Document ID: DOT-OST-2009-0092-0148
Agency: dot
Document Type: Rule
Title: Privacy Act; Systems of Records
Posted Date: 2011-02-22T05:00Z

[Federal Register Volume 76, Number 35 (Tuesday, February 22, 2011)]
[Notices]
[Pages 9849-9852]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-3825]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

Privacy Act of 1974: System of Records

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

ACTION: Notice to establish a new system of records.

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SUMMARY: FMCSA proposes to establish the system of records called 
``Medical Exemption Program'' in compliance with the terms of the 
Privacy Act of 1974 (5 U.S.C. 552a). FMCSA has established the Medical 
Exemption

[[Page 9850]]

Program to support the paper-based Federal Vision Exemption Program 
(FVEP), the paper-based Federal Diabetes Exemption Program (FDEP), and 
the web-based Med-Ex application managed by the FMCSA Office of Medical 
Programs. Medical Exemption Program is maintained by MANILA Consulting 
Group, Inc. (MANILA), an FMCSA contractor. The mission of the FMCSA 
Office of Medical Programs is to improve the safety of U.S. roadways by 
disseminating and implementing the medical regulations, guidelines, and 
policies that ensure commercial motor vehicle (CMV) drivers engaged in 
interstate commerce are physically qualified to do so. Only authorized 
DOT personnel with a specific ``need to know'' can access CMV driver 
exemption information in Medical Exemption Program. A request from any 
other individual or entity (e.g., a law firm) for CMV driver exemption 
information in Medical Exemption Program is treated as a Freedom of 
Information Act (FOIA) request by FMCSA and processed accordingly. 
FMCSA performs routine audits of the Medical Exemption Program to 
ensure that privacy and security objectives are met.
    More detailed information concerning the Medical Exemption Program 
system of records is located within this document. A System of Records 
Notice (SORN) for the Medical Exemption Program will be published in 
the Federal Register and posted on the DOT Web site. The Privacy Impact 
Assessment (PIA) for the Medical Exemption Program will be located on 
the DOT Web site (http://www.dot.gov/pia.html).

DATES: Effective March 24, 2011. Written comments should be submitted 
on or before the effective date. If comments are received, the comments 
will be considered and, where adopted, FMCSA will republish the SORN 
with the changes or publish an amended SORN.

FOR SUBMITTING COMMENTS: Send comments to Pam Gosier-Cox, FMCSA Privacy 
Officer, FMCSA Office of Information Technology, MC-RI, U.S. Department 
of Transportation, 1200 New Jersey Avenue, SE., Washington, DC 20590 or 
pam.gosier.cox@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:

I. Background

    Section 4007 of Public Law 105-178--enacted as the Transportation 
Equity Act for the 21st Century (TEA-21)--amends Section 31315 and 
Section 31136(e) of Title 49 of the U.S. Code. TEA-21 allows DOT to 
grant exemptions from Federal Motor Carrier Safety Regulations (FMCSR) 
if DOT finds an exemption would likely achieve a level of safety that 
is equivalent to, or greater than, the level that would be achieved 
absent the exemption.

II. Medical Exemption Program

    The FVEP and the FDEP provide exemptions for CMV drivers who do not 
meet the federal vision standard [49 CFR 391.41(b)(10)] or the federal 
diabetes standard [49 CFR 391.41(b)(3)] in the FMCSR. TEA-21 gives 
FMCSA broad authority to establish exemption application procedures and 
the process by which exemption applications are to be managed by FMCSA 
in order to minimize delays. FMCSA will continue to process diabetes 
exemption applications using a paper-based system. FMCSA will use the 
Med-Ex web application to process vision exemption applications. The 
Medical Exemption Program is designed to perform the following in 
support of the submission, review, and management of all applicants 
requesting vision and diabetes exemptions:
    1. Provide CMV drivers with the option of applying for a vision 
exemption electronically in order to expedite the process;
    2. Allow FMCSA to process and manage all vision and diabetes 
exemption applications sent electronically or via mail; and
    3. Archive all vision and diabetes exemption program records.
    The Medical Exemption Program also allows the FMCSA Office of 
Medical Programs to monitor CMV drivers for compliance with exemption 
conditions and determine if CMV drivers remain eligible for an 
exemption during the exemption renewal process.
    The Medical Exemption Program contains Personally Identifiable 
Information (PII) concerning CMV drivers, such as name; date of birth; 
Social Security Number (SSN); driver license number and issuing state; 
medical evaluations from medical examiners, eye care practitioners, and 
medical specialists; copies of motor vehicle records (MVR); photocopies 
of driver licenses; and proof of commercial driving experience. This 
PII is used to positively identify CMV drivers and to determine if CMV 
drivers qualify for an exemption.

III. Privacy Act

    The Privacy Act of 1974 (5 U.S.C. 552a) governs the means by which 
the United States Government collects, maintains, and uses PII in a 
system of records. A ``system of records'' is a group of records under 
the control of a federal agency from which information about 
individuals is retrieved by name or other personal identifier. In 
accordance with the Privacy Act, each federal agency must 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).

IV. Privacy Impact Assessment

    FMCSA is publishing a Privacy Impact Assessment (PIA) for Medical 
Exemption Program to coincide with the publication of the Medical 
Exemption Program SORN. In accordance with 5 U.S.C. 552a(r), a report 
on the establishment of this system of records has been sent to the 
U.S. Congress and the Office of Management and Budget (OMB).

V. System of Records Notice

System Number:
    DOT/FMCSA 008

System Name:
    Medical Exemption Program.

Security Classification:
    Unclassified, Sensitive.

System Location:
    Medical Exemption Program databases reside at the following 
locations:
     Volpe National Transportation Systems Center (Volpe 
Center), U.S. Department of Transportation, Cambridge, MA 02142.
     MANILA Consulting Group, Inc. (MANILA), McLean, VA 22101.

Categories of Individuals Covered by the System of Records:
    The Medical Exemption Program includes PII from CMV drivers 
applying for an exemption from the federal vision standard [49 CFR 
391.41(b)(10)] or the federal diabetes standard [49 CFR 391.41(b)(3)] 
in the FMCSR.

[[Page 9851]]

Categories of Records in Medical Exemption Program:
    FMCSA has established the Medical Exemption Program to support the 
paper-based Federal Vision Exemption Program (FVEP), the paper-based 
Federal Diabetes Exemption Program (FDEP), and the web-based Med-Ex 
application managed by the FMCSA Office of Medical Programs.
    Federal Vision Exemption Database--A legacy database that contains 
PII, including sensitive health information received from CMV drivers 
applying for a vision exemption from the federal vision standard [49 
CFR 391.41(b)(10)] via mail, e-mail, and fax prior to the launch of 
Med-Ex. There are no external users of this database.
    Federal Diabetes Exemption Database--A database that contains PII, 
including sensitive health information received from CMV drivers 
applying for a diabetes exemption from the federal diabetes standard 
[49 CFR 391.41(b)(3)] via mail, email, and fax. There are no external 
users of this database.
    Med-Ex Application--A web-based application that collects and 
stores PII, including sensitive health information from CMV drivers 
applying for a vision exemption from the federal vision standard [49 
CFR 391.41(b)(10)] via hardcopy applications mailed to FMCSA and 
electronic applications submitted through the Med-Ex Web site.
    The Medical Exemption Program collects the following PII or 
information containing PII from CMV drivers as part of the vision 
exemption application process:
    A. Applicant Information
     Name
     Home address
     Home/mobile phone number
     Gender
     Date of birth
     SSN
    B. CMV Driver Information
     Driver license number and issuing state
     Driver license classification code
     Driver license date of issuance and expiration date
     Restrictions and endorsements
     Copy of valid driver license
     List of all licenses held to operate CMVs in last three 
years
     Copy of motor vehicle record (MVR) covering last three 
years.
    (Florida drivers must supply official copy of complete driving 
record from state of Florida due to state citation and accident 
reporting requirements. Indiana drivers must supply copies of accident 
reports from state police in addition to MVR due to state accident 
reporting requirements.)
    C. Employment Information
     Current employer name, address, and phone number
     If employed by or leased to companies, driving history and 
name, address, and phone number for each company for past three years
     If self-employed, all customer names, addresses, and phone 
numbers for past three years
     Dates of employment
    D. Medical Information
     Optometrist/ophthalmologist letter stating the following:
     Date of examination
     Nature, duration, and stability of vision deficiency
     Corrected and uncorrected visual acuity for each eye
     Field of vision test results for each eye
     Color vision information
     Medical opinion regarding ability to operate CMVs with 
diagnosed visual deficiency
    The Medical Exemption Program collects the following PII or 
information containing PII from CMV drivers as part of the diabetes 
exemption application process:
    A. Applicant Information
     Name
     Home address
     Home/mobile phone number
     Gender
     Date of birth
     SSN
    B. CMV Driver Information
     Copy of valid driver license
     Copy of MVR from official state agency
     List of waivers, exemptions, and skill performance 
evaluation certificates
    C. Employment Information
     Current employer name, address, and phone number
    D. Medical Information
     Medical Examination Report
     Medical Examiner's Certificate
     Endocrinologist Evaluation Checklist
     Vision Evaluation Checklist

Authority for Maintenance of the System:
    Motor Carrier Safety Act of 1984 [49 U.S.C. 31136(e)] and the 
Transportation Equity Act for the 21st Century (TEA-21) (49 U.S.C. 
31315)

Purpose(s):
    The purpose for maintaining vision and diabetes exemption records 
in the Medical Exemption Program is to provide the FMCSA Office of 
Medical Programs with sufficient information to determine if CMV 
drivers are eligible for an exemption from the federal vision standard 
[49 CFR 391.41(b)(10)] or the federal diabetes standard [49 CFR 
391.41(b)(3)] in the FMCSR. However, some of the CMV driver information 
that is collected during the exemption application process is used to 
ensure that duplicate applications are not submitted. The Medical 
Exemption Program also collects quarterly and annual medical monitoring 
information to determine if CMV drivers that have received a diabetes 
exemption are in compliance with the conditions of the exemption. 
During the exemption renewal process, updated application information 
is compared to application information stored in the Medical Exemption 
Program to determine if CMV drivers remain eligible for a vision or 
diabetes exemption.

Routine Uses of Records Maintained in the System, Including Categories 
of Users and Purposes of Use:
     Information is accessed by FMCSA Office of Medical 
Programs employees and FMCSA contractors responsible for processing, 
monitoring, and reviewing exemption applications and by FMCSA employees 
and contractors responsible for system support and maintenance.
    Some applicant information (name, age, basic information related to 
applicant's medical condition, and current driver license class) is 
published in the Federal Register in a notice requesting public comment 
upon receipt of an exemption request (49 U.S.C. 31315).
    See DOT Prefatory Statement of General Routine Uses published in 
the Federal Register on December 29, 2010 (75 FR 82132).

Disclosure to Consumer Reporting Agencies:
    None.

Policies and Practices for Storing, Retrieving, Accessing, Retaining, 
and Disposing of Records:
Storage:
    Electronic records are stored in the Medical Exemption Program 
databases at the Volpe Center and MANILA. Vision exemption applications 
submitted via the web-based Med-Ex application are stored in a database 
in a secured area within the Volpe Center located in Cambridge, MA. 
Hardcopy vision exemption applications submitted via mail, email, or 
fax are entered and scanned into Med-Ex and stored in a secured area at 
MANILA until a disposition decision is made. MANILA destroys these 
hardcopy applications after FMCSA completes the disposition of the 
application. All hardcopy diabetes and vision exemption applications 
are stored in locked file cabinets.

[[Page 9852]]

Retrievability:
    Electronic records are retrieved by using automated searches. Name, 
tracking number, application status, SSN, and date of birth may be used 
to retrieve records in the Medical Exemption Program.

Accessibility (Including Safeguards):
    All records in the Medical Exemption program at the Volpe Center 
and MANILA are protected from unauthorized access through appropriate 
administrative, physical, and technical safeguards. Electronic files 
are stored in separate databases at MANILA and the Volpe Center that 
are secured by password security, encryption, firewalls, and secured 
operating systems and to which only authorized personnel with a 
specific ``need to know'' have access. Paper files are stored in file 
cabinets in a locked file room to which only authorized MANILA 
personnel with a specific ``need to know'' have access. Physical access 
to the Volpe Center and MANILA is restricted to authorized personnel. 
All access to the electronic system and paper files is logged and 
monitored. Access to electronic records is password protected, and the 
scope of access for each password is limited to the official need of 
each individual authorized access.

Retention and Disposal:
    The proposed Medical Exemption Program records schedule has been 
submitted to the U.S. National Archives and Records Administration 
(NARA) and is pending approval. Medical Exemption Program applications 
with a status of accepted are assigned a disposition date of 10 years. 
All other applications are assigned a disposition date of 3 years after 
the application date or 30 days after a status change to deceased, 
whichever occurs first. Medical Exemption Program applications are 
destroyed at the end of each calendar year following the disposition 
date. Hardcopy documents that have been entered and scanned into the 
Med-Ex application are assigned a 30-day disposition date following the 
disposition date assigned to the electronic record and destroyed at the 
end of the calendar year.

System Manager Contact Information:
    Office of Medical Programs, Federal Motor Carrier Safety 
Administration, U.S. Department of Transportation, 1200 New Jersey 
Avenue SE., 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 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 Procedure:
    Individuals seeking access to information about them in this system 
should apply to the System Manager by following the same procedures as 
indicated under ``Notification Procedure.''

Contesting Record Procedure:
    Individuals seeking to contest the content of information about 
them in this system should apply to the System Manager by following the 
same procedures as indicated under ``Notification Procedure.''

Record Source Categories:
    CMV drivers requesting a vision or diabetes exemption are 
responsible for submitting the following documentation, as appropriate:
     Completed vision or diabetes exemption application.
     Copy of valid driver license.
     Copy of MVR from official state agency.
     Medical Examiner's Certificate.
     Medical Examination Report.
     Endocrinologist Evaluation Checklist.
     Vision Evaluation Checklist or letter from optometrist/
ophthalmologist.
     Letters from employers concerning employment history or 
customer information if self-employed.
    For vision exemption applications, authorized MANILA personnel use 
the Commercial Driver's License Information System (CDLIS) to verify 
that convictions reported on MVR are accurate and up-to-date. 
Convictions that are included in CDLIS but missing from MVR are 
verified by requesting ticket information and police reports from CMV 
drivers. CDLIS information is reviewed several times during the 
application process and continues to be monitored after an exemption 
has been granted.

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 Privacy Act for the reasons 
stated in DOT's Privacy Act regulations (49 CFR Part 10, Appendix, Part 
II, A.8).

    Dated: February 15, 2011.
Habib Azarsina,
Departmental Privacy Officer, 202-366-1965 .
[FR Doc. 2011-3825 Filed 2-18-11; 8:45 am]
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