Document ID: FMCSA-2009-0372-0001
Agency: fmcsa
Document Type: Rule
Title: Office of the Secretary; Privacy Act of 1974: System of Records
Posted Date: 2009-12-15T05:00Z

[Federal Register: December 15, 2009 (Volume 74, Number 239)]
[Notices]               
[Page 66391-66394]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr15de09-107]                         

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

 
Office of the Secretary; Privacy Act of 1974: System of Records

AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.

ACTION: Notice to modify a system of records.

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SUMMARY: DOT proposes to modify a system of records under the Privacy 
Act of 1974. The system is FMCSA's Motor Carrier Management Information 
System (MCMIS), which is updated to include new processes and 
extractions of sensitive data to implement a change that alters the 
purpose for which the information is used and an addition of a routine 
use. This system would not duplicate any other DOT system of records.

DATES: Effective Date: This notice will be effective, without further 
notice, on January 25, 2010, unless modified by a subsequent notice to 
incorporate comments received by the public. Comments must be received 
by January 14, 2010 to be assured consideration.

[[Page 66392]]

ADDRESSES: Send comments to Habib Azarsina, Departmental Privacy 
Officer, S-80, United States Department of Transportation, Office of 
the Secretary of Transportation, 1200 New Jersey Avenue, SE., 
Washington DC 20590 or habib.azarsina@dot.gov.

FOR FURTHER INFORMATION CONTACT: Habib Azarsina, Departmental Privacy 
Officer, S-80, United States Department of Transportation, Office of 
the Secretary of Transportation, 1200 New Jersey Avenue, SE., 
Washington, DC 20590; telephone 202.366.1965, or 
habib.azarsina@dot.gov.

SUPPLEMENTARY INFORMATION: The DOT system of records notice subject to 
the Privacy Act of 1974 (5 U.S.C. 552a), as amended, as proposed to be 
modified, is available from the above mentioned address and appears 
below:
DOT/FMCSA 001

SYSTEM NAME:
    Motor Carrier Management Information System (MCMIS).

SECURITY CLASSIFICATION:
    Unclassified, Sensitive.

SYSTEM LOCATION:
    Volpe National Transportation Systems Center, U.S. Department of 
Transportation, 55 Broadway, Cambridge, MA 02142.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM OF RECORDS:
    1. Individuals who are the sole proprietor/driver (owner/operator) 
of a motor carrier or hazardous material shipper subject to Federal 
Motor Carrier Safety Regulations.
    2. Drivers of commercial motor vehicles who:
     Were involved in a recordable crash;
     Were the subject of a roadside driver/vehicle inspection; 
or
     Are the subjects of an investigatory action.

CATEGORIES OF RECORDS IN MCMIS:
    MCMIS stores the following types of information:
     Census Files--These files contain the USDOT number, 
carrier identification, carrier address, type and size of operation, 
commodities carried, and other characteristics of the operation for 
interstate (and some intrastate) motor carriers, intermodal equipment 
providers, cargo tank facilities, and shippers. They include motor 
carrier PII consisting of social security numbers (SSN) and employee 
identification numbers (EIN).
     Investigatory Files--These files contain results of safety 
audits, compliance review investigations, and enforcement actions 
conducted by Federal, State, and local law enforcement agencies. They 
include driver and co-driver PII consisting of SSN and EIN.
     Driver/Vehicle Safety Violations and Inspection Data--This 
data is collected during roadside inspections of drivers and vehicles 
and includes driver and co-driver PII consisting of names, dates of 
birth, vehicle license plate numbers, and State driver's license 
numbers.
     Crash Data--This data is collected from State and local 
police crash reports and includes driver and co-driver PII consisting 
of names, dates of birth, vehicle license plate numbers, and State 
driver's license numbers.

MCMIS SHARES PII WITH THE FOLLOWING FMCSA SYSTEMS OR SYSTEM COMPONENTS:
     Driver Information Resource (DIR)--The DIR creates a 
driver profile using MCMIS crash data from the past five years and 
inspection data from the past three years. This profile shows PII data 
for the driver regardless of the employing carrier. The DIR also 
includes driver/vehicle safety violations and inspection data per the 
PSP description below. Access is restricted to FMCSA staff, FMCSA 
contractors and Motor Carrier Safety Assistance Program (MCSAP) State 
lead agencies.
     Pre-Employment Screening System (PSP)--The specific 
objectives of the PSP are aligned with the requirements of 49 U.S.C. 
31150. The PSP will provide driver crash and inspection records from 
the DIR to requesting motor carriers that have a driver's consent. The 
PSP also allows a sole proprietor (owner/operator) to review his/her 
own driver-related data in the DIR.
     Driver Safety Measurement System (DSMS)--FMCSA utilizes 
MCMIS data in the DSMS to support the Comprehensive Safety Analysis 
2010 (CSA 2010) initiative and its operational model test. The DSMS 
uses driver/vehicle safety violations and inspection data and crash 
data to evaluate the safety performance of Commercial Motor Vehicle 
(CMV) drivers in seven categories. Access is restricted to FMCSA 
enforcement personnel, FMCSA Headquarters (HQ) staff and MCSAP State 
lead agencies.
     Carrier Safety Measurement System (CSMS)--FMCSA utilizes 
MCMIS data in the CSMS to support the CSA 2010 initiative and its 
operational model test. The CSMS uses driver/vehicle safety violations 
and inspection data and crash data to evaluate the safety of motor 
carriers. Access is restricted to FMCSA enforcement, Federal and local 
law enforcement personnel, FMCSA HQ staff, MCSAP State lead agencies 
and law enforcement agencies that are FMCSA grantees. The objective of 
CSMS is to provide an assessment of a carrier's regulatory compliance 
and safety performance.
     Safety Fitness Electronic Records (SAFER)--The SAFER Web 
site receives MCMIS driver/vehicle safety violations and inspection 
data and census data on a daily basis for report generation. Although 
SAFER receives driver-related PII from MCMIS, SAFER reports for the 
public users and enforcement officers contain no PII. The driver-
related PII from MCMIS is included on the Company Safety Profile 
reports that are requested by commercial motor carriers for their 
company.
     Enforcement Management Information System (EMIS)--The EMIS 
is a Web-based application https://emis.fmcsa.dot.gov/ used to monitor, 
track, and store information related to FMCSA enforcement actions. It 
manages and tracks all enforcement actions associated with notifying 
the carrier, monitoring the carrier's response, determining whether 
further compliance action is required, and generating reports for 
various FMCSA Headquarters, FMCSA Service Center, and FMCSA Division 
staff. It is the authoritative source for FMCSA enforcement data. EMIS 
imports census files, investigatory files, driver/vehicle safety 
violations and inspection data, and crash data from MCMIS for the 
purpose of automatically initiating UNFIT/UNSATISFACTORY cases within 
EMIS resulting from Safety Rating letters generated by MCMIS.
     Analysis & information (A&I) Online--The A&I is a Web-
based tool designed to provide quick and efficient access to 
descriptive statistics and analyses regarding commercial vehicle, 
driver, and carrier safety information. It is used by Federal, State 
and local law enforcement personnel, the motor carrier industry, 
insurance companies, and the general public. A&I imports census files, 
investigatory files, driver/vehicle safety violations and inspection 
data, and crash data from MCMIS for the purpose of processing a monthly 
data snapshot of the MCMIS database.
     ProVu--ProVu is a viewer that allows Federal and State 
enforcement personnel and the motor carrier industry to electronically 
view standard motor carrier safety profile reports available from the 
FMCSA. ProVu imports driver/vehicle safety violations and inspection 
data and crash data in a standard report exported from MCMIS

[[Page 66393]]

for the purpose of generating Company Safety Profile reports.
     Compliance Analysis and Performance Review Information 
(CAPRI)--CAPRI is used by Federal and State enforcement personnel when 
conducting compliance reviews and safety audits, specialized cargo tank 
facility reviews, and hazardous material (HM) shipper reviews. CAPRI 
includes worksheets for collecting census files, investigatory files, 
driver/vehicle safety violations and inspection data, and crash data 
from MCMIS to track (1) hours of service, (2) driver qualifications, 
and (3) drug and alcohol compliance. It also creates the preliminary 
carrier safety fitness rating and various reports for motor carriers.
     McQuery--The MCMIS database is copied into McQuery, 
creating an exact image of the MCMIS database. The data in McQuery is 
used for responding to Freedom of Information Act (FOIA) requests and 
other requests for public information, generating special data requests 
for FMCSA, and supporting the operations of FMCSA.
     GOTHAM--GOTHAM is an internal FMCSA analysis system that 
utilizes selected extracts of MCMIS data and is only accessible through 
the DOT/FMCSA Intranet. GOTHAM imports census files, investigatory 
files, driver/vehicle safety violations and inspection data, and crash 
data from MCMIS for the purpose of delivering standard reports via the 
Intranet.

MCMIS SHARES NON-PII WITH THE FOLLOWING FMCSA SYSTEMS OR SYSTEM 
COMPONENTS:
     Query Central (QC)--QC is a secure Web application that 
provides Federal and State safety enforcement personnel with a single 
location where they can enter one query and obtain targeted safety data 
on commercial motor vehicle (CMV) carriers, vehicles, and drivers from 
multiple sources in FMCSA and Customs and Border Patrol. QC does not 
maintain a database of its own, but instead pulls data from the 
authoritative sources in real-time. QC utilizes MCMIS to verify carrier 
information. However, QC does not import or use privacy-related 
information on drivers from MCMIS.
     Licensing and Insurance System (L&I)--The L&I system is 
used to enter and display licensing and insurance information regarding 
authorized for-hire motor carriers, freight forwarders, and property 
brokers. It is the authoritative source for FMCSA licensing and 
insurance data. L&I is part of the registration process. L&I imports 
information from MCMIS as follows:

    --Data about carriers that received unsatisfactory ratings;
    --Data about Out-of-Service carriers; and
    --USDOT numbers for synchronization with docket numbers.

     Hazmat Registration (HMReg)--HMReg exports data from MCMIS 
to the Pipeline and Hazardous Materials Safety Administration (PHMSA) 
database server in response to HAZMAT registration data requests.

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    49 U.S.C. 502, 504, 506, 508, Chapter 139, 49 CFR 1.73, and 
Executive Order 9397.

PURPOSE(S):
    To provide a central collection point for records on some 
intrastate motor carriers, interstate motor carriers, and hazardous 
material shippers in order to facilitate the analysis of the safety-
related data required to administer and manage the agency's programs.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF USE:
     Information may be shared with Federal, State, local, and 
foreign government agencies for the purposes of enforcing motor carrier 
and Hazardous Materials shipper safety.
     Information may be accessed by Federal contractors 
involved in the system support and maintenance of MCMIS.
     Information may be shared with State lead agencies and 
other law enforcement grantees under the FMCSA Motor Carrier Safety 
Grant Program and Border Enforcement Grant program, which is a Federal 
grant program that provides financial assistance to States for the 
reduction in the frequency and severity of CMV crashes and hazardous 
materials incidents.
     Information may be shared with Federal, State, and local 
law enforcement programs to safeguard against and respond to the breach 
of personally identifiable information.
     In addition to those disclosures permitted under 5 U.S.C. 
552a(b) of the Privacy Act, additional disclosures may be made in 
accordance with the DOT Prefatory Statement of General Routine Uses 
published at 65 FR 19476 (April 11, 2000).

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS:
     Storage--MCMIS records are stored in an automated system 
operated and maintained at the Volpe National Transportation Systems 
Center (Volpe Center) in Cambridge, MA.
     Retrievability--Electronic records are retrieved through 
automated searches on key words or identifying information (e.g., name, 
Social Security Number, Employer Identification Number, company name, 
trade name, and geographical location).
     Accessibility (Including Safeguards)--MCMIS access is 
managed by the Volpe Center. This facility has its own approved System 
Security Plan that requires the system to be maintained in a secure 
computer room with access restricted to authorized personnel. Access to 
the building is limited and requires users to provide a valid account 
name and password. MCMIS contains a usage tracking system for other 
authorized users. MCMIS requires users to change access control 
identifiers at periodic intervals.
     FMCSA operates MCMIS in accordance with the E-Government 
Act (Pub. L. 107-347), the Federal Information Security Management Act 
(FISMA) of 2002, and other required policies, procedures, practices, 
and security controls for implementing the Automated Information System 
Security Program. Only authorized Federal and State government 
personnel and contractors conducting system support or maintenance may 
access MCMIS records. Access to records is password protected, and the 
scope of access for each password is limited to the official need of 
each individual who is authorized access. The motor carriers have 
access to their registration information in MCMIS. Additional 
protection is afforded by the use of password security, data 
encryption, and a secure network.
     Retention and Disposal--The master files are logged and 
backed up. The master tape is retained in a secure offsite storage 
facility and then destroyed in accordance with applicable NARA 
retention schedule NI-557-05-07 item 5.

SYSTEM MANAGER CONTACT INFORMATION:
    Heshmat Ansari, Ph.D.; Division Chief, IT Development Division; 
Office of Information Technology; Federal Motor Carrier Safety 
Administration; U.S. Department of Transportation; 1200 New Jersey 
Avenue SE.; W68-330; Washington, DC 20590.

NOTIFICATION PROCEDURE:
    Individuals wishing to know if their records appear in this system 
may make a request in writing to the System Manager. The request must 
include the requester's name, mailing address, telephone number and/or 
e-mail

[[Page 66394]]

address, a description and the location of the records requested, and 
verification of identity (such as, a statement under penalty of perjury 
that the requester is the individual who he or she claims to be).

RECORD ACCESS PROCEDURES:
    Individuals seeking to access their information in this system 
should apply to the System Manager by following the same procedure as 
indicated under ``Notification Procedure.''

CONTESTING RECORD PROCEDURES:
    Individuals seeking to contest their information in this system 
should apply to the System Manager by following the same procedure as 
indicated under ``Notification Procedure.''

RECORD SOURCE CATEGORIES:
    Driver information is obtained from roadside driver/vehicle 
inspections and crash reports submitted by State and local law 
enforcement agencies and from investigations performed by State and 
Federal investigators. State officials and FMCSA field offices forward 
safety information to MCMIS soon after it has been compiled and 
processed locally.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Pursuant to subsection (k)(2) of the Privacy Act (5 USC 552a), 
portions of this system are exempt from the requirements of subsections 
(c)(3), (d), (e)(4)(G)-(I) and (f) of the Act, for the reasons stated 
in DOT's Privacy Act regulation (49 CFR Part 10, Appendix, Part II, at 
A.8.

    Dated: December 8, 2009.
Habib Azarsina,
Departmental Privacy Officer.
[FR Doc. E9-29770 Filed 12-14-09; 8:45 am]

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