the date of the request if the
information concerned a suspension or revocation still in effect on the
date of the request.
TEA-21 amended the Act to apply this exception to employers and
prospective employers of motor vehicle operators. This final rule
effects this change to the NDR implementing regulations.
Other Changes
This final rule also amends the NDR regulations with non-
substantive changes designed to simplify the regulations, reduce
redundancies, and make the regulations easier to follow.
Regulatory Analyses and Notice
Executive Order 12778 (Civil Justice Reform)
This final rule will not have any preemptive or retroactive effect.
The enabling legislation does not establish a procedure for judicial
review of final rules promulgated under its provisions. There is no
requirement that individuals submit a petition for reconsideration or
other administrative proceedings before they may file suit in court.
Executive Order 12866 (Regulatory Planning and Review) and DOT
Regulatory Policies and Procedures
The agency has determined that this action is not a significant
regulatory action within the meaning of Executive Order 12866 or
Department of Transportation Regulatory Policies and Procedures. The
changes in this interim final rule merely reflect amendments contained
in Public Law 104-324. Accordingly, a full regulatory evaluation is not
required.
Regulatory Flexibility Act
In compliance with the Regulatory Flexibility Act (Public Law 96-
354, 5 U.S.C. 601-612), the agency has evaluated the effects of this
action on small entities. Based on the evaluation, we certify that this
action will not have a significant impact on a substantial number of
small entities. Accordingly, the preparation of a Regulatory
Flexibility Analysis is unnecessary.
Paperwork Reduction Act
There are reporting requirements contained in the regulation that
this rule is amending that are considered to be ``collection of
information'' requirements, as defined by the Office of Management and
Budget (OMB) in 5 CFR Part 1320. Accordingly, these requirements have
been submitted previously to and approved by OMB, pursuant to the
requirements of the Paperwork Reduction Act (44 U.S.C. 3501, et seq.).
These requirements have been approved through September 30, 2000, under
OMB No. 2127-0001.
National Environmental Policy Act
The agency has analyzed this action for the purpose of the National
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and has
determined that it will not have any significant impact on the quality
of the human environment.
Executive Order 12612 (Federalism Assessment)
This action has been analyzed in accordance with the principles and
criteria contained in Executive Order 12612, and it has been determined
that this action does not have sufficient federalism implications to
warrant the preparation of a federalism assessment.
List of Subjects in 23 CFR Part 1327
Highway safety, Intergovernmental relations, National Driver
Register, Reporting and recordkeeping requirements, Transportation
safety.
In consideration of the foregoing, the interim final rule published
in the Federal Register of December 2, 1997, 62 CFR 63655, amending 23
CFR Part 1327, is adopted as final, with the following changes:
PART 1327--PROCEDURES FOR PARTICIPATING IN AND RECEIVING
INFORMATION FROM THE NATIONAL DRIVER REGISTER PROBLEM DRIVER
POINTER SYSTEM
1. The authority citation for part 1327 continues to read as
follows:
Authority: Pub. L. 97-364, 96 Stat. 1740, as amended (49 U.S.C.
30301 et seq.); delegation of authority at 49 CFR 1.50.
Sec. 1327.5 [Amended]
2. Amend Sec. 1327.5 as follows:
a. Paragraph (a)(1)(ii) is amended by revising ``ii)'' to read
``(ii)'';
b. Paragraph (c)(2) introductory text is amended by adding a
sentence at the end to read as set forth below; and
c. Redesignating paragraph (c)(3) as paragraph (c)(4) and by adding
a new paragraph (c)(3) to read as follows:
Sec. 1327.5 Conditions for becoming a participating State.
* * * * *
(c) * * *
(2) * * * Information may not be obtained from the National Driver
Register under this paragraph (c) if the information was entered in the
Register more than three years before the date of the request unless
the information is about a revocation or suspension still in effect on
the date of the request.
* * * * *
(3) The head of a Federal department or agency that issues motor
vehicle operator's licenses about an individual applicant for a motor
vehicle operator's license from such department or agency. The head of
the department or agency may request NDR information through the chief
driver licensing official of a State and may receive the information,
provided the requesting Federal department or agency participates in
the NDR as a reporting agency.
[[Page 19272]]
(i) A reporting agency is an agency that transmits to the NDR a
report regarding any individual who has been denied a motor vehicle
operator's license for cause; whose motor vehicle operator's license is
revoked, suspended, or canceled by that department or agency for cause;
or about whom the department or agency has been notified of a
conviction of any of the motor vehicle related offenses listed in
paragraph (a)(1)(iii) of this section and Appendix A to this part and
over whom the department or agency has licensing authority.
(ii) All reports transmitted by a reporting agency shall contain
the following data:
(A) The legal name, date of birth (including day, month, and year),
sex, and, if available to the agency, height, weight, and eye color;
(B) The name of the agency transmitting such information; and
(C) The social security account number, if used by the reporting
agency for driver record or motor vehicle license purposes, and the
motor vehicle operator's license number of such individual (if that
number is different from the operator's social security account
number); except that
(D) Any report concerning an occurrence identified in paragraph
(c)(3)(i) of this section which occurs during the two-year period
preceding the date on which the agency becomes a participating agency
shall be sufficient if it contains all such information as is available
to the agency on such date.
* * * * *
3. Section 1327.6 is amended by redesignating paragraphs (g) and
(h) as paragraphs (h) and (i), by revising paragraphs (a) through (f),
and by adding a new paragraph (g) to read as follows:
Sec. 1327.6 Conditions and procedures for other authorized users of
the NDR.
(a) NTSB and FHWA. To initiate an NDR file check before a fully
electronic Register system has been established, the National
Transportation Safety Board or the Federal Highway Administration
(Office of Motor Carriers) shall submit a request for such check to the
State with which previous arrangements have been made, in accordance
with procedures established by that State for this purpose. To initiate
an NDR file check once a fully electronic Register system has been
established, the NTSB or FHWA shall submit a request for such check to
the participating State with which previous arrangements have been
made, in accordance with procedures established by that State for this
purpose. The NTSB or FHWA may also submit a request for an NDR file
check to the NDR directly.
(b) Federal departments or agencies that issue motor vehicle
operator's licenses. To initiate an NDR file check, a Federal
department or agency that issues motor vehicle operator's licenses
shall submit a request for such check to a participating State, in
accordance with procedures established by that State for this purpose.
The Federal department or agency that issues motor vehicle operator's
licenses may also submit a request for an NDR file check to the NDR
directly, in accordance with procedures established by the NDR for that
purpose.
(c) Employers or prospective employers of motor vehicle operators
(including Federal Agencies). (1) To initiate an NDR file check, the
individual who is employed or seeking employment as a motor vehicle
operator shall follow the procedures specified in Sec. 1327.7.
(2) Upon receipt of the NDR response, the employer/prospective
employer shall make the information available to the employee/
prospective employee.
(3) In the case of a match (probable identification), the employer/
prospective employer should obtain the substantive data relating to the
record from the State of Record and verify that the person named on the
probable identification is in fact the employee/prospective employee
before using the information as the basis for any action against the
individual.
(d) Federal Aviation Administration. (1) To initiate an NDR file
check, the individual who has applied for or received an airman's
certificate shall follow the procedures specified in Sec. 1327.7.
(2) Upon receipt of the NDR response, the FAA shall make the
information available to the airman for review and written comment.
(3) In the case of a match (probable identification), the FAA
should obtain the substantive data relating to the record from the
State of Record and verify that the person named on the probable
identification is in fact the airman concerned before using the
information as the basis of any action against the individual.
(e) Federal Railroad Administration and/or employers or prospective
employers of railroad locomotive operators. (1) To initiate an NDR file
check, the individual employed or seeking employment as a locomotive
operator shall follow the procedures specified in Sec. 1327.7.
(2) Upon receipt of the NDR response, the FRA or the employer/
prospective employer, as applicable, shall make the information
available to the individual.
(3) In the case of a match (probable identification), the FRA or
the employer/prospective employer, as applicable, should obtain the
substantive data relating to the record from the State of Record and
verify that the person named on the probable identification is in fact
the individual concerned before using the information as the basis of
any action against the individual.
(f) U.S. Coast Guard. (1) To initiate an NDR file check, the
individual who holds or who has applied for a license, certificate of
registry, or a merchant mariner's document or the officer, chief
warrant officer, or enlisted member of the Coast Guard or Coast Guard
Reserve shall follow the procedures specified in Sec. 1327.7.
(2) Upon receipt of the NDR response, the U.S. Coast Guard shall
make the information available to the individual for review and written
comment before denying, suspending or revoking the license, certificate
of registry, or merchant mariner's document of the individual based on
that information and before using that information in any action taken
under chapter 77 of title 46, U.S. Code.
(3) In the case of a match (probable identification), the U.S.
Coast Guard should obtain the substantive data relating to the record
from the State of Record and verify that the person named on the
probable identification is in fact the individual concerned before
using the information as the basis of any action against the
individual.
(g) Air carriers. (1) To initiate an NDR file check, the individual
seeking employment as a pilot with an air carrier shall follow the
procedures specified in Sec. 1327.7 and also must specifically state
that, pursuant to Section 502 of the Pilot Records Improvement Act of
1996, Public Law 104-264, 110 Stat. 3259 (49 U.S.C. 30305), the request
(or written consent) serves as notice of a request for NDR information
concerning the individual's motor vehicle driving record and of the
individual's right to receive a copy of such information.
(2) Air carriers that maintain, or request and receive NDR
information about an individual must provide the individual a
reasonable opportunity to submit written comments to correct any
inaccuracies contained in the records before making a final hiring
decision with respect to the individual.
(3) In the case of a match (probable identification), the air
carrier should obtain the substantive data relating to the record from
the State of Record and
[[Page 19273]]
verify that the person named on the probable identification is in fact
the individual concerned before using the information as the basis of
any action against the individual.
* * * * *
4. Add a new section, 1327.7, to read as follows:
Sec. 1327.7 Procedures for NDR information requests.
(a) To initiate an NDR file check, an individual who is employed or
seeking employment as a motor vehicle operator; who has applied for or
received an airman's certificate; who is employed or seeking employment
as a locomotive operator; who holds or has applied for a license,
certificate of registry, or a merchant mariner's document or is an
officer, chief warrant officer, or enlisted member of the U.S. Coast
Guard or Coast Guard Reserve; or who is seeking employment as a pilot
with an air carrier; shall either:
(1) Complete, sign and submit a request for an NDR file check
directly to the chief driver licensing official of a participating
State in accordance with procedures established by that State for this
purpose; or
(2) Authorize, by completing and signing a written consent, the
authorized NDR user to request a file check through the chief driver
licensing official of a participating State in accordance with the
procedures established by that State for this purpose.
(b) If the authorized NDR user is an employer or prospective
employer of a motor vehicle operator, the request for an NDR file check
must be submitted through the chief driver licensing official of the
State in which the individual is licensed to operate a motor vehicle.
(c) If the authorized NDR user is the head of a Federal department
or agency, the request for an NDR file check may be submitted instead
directly to the NDR in accordance with procedures established by the
NDR for this purpose.
(d) The request for an NDR file check or the written consent,
whichever is used, must:
(1) State that the NDR records are to be released;
(2) State as specifically as possible who is authorized to receive
the records;
(3) Be signed and dated by the individual (or the individual's
legal representative as appropriate);
(4) Specifically state that the authorization is valid for only one
search of the NDR; and
(5) Specifically state that the NDR identifies probable matches
that require further inquiry for verification; that it is recommended,
but not required, that the employer/prospective employer verify matches
with the State of Record; and that individuals have the right to
request records regarding themselves from the NDR to verify their
accuracy.
Issued on: April 13, 1999.
Ricardo Martinez,
Administrator, National Highway Traffic Safety Administration.
[FR Doc. 99-9653 Filed 4-19-99; 8:45 am]
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