Document ID: DOT-OST-2019-0137-0001
Agency: dot
Document Type: Notice
Title: Privacy Act; Systems of Records
Posted Date: 2019-10-30T04:00Z

[Federal Register Volume 84, Number 204 (Tuesday, October 22, 2019)]
[Notices]
[Pages 56521-56526]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2019-22915]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

[Docket No. DOT-OST-2019-0137]

Privacy Act of 1974; Department of Transportation, Federal Motor 
Carrier Safety Administration; DOT/FMCSA 010 Drug and Alcohol 
Clearinghouse

AGENCY: Federal Motor Carrier Safety Administration, Department of 
Transportation.

ACTION: Notice of a new system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Transportation (DOT), Federal Motor Carrier Safety Administration 
(FMCSA) proposes a new system of records titled ``Drug and Alcohol 
Clearinghouse (Clearinghouse)''. This system of records allows FMCSA to 
collect and maintain records on commercial driver's license (CDL) and 
commercial learner's permit (CLP) holders who have received verified 
positive DOT drug or alcohol test results, refuse such testing, or 
otherwise violate FMCSA's drug and alcohol use prohibitions. The 
Clearinghouse will collect and maintain records on the completion of 
substance abuse programs as part of the return-to-duty process and will 
collect and maintain drivers' consent to the release of information. In 
addition, the Clearinghouse will collect and maintain records of 
queries of the system conducted by employers or service agents acting 
on their behalf, and State Driver Licensing Agencies (SDLAs). The 
information in this system will be used to enhance compliance with drug 
and alcohol use testing regulations by identifying CDL or CLP holders 
who have committed drug and alcohol violations that render them 
ineligible to operate a commercial motor vehicle (CMV). This new system 
will be included in the DOT inventory of record systems.

DATES: Written comments must be submitted on or before November 21, 
2019. The system will be effective November 21, 2019. Routine Uses will 
be effective at that time.

ADDRESSES: You may submit comments, identified by docket number DOT-
OST-2019-0137 by one of the following methods:
    Federal e-Rulemaking Portal: https://www.regulations.gov.
    Fax: (202) 366-XXXX.
    Mail: Department of Transportation Docket Management, Room W12-140, 
1200 New Jersey Ave. SE, Washington, DC 20590.
    Instructions: All submissions received must include the agency name 
and docket number DOT-OST-2019-0137. All comments received will be 
posted without change to https://www.regulations.gov, and may include 
any personal information provided. In order to facilitate comment 
tracking and response, we encourage commenters to provide their name, 
or the name of their organization; however, submission of names is 
completely optional. Whether or not commenters identify themselves, all 
timely comments will be fully considered. If you wish to provide 
comments containing proprietary or confidential information, please 
contact the agency for alternate submission instructions.
    Docket: For access to the docket to read background documents or 
comments received, go to https://www.regulations.gov. Follow the online 
instructions for accessing.

FOR FURTHER INFORMATION CONTACT: For system-related questions please 
contact Chief, Compliance Division, Office of Enforcement and 
Compliance, Federal Motor Carrier Safety Administration, Email: 
clearinghouse@dot.gov, Tel. (202) 366-1812. For privacy questions, 
please contact: Claire W. Barrett, Departmental Chief Privacy Officer, 
Department of Transportation, S-81, Washington, DC 20590, Email: 
privacy@dot.gov, Tel. (202) 366-8135.

SUPPLEMENTARY INFORMATION:

Background

    In accordance with the Privacy Act of 1974, FMCSA is proposing a 
new system of records titled ``Drug and Alcohol Clearinghouse''. This 
system will collect information related to violations of the Agency's 
drug and alcohol testing program regulations committed by holders of 
commercial driver's licenses (CDL) or commercial learner's permits 
(CLP).
    On December 5, 2016, FMCSA published a final rule titled, 
``Commercial Driver's License Drug and Alcohol Clearinghouse'' (81 FR 
87686). The rule amended the Federal Motor Carrier Safety Regulations 
(FMCSRs) to

[[Page 56522]]

establish requirements for the CDL Drug and Alcohol Clearinghouse 
(Clearinghouse), a database under the Agency's administration that will 
contain information about violations of FMCSA's drug and alcohol 
testing program for CDL or CLP holders. This rule was mandated by the 
Moving Ahead for Progress in the 21st Century Act (MAP-21) (Pub. L. 
112-141, 126 Stat. 405, codified at 49 U.S.C. 31306a). The 
Clearinghouse will enhance compliance with drug and alcohol use and 
testing regulations by identifying CDL or CLP holders who have 
committed drug and alcohol violations that render them ineligible to 
operate a commercial motor vehicle (CMV).
    The Clearinghouse is a tool that FMCSA, employers, and prospective 
employers will use to identify drivers who are prohibited from 
operating a CMV, based on DOT drug and alcohol program violations, and 
ensure that such drivers receive the required substance abuse 
evaluation and treatment before operating a CMV on public roads. 
Specifically, the drug and alcohol program violation information 
maintained in the Clearinghouse will enable employers to identify 
drivers who commit a drug or alcohol program violation while working 
for another employer, but who subsequently fail to inform a potential 
or new employer, as is required by current regulations.
    Employers, or their designated service agents (Consortia/Third-
Party Administrator (C/TPA)) are required to query the Clearinghouse 
using the name of the driver to search for any drug and alcohol program 
violations before hiring a prospective driver, and at least annually 
for all currently employed drivers. Queries of the Clearinghouse fall 
into one of two categories: Limited or full. Both limited and full 
queries require a driver's consent before any information can be 
released about that driver. A limited query of the Clearinghouse will 
inform the employer or C/TPA whether or not any violation related 
information about the driver exists; however, a limited query does not 
result in the release of any detailed violation information. To view 
detailed violation information contained in the Clearinghouse, the 
employer or C/TPA must perform a full query. Once a driver's specific 
consent is obtained, a full query will return the following information 
about the driver:

 Driver details, including name, date of birth, contact 
information, CLP/CLD information, and eligibility status
 Information about the driver's employer who ordered the test 
or reported a violation to the Clearinghouse
 Test details, including the type of test, violation details, 
and test result
 Information about who entered the test result
 Return-to-duty (RTD) activity information

    When an employer queries the driver as a pre-employment check, a 
full query must be conducted. In accordance with 382.701(c), if 
additional information is entered on the driver within 30 days of the 
pre-employment query, the Clearinghouse will send an electronic 
notification to the employer or C/TPA indicating additional information 
has been added to a previously queried record. The employer must login 
to the Clearinghouse and obtain specific consent from the driver before 
the details of this newly reported information will be disclosed. An 
annual query may be conducted as either a limited query or a full 
query.
    A limited query requires a driver's general consent, which may be 
effective for an indefinite period (e.g., the duration of employment) 
and for an unlimited number of queries. The scope of general consent is 
decided between the employer and the driver; employers must retain 
general consent documentation for three years. Once the employer 
obtains general consent, the employer will log into the Clearinghouse, 
select limited query, enter the driver's information, and submit the 
query. The Clearinghouse will return a message to the employer 
indicating whether the Clearinghouse contains drug or alcohol 
violation-related information on the queried driver. If the limited 
query indicates that the Clearinghouse contains information on the 
driver, the employer or C/TPA must conduct a full query.
    When conducting a full query, the employer or C/TPA must obtain 
specific consent from the driver by logging into the Clearinghouse and 
requesting that the driver provide consent to release full query 
results. When an employer requests a full query, the driver will 
receive notification of the request for specific consent via the 
preferred contact method indicated in their Clearinghouse account, such 
as email or U.S. mail. To grant or decline specific consent, the driver 
must register in the Clearinghouse to establish an account. Once logged 
in, the driver will be able to either grant or decline consent to the 
requesting employer. If the driver provides consent, the employer will 
receive notification of the consent via email. The employer will log 
into their account to view the detailed information for the queried 
driver.
    In accordance with the Clearinghouse final rule, if an employer is 
unable to obtain either general consent from a driver for a limited 
query, or specific consent for a full query, the employer must remove 
the driver from performing safety-sensitive functions, as described 
above.
    In addition to the general routine uses applicable to all DOT 
systems of records, FMCSA is proposing three new system-specific 
Routine Uses to support enforcement of drug and alcohol use and testing 
regulations and to implement statutory requirements pertaining to 
States and the National Transportation Safety Board.
    The first proposed Routine Use would allow the sharing of driver 
eligibility and compliance data with Motor Carrier Safety Assistance 
Program (MCSAP) partner agencies, for use during investigations, 
roadside inspections and compliance reviews of motor carriers. The 
MCSAP is a Federal grant program providing financial assistance to 
States to reduce the number and severity of crashes involving CMVs. 
MCSAP personnel act on the Agency's behalf to enforce the FMCSRs. This 
routine use will strengthen the enforcement of the current prohibition 
against operating a CMV, or performing other safety-sensitive 
functions, due to drug and alcohol program violations, as well as other 
drug and alcohol program requirements. The second proposed Routine Use 
would allow the sharing of a driver's CMV operating status (prohibited 
or not prohibited) in response to mandatory queries conducted by a 
State Driver's Licensing Agency (SDLA) anytime a CDL is issued, 
renewed, transferred or upgraded. This routine use will allow SDLAs to 
verify a driver's eligibility to operate a CMV prior to completing 
licensing transactions (as mandated by 49 U.S.C. 31311(a)(24); 
31306a(h)(2)). The third proposed Routine Use would allow the National 
Transportation Safety Board (NTSB), upon request, to receive 
information on a driver who is involved in a crash under investigation 
by the NTSB (as mandated by 49 U.S.C. 31306a(i)). These proposed 
Routine Uses allow MCSAP partners, SDLAs, and NTSB to identify CDL or 
CLP holders who have committed drug and alcohol violations that render 
them ineligible to operate a commercial motor vehicle (CMV). They are 
compatible with the purpose for which the information was collected, 
directly furthering the goals of 49 U.S.C. 31306a, to improve roadway 
safety and enhance

[[Page 56523]]

compliance with drug and alcohol use testing regulations.
    FMCSA has also included DOT General Routine Uses, to the extent 
they are compatible with the purposes of this System. As recognized by 
the Office of Management and Budget (OMB) in its Privacy Act 
Implementation Guidance and Responsibilities (65 FR 19746, July 9, 
1975), the routine uses include proper and necessary uses of 
information in the system, even if such uses occur infrequently. FMCSA 
has included in this notice routine uses for disclosures to law 
enforcement when the record, on its face, indicates a violation of law, 
to DOJ for litigation purposes, or when necessary in investigating or 
responding to a breach of this system or other agencies' systems. DOT 
may disclose to Federal, State, local, or foreign agency information 
relevant to law enforcement, litigation, and proceedings before any 
court or adjudicative or administrative body. OMB has long recognized 
that these types of routine uses are ``proper and necessary'' uses of 
information and qualify as compatible with agency systems. 65 FR 19476. 
In addition, by OMB Memorandum M-17-12, OMB directed agencies to 
include routine uses that will permit sharing of information when 
needed to investigate, respond to, and mitigate a breach of a Federal 
information system. DOT also has included routine uses that permit 
sharing with the National Archives and Records Administration when 
necessary for an inspection, to any Federal government agency engaged 
in audit or oversight related to this system, or when DOT determines 
that the disclosure will detect, prevent, or mitigate terrorism 
activity. These types of disclosures are necessary and proper uses of 
information in this system because they further DOT's obligation to 
fulfil its records management and program management responsibilities 
by facilitating accountability to agencies charged with oversight in 
these areas, and DOT's obligation under Intelligence Reform and 
Terrorism Prevention Act of 2004, Public Law 108-456, and Executive 
Order 13388 (Oct. 25, 2005) to share information necessary and relevant 
to detect, prevent, disrupt, preempt, or mitigate the effects of 
terrorist activities against the territory, people, and interests of 
the United States.

Privacy Act

    The Privacy Act governs the means by which the Federal Government 
agencies collect, maintain, use, and disseminate individuals' records. 
The Privacy Act applies to information that is maintained in a ``system 
of records.'' A ``system of records'' is a group of any records under 
the control of an agency from which information is retrieved by the 
name of an individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual. The Privacy Act 
extends rights and protections to individuals who are U.S. citizens and 
lawful permanent residents. Additionally, the Judicial Redress Act 
(JRA) provides a covered person with a statutory right to make requests 
for access and amendment to covered records, as defined by the JRA, 
along with judicial review for denials of such requests. In addition, 
the JRA prohibits disclosures of covered records, except as otherwise 
permitted by the Privacy Act.
    Below is the description of the Clearinghouse System of Records. In 
accordance with 5 U.S.C. 552a(r), DOT has provided a report of this 
system of records to the OMB and to Congress.
SYSTEM NAME AND NUMBER
    DOT/FMCSA 010--Commercial Driver's License Drug and Alcohol 
Clearinghouse (Clearinghouse).

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    The Clearinghouse is developed by a third-party contractor on 
behalf of FMCSA. Records are maintained in a third-party cloud 
environment at the U.S. DOT at 1200 New Jersey Avenue SE, Washington, 
DC 20590.

SYSTEM MANAGER(S):
    Chief, Compliance Division, Office of Enforcement and Compliance, 
FMCSA, U.S. DOT, 1200 New Jersey Avenue SE, Washington, DC 20590; 
[email protected]

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    Moving Ahead for Progress in the 21st Century Act (MAP-21), (49 
U.S.C. 31306a(a)(1)).

PURPOSE(S) OF THE SYSTEM:
    The purpose of the Clearinghouse is to: (1) Improve compliance with 
the DOT's controlled substances and alcohol testing program applicable 
to Commercial Driver's License (CDL) and Commercial Learner's Permit 
(CLP) holders; and (2) enhance the safety of U.S. roadways by reducing 
crashes and injuries involving drivers violating alcohol or controlled 
substances regulations (49 U.S.C. 31306a(a)(2)). FMCSA and motor 
carrier employers will use information in the Clearinghouse records to 
identify drivers who are prohibited from operating a Commercial Motor 
Vehicle (CMV) and must receive the required evaluation and treatment 
before resuming safety-sensitive functions. Safety-sensitive functions 
are defined in 49 CFR 382.107 as the time from when a driver begins to 
work or is required to be in readiness to work until the time he/she is 
relieved from work and all responsibility for performing work. Safety-
sensitive functions include driving a CMV on public roads.
    In addition, the Clearinghouse will allow prospective employers to 
confirm a driver did not commit a drug or alcohol violation while 
working for another employer that would prohibit the individual from 
operating a CMV or performing other safety-sensitive functions.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Categories of individuals within this system include: CDL and CLP 
holders. Information about Medical Review Officers (MRO), Substance 
Abuse Professionals (SAP), employers, and Consortia/Third-Party 
Administrators (C/TPA) may be included in CDL and CLP holders' records.

CATEGORIES OF RECORDS IN THE SYSTEM:
    Categories of records in the system include:
    The following information about CDL and CLP holders:

     Name
     Contact Information including physical address, phone 
number(s) and email address
     Date of birth
     Current and previous CLP or CDL license number, state of 
issuance, and expiration date
     Drug or alcohol test results and violation information 
including employer name, address, and USDOT#, as applicable
     CMV driving eligibility status
     Driver Substance Abuse Professional (SAP) selection 
including SAP name, address and phone number, as applicable
     Actual Knowledge Report Information, including violation 
details, documentation to support the allegation and certificate of 
service to the employee, as applicable
     Failure to appear and refusal to test detail information, 
including documentation regarding notification of test requirement, 
documentation of termination or resignation and certificate of service 
to the employee, as applicable
     Return to duty (RTD) eligibility date and negative test 
result. A negative RTD test result allows the driver to resume 
operation of a CMV and other safety-sensitive functions

[[Page 56524]]

     Follow-up testing plan completion information
     Query information including who requested the query and 
when the query was conducted
     Query consent information including the driver's approval 
or refusal

    Information about MROs and SAPs as specified in Sec.  382.711(c) to 
include:

     Contact information including name, email address, phone 
number(s), office location addresses and applicable qualifications as 
per 49 CFR part 40.

    Information about employers, designated agents and C/TPAs as 
specified in Sec.  382.711(b) and Sec.  382.711(d) to include:

     Contact information including name, email address, phone 
number(s), office location addresses
     USDOT #, as applicable

RECORD SOURCE CATEGORIES:
    Records are obtained from MROs for CLP or CDL holders who have 
confirmed positive tests or test refusals. Motor carrier employers will 
report actual knowledge of use, alcohol confirmation test results, or 
test refusals. Records regarding completion of required RTD processes 
are obtained from SAPs and employers. Records are obtained from 
employers who request full query consent of drivers and the approval or 
rejection of the consent from the drivers. Registration information 
records are obtained from CLP and CDL holders, MROs, SAPs, employers, 
and their designated agents when an authorized user registers for the 
Clearinghouse and creates a new account or when updating previous 
account information.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND PURPOSES OF SUCH USES:
    In addition to those disclosures generally permitted under 5 U.S.C. 
552a(b) of the Privacy Act, all or a portion of the records or 
information contained in this system may be disclosed outside DOT as a 
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
    System Specific Routine Uses
    1. To Motor Carrier Safety Assistance Program (MCSAP) partner 
agencies, for use during investigations, roadside inspections and 
safety audits of motor carriers. This routine use will enable the MCSAP 
agencies to enforce the current prohibition against operating a CMV, or 
performing other safety-sensitive functions, due to drug and alcohol 
program violations.
    2. To State Driver's Licensing Agency (SDLA), for the purposes of 
verifying a driver's qualification to operate a CMV prior to completing 
any licensing transactions, including issuance, renewal, transfer, or 
upgrade of any a CLP or CDL (as mandated by 49 U.S.C. 31311(a)(24); 
31306a(h)(2)).
    3. To the National Transportation Safety Board (NTSB), upon 
request, when a driver is involved in a crash under investigation by 
the NTSB (as mandated by 49 U.S.C. 31306a(i)).
Department General Routine Uses
    4. One or more records from a system of records may be disclosed 
routinely to the National Archives and Records Administration (NARA) in 
records management inspections being conducted under the authority of 
44 U.S.C. 2904 and 2906.
    5. DOT may make available to another agency or instrumentality of 
any government jurisdiction, including State and local governments, 
listings of names from any system of records in DOT for use in law 
enforcement activities, either civil or criminal, or to expose 
fraudulent claims, regardless of the stated purpose for the collection 
of the information in the system of records. These enforcement 
activities are generally referred to as matching programs because two 
lists of names are checked for match using automated assistance. This 
routine use is advisory in nature and does not offer unrestricted 
access to systems of records for such law enforcement and related 
antifraud activities. Each request will be considered on the basis of 
its purpose, merits, cost effectiveness and alternatives using 
Instructions on reporting computer matching programs to the Office of 
Management and Budget, OMB, Congress, and the public, published by the 
Director, OMB, dated September 20, 1989.
    6. DOT may disclose records from this system, as a routine use, to 
the Office of Government Information Services for the purpose of (a) 
resolving disputes between FOIA requesters and Federal agencies and (b) 
reviewing agencies' policies, procedures, and compliance in order to 
recommend policy changes to Congress and the President.
    7. DOT may disclose records from the system, as a routine use, to 
contractors and their agents, experts, consultants, and others 
performing or working on a contract, service, cooperative agreement, or 
other assignment for DOT, when necessary to accomplish an agency 
function related to this system of records.
    8. DOT may disclose records from this system, as a routine use, to 
an agency, organization, or individual for the purpose of performing 
audit or oversight operations related to this system of records, but 
only such records as are necessary and relevant to the audit or 
oversight activity. This routine use does not apply to intra-agency 
sharing authorized under Section (b)(1) of the Privacy Act.
    9. DOT may disclose from this system, as a routine use, records 
consisting of, or relating to, terrorism information (6 U.S.C. 
485(a)(5)), homeland security information (6 U.S.C. 482(f)(1)), or Law 
enforcement information (Guideline 2 Report attached to White House 
Memorandum, ``Information Sharing Environment'', November 22, 2006) to 
a Federal, State, local, tribal, territorial, foreign government and/or 
multinational agency, either in response to its request or upon the 
initiative of the Component, for purposes of sharing such information 
as is necessary and relevant for the agencies to detect, prevent, 
disrupt, preempt, and mitigate the effects of terrorist activities 
against the territory, people, and interests of the United States of 
America, as contemplated by the Intelligence Reform and Terrorism 
Prevention Act of 2004 (Pub. L. 108-458) and Executive Order 13388 
(October 25, 2005).
    10. In the event that a system of records maintained by DOT to 
carry out its functions indicates a violation or potential violation of 
law, whether civil, criminal or regulatory in nature, and whether 
arising by general statute or particular program pursuant thereto, the 
relevant records in the system of records may be referred, as a routine 
use, to the appropriate agency, whether Federal, State, local or 
foreign, charged with the responsibility of investigating or 
prosecuting such violation or charged with enforcing or implementing 
the statute, or rule, regulation, or order issued pursuant thereto.
    11. A record from this system of records may be disclosed, as a 
routine use, to a Federal, State, or local agency maintaining civil, 
criminal, or other relevant enforcement information or other pertinent 
information, such as current licenses, if necessary to obtain 
information relevant to a DOT decision concerning the hiring or 
retention of an employee, the issuance of a security clearance, the 
letting of a contract, or the issuance of a license, grant or other 
benefit.
    12. A record from this system of records may be disclosed, as a 
routine use, to a Federal agency, in response to its request, in 
connection with the hiring or retention of an employee, the issuance of 
a security clearance, the reporting of an investigation of an employee, 
the letting of a contract, or the issuance of a license, grant, or 
other

[[Page 56525]]

benefit by the requesting agency, to the extent that the information is 
relevant and necessary to the requesting agency's decision on the 
matter.
    13. Routine Use for Agency Disclosure in Other Proceedings. It 
shall be a routine use of records in this system to disclose them in 
proceedings before any court or adjudicative or administrative body 
before which DOT or any agency thereof, appears, when-- (a) DOT, or any 
agency thereof, or (b) Any employee of DOT or any agency thereof in 
his/her official capacity, or (c) Any employee of DOT or any agency 
thereof in his/her individual capacity where DOT has agreed to 
represent the employee, or (d) The United States or any agency thereof, 
where DOT determines that the proceeding is likely to affect the United 
States, is a party to the proceeding or has an interest in such 
proceeding, and DOT determines that use of such records is relevant and 
necessary in the proceeding, provided, however, that in each case, DOT 
determines that disclosure of the records in the proceeding is a use of 
the information contained in the records that is compatible with the 
purpose for which the records were collected.
    14a. DOT may disclose records from the system, as a routine use to 
appropriate agencies, entities, and persons when (1) DOT suspects or 
has confirmed that there has been a breach of the system of records, 
(2) DOT has determined that as a result of the suspected or confirmed 
breach there is a risk of harm to individuals, DOT (including its 
information systems, programs, and operations), the Federal Government, 
or national security; and (3) the disclosure made to such agencies, 
entities, and persons is reasonably necessary to assist in connection 
with DOT's efforts to respond to the suspected or confirmed breach or 
to prevent, minimize, or remedy such harm.
    14b. DOT may disclose records from the system, as a routine use to 
another Federal agency or Federal entity, when DOT determines that 
information from this system of records is reasonably necessary to 
assist the recipient agency or entity in (1) responding to a suspected 
or confirmed breach or (2) preventing, minimizing, or remedying the 
risk of harm to individuals, the recipient agency or entity (including 
its information systems, programs, and operations), the Federal 
Government, or national security, resulting from a suspected or 
confirmed breach.
    15. Routine Use for Disclosure for Use in Litigation. It shall be a 
routine use of the records in this system of records to disclose them 
to the Department of Justice or other Federal agency conducting 
litigation when-- (a) DOT, or any agency thereof, or (b) Any employee 
of DOT or any agency thereof, in his/her official capacity, or (c) Any 
employee of DOT or any agency thereof, in his/her individual capacity 
where the Department of Justice has agreed to represent the employee, 
or (d) The United States or any agency thereof, where DOT determines 
that litigation is likely to affect the United States, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice or other Federal agency conducting 
the litigation is deemed by DOT to be relevant and necessary in the 
litigation, provided, however, that in each case, DOT determines that 
disclosure of the records in the litigation is a use of the information 
contained in the records that is compatible with the purpose for which 
the records were collected.
    16. Disclosure may be made to a Congressional office from the 
record of an individual in response to an inquiry from the 
Congressional office made at the request of that individual. In such 
cases, however, the Congressional office does not have greater rights 
to records than the individual. Thus, the disclosure may be withheld 
from delivery to the individual where the file contains investigative 
or actual information or other materials which are being used, or are 
expected to be used, to support prosecution or fines against the 
individual for violations of a statute, or of regulations of the 
Department based on statutory authority. No such limitations apply to 
records requested for Congressional oversight or legislative purposes; 
release is authorized under 49 CFR 10.35(9).

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records in this system are stored electronically on a contractor-
maintained cloud storage service.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records may be retrieved by the following data elements: CDL 
holder's name, date of birth, license number, and state of issuance.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records will be retained and disposed of in accordance with the 
records control schedule titled, ``Commercial Driver's License Drug and 
Alcohol Clearinghouse'' approved by the NARA on July 23, 2019. The 
record schedule requires retention for 5 years if the violation is 
resolved and RTD is completed, after 5 years the records will be 
transferred to a separate location for archiving for 6 years and then 
the records will be destroyed. For records that have not had the RTD 
process successfully completed will remain active in the Clearinghouse 
for 70 years.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Records in this system are safeguarded in accordance with 
applicable rules and policies, including all applicable DOT automated 
systems security and access policies. Appropriate controls have been 
imposed to minimize the risk of compromising the information that is 
being stored, and ensuring confidentiality of communications using 
tools such as encryption, authentication of sending parties, and 
compartmentalizing databases; and employing auditing software. 
Clearinghouse data is encrypted at rest. In addition, the connection 
between the database and the server is encrypted. Access to records in 
this system is limited to those individuals who have a need to know the 
information for the performance of their official duties and who have 
appropriate clearances or permissions. All personnel with access to 
data are screened through background investigations commensurate with 
the level of access required to perform their duties.

RECORD ACCESS PROCEDURES:
    Individuals seeking notification of and access to any record 
contained in this system of records, or seeking to contest its content, 
may submit a request to the System Manager in writing in writing to the 
address provided under ``System Manager and Address.'' Individuals may 
also search the public docket at www.regulations.gov by their name.
    When seeking records about yourself from this system of records or 
any other Departmental system of records your request must conform with 
the Privacy Act regulations set forth in 49 CFR part 10. You must sign 
your request, and your signature must either be notarized or submitted 
under 28 U.S.C. 1746, a law that permits statements to be made under 
penalty of perjury as a substitute for notarization. While no specific 
form is required, you should provide the following:
     An explanation of why you believe the Department would 
have information on you;
     Identify which component(s) of the Department you believe 
may have the information about you;
     Specify when you believe the records would have been 
created;

[[Page 56526]]

     Provide any other information that will help the FOIA 
staff determine which DOT component agency may have responsive records; 
and
    If your request is seeking records pertaining to another living 
individual, you must include a statement from that individual 
certifying his/her agreement for you to access his/her records. Without 
this bulleted information, the component(s) may not be able to conduct 
an effective search, and your request may be denied due to lack of 
specificity or lack of compliance with applicable regulations.

CONTESTING RECORD PROCEDURES:
    Individuals seeking to contest the content of any record pertaining 
to him or her in the system may contact the System Manager following 
the Privacy Act procedures in 49 CFR part 10, subpart E, Correction of 
Records.
    Drivers may request corrections in the accuracy of information in 
their Clearinghouse record using procedures set forth in 49 CFR 
382.717. Under these procedures, request for correction are limited to 
inaccurately reported information, not the accuracy of test results or 
refusals. Drivers may also request that the following information be 
removed from their Clearinghouse record: An employer's report of actual 
knowledge of use, based on a traffic citation for driving a CMV under 
the influence of controlled substances or alcohol, if the citation did 
not result in the driver's conviction; an employer's report of actual 
knowledge of use, if the employer's report does not comply with 
applicable documentation and notice requirements; or an employer's 
report of a failure to appear test refusal, if the employer's report 
does not comply with applicable documentation and notice requirements. 
Drivers may submit their request for correction or removal 
electronically through the Clearinghouse or in writing to FMCSA.
    Written requests for correction must conform with the Privacy Act 
regulations set forth in 49 CFR part 10. You must sign your request, 
and your signature must either be notarized or submitted under 28 
U.S.C. 1746, a law that permits statements to be made under penalty of 
perjury as a substitute for notarization. While no specific form is 
required, you may obtain forms for this purpose from the Chief Freedom 
of Information Officer, http://www.dot.gov/foia or 202.366.4542.

NOTIFICATION PROCEDURES:
    Individuals seeking to contest the content of any record pertaining 
to him or her in the system may contact the System Manager following 
the procedures described in ``Record Access Procedures'' above.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    None.

    Issued in Washington, DC.
Claire W. Barrett,
Departmental Chief Privacy Officer.
[FR Doc. 2019-22915 Filed 10-21-19; 8:45 am]
 BILLING CODE 4910-9X-P