Document ID: FMCSA-2013-0306-0001
Agency: fmcsa
Document Type: Notice
Title: Privacy Act; Systems of Records
Posted Date: 2013-09-25T04:00Z

[Federal Register Volume 78, Number 186 (Wednesday, September 25, 2013)]
[Notices]
[Pages 59082-59085]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2013-23131]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

[Docket No. FMCSA-2013-0306]

Privacy Act of 1974; Department of Transportation, Federal Motor 
Carrier Safety Administration; DOT/FMCSA 001Motor Carrier Management 
Information System (MCMIS) System of Records

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

ACTION: Notice to amend a system of records.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Transportation proposes to update and reissue a current Department of 
Transportation system of records titled, ``Department of Transportation 
Federal Motor Carrier Safety Administration DOT/FMCSA 001 Motor Carrier 
Management Information System System of Records.'' This system of 
records will allow the Department of Transportation Federal Motor 
Carrier Safety Administration to collect and maintain records on 
drivers of commercial motor vehicles and individuals who are sole 
proprietor/driver (owner/operator) of a motor carrier or hazardous 
material shipper subject to the Federal Motor Carrier Safety 
Regulations.
    As a result of a biennial review of this system, the Privacy Office 
has: added three routine uses of the MCMIS to permit disclosure of 
MCMIS records to the (1) National Transportation Safety Board; (2) to 
Federal, State, and local government agencies for the purposes of 
household goods (HHG) investigations and enforcing HHG statues and 
regulation; and (3) to Federal, State and local government agencies for 
the purposes of driver, motor carrier, broker, and freight forwarder 
investigations, and enforcing commercial operating statutes and 
regulations.
    Additionally this notice includes non-substantive changes to 
simplify the formatting and text of the previously published notice. 
This updated system will be included in the Department of 
Transportation's inventory of record systems.

DATES: Written comments should be submitted on or before October 25, 
2013. The Department may publish an amended SORN in light of any 
comments received. This new system will be effective October 25, 2013.

ADDRESSES: You may submit comments, identified by docket number FMCSA-
2013-0306, by any of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Mail: Docket Management Facility, U.S. Department of 
Transportation, 1200 New Jersey Ave. SE., West Building Ground Floor, 
Room W12-140, Washington, DC 20590-0001.
     Hand Delivery or Courier: West Building Ground Floor, Room 
W12-140, 1200 New Jersey Ave. SE., between 9 a.m. and 5 p.m. ET, Monday 
through Friday, except Federal Holidays.
     Fax: (202) 493-2251.
    Instructions: You must include the agency name and docket number 
FMCSA-2013-0306. All comments received will be posted without change to 
http://www.regulations.gov, including any personal information 
provided.
    Privacy Act: Anyone is able to search the electronic form of all 
comments received in any of our dockets by the name of the individual 
submitting the comment (or signing the comment, if submitted on behalf 
of an association, business, labor union, etc.). You may review DOT's 
complete Privacy Act statement for the Federal Docket Management System 
in the Federal Register published on January 17, 2008 (73 FR 3316), or 
you may visit http://DocketsInfo.dot.gov.
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.regulations.gov or to the street 
address listed above. Follow the online instructions for accessing the 
docket.

FOR FURTHER INFORMATION CONTACT: For general questions please contact: 
Pam Gosier-Cox, FMCSA Privacy Officer, Federal Motor Carrier Safety 
Administration, Department of Transportation, Washington, DC 20590, 
202-366-3655, pam.gosier.cox@dot.gov. For privacy issues please 
contact: Claire W. Barrett, Departmental Chief Privacy Officer, Privacy 
Office, Department of Transportation, Washington, DC 20590; 
privacy@dot.gov; or 202.366.8135.

SUPPLEMENTARY INFORMATION:

I. Background

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Department of Transportation (DOT)/Federal Motor Carrier Safety 
Administration (FMCSA) proposes to update and reissue a current DOT 
system of records titled, ``Department of Transportation Federal Motor 
Carrier Safety Administration--DOT/FMCSA 001 Motor Carrier Management 
Information System System of Records.'' The system is being modified to 
reflect changes in its Authorities and Routine Uses. The Authorities 
section has been updated by removing references to Executive Order 9397 
as MCMIS is not used to ``create permanent account numbers pertaining 
to individual persons.'' This updated system of records notice includes 
three new Routine Uses; the first new routine use permits sharing with 
the National Transportation Safety Board (NTSB) in connection with NTSB 
initiated investigations involving motor carriers, interstate motor 
carriers, and hazardous material shippers; the second permits sharing 
of MCMIS information with Federal, State, and local government agencies 
for the purposes of household goods investigations (HHG) and enforcing 
HHG statutes and regulations; and the third permits the sharing of 
MCMIS information with Federal, State, and local government agencies 
for the purpose of driver, motor carrier, broker, and freight forwarder 
investigations, and enforcing commercial operating statutes and 
regulations. The routine uses permitting the sharing of MCMIS 
information with contractors and to

[[Page 59083]]

safeguard against and respond to the improper disclosure breach of 
personally identifiable information have been removed to reflect the 
Department's establishment of General Routine Use permitting these 
sharing applicable to all DOT system of records.
    The notice includes substantive clarifications to the Purposes of 
Collection and Records Disposition discussions to clarify the 
Department's practice which was not effectively described in previous 
publications of this system of records notice. Additionally this notice 
includes non-substantive changes to simplify the formatting and clarify 
the text of the previously published notice. This updated system will 
be included in DOT's inventory of record systems.

II. Privacy Act

    The Privacy Act (5 U.S.C. 552a) governs the means by which the 
Federal Government collects, maintains, and uses personally 
identifiable information (PII) in a System of Records. A ``System of 
Records'' is a group of any records under the control of a Federal 
agency from which information about individuals is retrieved by name or 
other personal identifier. The Privacy Act requires each agency to 
publish in the Federal Register a System of Records notice (SORN) 
identifying and describing each System of Records the agency maintains, 
including the purposes for which the agency uses PII in the system, the 
routine uses for which the agency discloses such information outside 
the agency, and how individuals to whom a Privacy Act record pertains 
can exercise their rights under the Privacy Act (e.g., to determine if 
the system contains information about them and to contest inaccurate 
information).
    In accordance with 5 U.S.C. 552a(r), DOT has provided a report of 
this system of records to the Office of Management and Budget and to 
Congress.
SYSTEM OF RECORDS
    Department of Transportation (DOT)/Federal Motor Carrier Safety 
Administration (FMCSA) DOT/FMCSA--001 Motor Carrier Management 
Information System.

SYSTEM NAME:
    Department of Transportation Federal Motor Carrier Safety 
Administration (FMCSA)--001 Motor Carrier Management Information 
System.

SECURITY CLASSIFICATION:
    Unclassified

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

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    MCMIS records may contain personally identifiable information (PII) 
on the following's categories of individuals which may be retrieved by 
unique identifier associated with the individual;
    1. Individuals who are the sole proprietor and/or owner of a motor 
carrier or hazardous material shipper subject to Federal Motor Carrier 
Safety Regulations and who have provided a social security number (SSN) 
in lieu of an employer identification number (EIN).
    MCMIS records may also include personally identifiable information 
on the following categories of individuals, however this information is 
not retrieved by unique identifier associated with the individual.
    1. Individuals who are owner/operators officers, managers, and 
employees 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;
     Are the subjects of an investigatory action; or
     Are employed by a motor carrier which is the subject of an 
investigation.

CATEGORIES OF RECORDS IN THE SYSTEM:
    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, co-driver, owner, officer, manager, and employee 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 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 allows a driver 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 Compliance Safety Accountability 
(CSA) initiative and its Driver Safety Measurement System (DSMS). 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 initiative and its DSMS. 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

[[Page 59084]]

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 
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 and enforcement officers.
     Enforcement Management Information System (EMIS)--The EMIS 
is a web-based application used to monitor, track, and store 
information related to FMCSA enforcement actions. It manages and tracks 
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 an 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 an application 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 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, household good investigations, 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.
     Sentri--Sentri (formerly known as the Mobile Client 
Application) SENTRI is used by Federal and State enforcement personnel 
to access motor carrier and driver information. SENTRI combines 
roadside inspection, investigative, and enforcement functions into a 
single interface.
     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.
     Docket Management System (DMS)--DMS is a National 
Transportation Safety Board NTSB system that stores investigative 
material in one of two ways. Documents that are categorized in DMS 
``For Official Use Only'' (``OUO'') are found only in the non-public 
side of the docket. In these instances, the documents are accessible 
only by those NTSB employees that are allowed access to NTSB Office of 
Highway Safety dockets. If a document is placed in the publicly 
available portion of DMS, NTSB redacts any PII.
     New Application Screening (NAS)--NAS is an application, 
which is populated by A&I, that identifies potential ``chameleon 
carriers'' within the FMCSA past and present carrier population. This 
tool provides you with the ability to search for specific carriers and 
identify relationships to other past and present carriers.'' Currently, 
NAS is available to select FMCSA personnel. It is searchable by motor 
carrier name, state, and address.

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. QC displays 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, foreign 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, and 49 CFR 1.73.

PURPOSE(S):
    The purpose of this system is to provide a central collection point 
for records on some intrastate motor carriers, interstate motor 
carrier, hazardous material shipper, freight brokers and freight 
forwarders in order to facilitate the analysis of data required to 
administer and manage the agency's safety and commercial enforcement 
programs.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE PURPOSES OF SUCH USES:
    1. 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: To federal, 
state, local, and foreign government agencies for the purposes of 
enforcing motor carrier and Hazardous Materials shipper safety.
    2. To State lead agencies and other law enforcement grantees under 
the FMCSA Motor Carrier Safety Assistance Grant Program and Border 
Enforcement Grant program, which is a federal grant

[[Page 59085]]

program that provides financial assistance to states for their work in 
reducing in the frequency and severity of CMV crashes and hazardous 
materials incidents.
    3. To the National Transportation Safety Board (NTSB) in connection 
with NTSB investigations involving motor carriers, interstate motor 
carriers, and hazardous material shippers.
    4. To Federal, State, and local government agencies for the 
purposes of household goods investigations (HHG) and enforcing HHG 
statutes and regulations.
    5. To Federal, State and local government agencies for the purposes 
of driver, motor carrier, broker, and freight forwarder investigations, 
and enforcing commercial operating statutes and regulations.
    6. See ``Prefatory Statement of General Routine Uses'' (available 
at http://www.dot.gov/privacy/privacyactnotices). Other possible 
routine uses of the information, applicable to all DOT Privacy Act 
systems of records, are published in the Federal Register at 75 FR 
82132, December 29, 2010, and 77 FR 42797, July 20, 2012 under 
``Prefatory Statement of General Routine Uses'' (available at http://www.dot.gov/privacy/privacyactnotices).

DISCLOSURE TO CONSUMER REPORTING AGENCIES:
    None.

POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING, 
AND DISPOSING OF RECORDS IN THE SYSTEM:
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:
    Records may be retrieved by; individuals' name, Social Security 
Number, Employer Identification Number, company name, trade name, and 
geographical location.

SAFEGUARDS:
    Records in this system are safeguarded in accordance with 
applicable rules and policies, including all applicable DOT automated 
systems security and access policies. Strict controls have been imposed 
to minimize the risk of compromising the information that is being 
stored. 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.

RETENTION AND DISPOSAL:
    Records will be retained and disposed in accordance with National 
Archives and Records Administration (NARA) retention disposition 
schedule (RDS) NI-557-05-007 item 5. Master data files are 
retained on a permanent basis. For a complete discussion of the RDS 
please see www.nara.gov.

SYSTEM MANAGER AND ADDRESS:
    The system manager is the 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 seeking notification of and access to any record 
contained in this system of records, or seeking to contest its content, 
may submit a request in writing to the Tiffanie Coleman, FMCSA FOIA 
Officer whose contact information can be found at http://www.dot.gov/foia under ``Contact Us.'' If an individual believes more than one 
component maintains Privacy Act records concerning him or her, the 
individual may submit the request to the Departmental Freedom of 
Information Act Office, U.S. Department of Transportation, Room W94-
122, 1200 New Jersey Ave. SE., Washington, DC 20590, ATTN: FOIA 
request.
    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 may obtain forms for this purpose from the Chief 
Freedom of Information Act Officer, http://www.dot.gov/foia or 
202.366.4542. In addition 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;
     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.

RECORD ACCESS PROCEDURES:
    See ``Notification procedure'' above.

CONTESTING RECORD PROCEDURES:
    See ``Notification procedure'' above.

RECORD SOURCE CATEGORIES:
    Records are 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 
immediately after it has been compiled and processed locally.

EXEMPTIONS CLAIMED FOR THE SYSTEM:
    Pursuant to subsection (k)(2) of the Privacy Act (5 U.S.C. 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). See 66 FR 20406, April 23, 2001. A copy of this Notice and 
accompanying Privacy Act Exemptions Final Rule may be found on the DOT 
Privacy Office Web site--www.dot.gov/privacy.

    Issued in Washington, DC, on September 18, 2013.
Claire W. Barrett,
Departmental Chief Privacy Officer.
[FR Doc. 2013-23131 Filed 9-24-13; 8:45 am]
BILLING CODE 4910-9X-P