Document ID: FMCSA-2012-0132-0001
Agency: fmcsa
Document Type: Notice
Title: Privacy Act of 1974; System of Records Notice
Posted Date: 2012-04-23T04:00Z

[Federal Register Volume 77, Number 78 (Monday, April 23, 2012)]
[Notices]
[Pages 24247-24251]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2012-9624]

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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

[Docket No. FMCSA-2012-0132]

Privacy Act of 1974; System of Records Notice

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

ACTION: Notice to establish a new system of records.

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SUMMARY: The Department of Transportation's (DOT) Federal Motor Carrier 
Administration (FMCSA) intends to establish a new Federal Motor Carrier 
system of records titled ``DOT/FMCSA 009--National Registry of 
Certified Medical Examiners'' (National Registry), under the Privacy 
Act of 1974 (5 U.S.C. 552a).
    The DOT system, known as the National Registry of Certified Medical 
Examiners (National Registry), is used to produce trained, certified 
medical examiners who fully understand the medical standards in the 
Federal Motor Carrier Safety Regulations (FMCSRs). Medical Examiners 
(MEs) will be expected to understand how the FMCSR standards relate to 
the mental and physical demands of operating a commercial motor vehicle 
(CMV). MEs will be required to successfully complete training and pass 
a certification test before being listed on the National Registry. Once 
the National Registry program is established, FMCSA will require all 
interstate CMV drivers to obtain their medical certificates from a 
medical examiner listed on the National Registry. The general public 
can search and access information about the National Registry program, 
including the program description, contact information, and National 
Registry Number for all FMCSA Certified MEs, Test Delivery 
Organizations and their affiliated Test Centers through the publicly 
available Web site.
    MEs who choose to pursue FMCSA certification to conduct CMV medical 
exams will register with FMCSA through the National Registry Web site. 
FMCSA will track the MEs' status of completion of the required FMCSA 
medical examiners' certification process. The MEs will be required to 
successfully complete FMCSA-approved training prior to taking the FMCSA 
ME certification test at an FMCSA-approved testing organization, at an 
affiliated test center's facility, or by means of online testing.
    Test Developers for FMCSA will create and revise the certification 
test questions and answers that will be administered by Test Centers. 
Test Developers will analyze medical examiner's test certification 
responses to identify future improvements and modifications to test 
questions. They will also analyze the test questions and answers to 
identify potential patterns of fraud and abuse in the testing process 
and medical community.
    The Test Centers will verify and document the ME's identity, 
medical licensing, and training completion prior to administering the 
FMCSA ME certification test. Test Centers will administer the FMCSA 
Certification test according to FMCSA specifications and are 
responsible for submitting the medical examiner certification test 
results to the National Registry. Testing organizations that offer 
testing of MEs by means of online testing will provide a means to 
authenticate the identity of the person taking the test, to monitor the

[[Page 24248]]

activity of the person taking the test, and to prevent the person 
taking the test from reproducing the contents of the test. FMCSA will 
validate the test results, medical examiner licensing credentials and 
training, and notify the ME of certification.
    The Certified Medical Examiner or their administrative personnel 
are required to submit data every month to the National Registry for 
each CMV driver medical examination they have conducted during the 
previous month. FMCSA will use the CMV driver medical exam information 
to monitor the ME competence and performance in evaluating the CMV 
driver health and fitness and to detect irregularities in examination 
procedures. Certified Medical Examiners and their administrative 
personnel have the option to register with FMCSA in order to view 
previously submitted CMV driver medical exam summary data, upload 
driver medical examination summary data to FMCSA and edit their medical 
examiner's contact information.
    The National Registry is more thoroughly detailed below and in the 
associated Privacy Impact Assessment (PIA). The PIA can be found on the 
DOT Privacy Web site at http://dot.gov/privacy. This newly established 
system will be included in the Department of Transportation's inventory 
of record systems.

DATES: Effective date is May 17, 2012. Written comments should be 
submitted on or before the effective date. DOT/FMCSA may publish an 
amended SORN in light of any comments received.

ADDRESSES: You may submit comments, identified by Docket No. FMCSA-
2012-0132, by one of the following methods:
     Federal e-Rulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Fax: 202-493-2251.
     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 for this rulemaking. All comments received will be 
posted without change to http://www.regulations.gov, including any 
personal information provided.
    Docket: For access to the docket to read background documents or 
comments received go to http://www.regulations.gov. Follow the online 
instructions for accessing the docket.

FOR FURTHER INFORMATION CONTACT: For general questions, please contact: 
Elaine Papp, (202) 366-0421, Division Chief, Division of Medical 
Programs, Office of Carrier, Driver and Vehicle Safety, Federal Motor 
Carrier Safety Administration, U.S. Department of Transportation, 1200 
New Jersey Avenue SE., Washington, DC 20590. For privacy issues, please 
contact: Claire W. Barrett (202-366-8135), Departmental Chief Privacy 
Officer, Department of Transportation, Washington, DC 20590.

SUPPLEMENTARY INFORMATION:

I. The National Registry Program

    In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the 
Federal Motor Carrier Administration (FMCSA) proposes to establish a 
new DOT system of records titled ``DOT/FMCSA 009--National Registry of 
Certified Medical Examiners'' (National Registry) to satisfy the 
requirements of 49 U.S.C. 31149.
    The National Registry program is designed to produce trained, 
certified medical examiners who fully understand the medical standards 
in the Federal Motor Carrier Safety Regulations (FMCSRs). FMCSA is 
developing the National Registry program to improve highway safety and 
driver health by requiring that medical examiners be trained and 
certified to determine effectively whether a commercial motor vehicle 
driver's health meets the FMCSR standards. Medical examiners will be 
expected to understand how the standards relate to the mental and 
physical demands of operating a commercial motor vehicle (CMV). Once 
the National Registry program is established, FMCSA will require all 
interstate CMV drivers to obtain their medical certificates from a 
medical examiner listed on the National Registry. FMCSA will require 
MEs who choose to become certified to register on the National Registry 
Web site. They will need to provide contact information, ME 
credentials, employer information and ME training information. MEs will 
be able to update and edit their contact information and training 
information. To be listed as a certified ME on the National Registry, 
an ME must complete approved training and pass a certification test 
administered at a Test Center or by means of online testing by an 
FMCSA-approved Testing Delivery Organization. Once certified, an ME 
will be listed on FMCSA's public Web site and their contact information 
and National Registry Number will be made available to assist CMV 
drivers in contacting locating FMCSA certified MEs.
    FMCSA requires MEs to take a certification test at selected Testing 
Delivery Organization, affiliated Test Center facility, or by means of 
on-line testing. A Testing Delivery Organization may apply to FMCSA for 
approval by providing documentation of compliance with FMCSA policies 
and procedures. Once FMCSA has approved a Testing Delivery Organization 
as eligible to deliver certification tests, the organization and 
affiliated Test Centers will be listed on the National Registry and 
made available to the public through the FMCSA Web site. The Testing 
Delivery Organization and affiliated Test Centers are not covered by 
this system of records notice.
    The Testing Delivery Organization/Test Center is responsible for 
administering the FMCSA ME certification test according to FMCSA 
specifications, scoring and storing test results, and transferring each 
ME's certification test results to the National Registry. The test 
results will include the ME's National Registry number, test form used, 
all test answers, score, and grade for the ME. FMCSA will use automated 
and manual processes to determine if the ME's state medical license is 
valid before confirming the ME's certification eligibility. Once FMCSA 
makes a final eligibility determination, FMCSA will notify the ME of 
the certification decision. Test Developers will analyze the 
certification exam test results to identify future improvements and 
modifications to the test questions. They will also analyze the test 
questions and answers to identify potential patterns of fraud and abuse 
in the testing process.
    Once certified, the ME may perform CMV driver exams on CMV drivers 
who are required to receive a physical exam once every two years. Every 
month, the FMCSA Certified Medical Examiner or his or her designated 
administrative personnel are required to transmit to the National 
Registry at least monthly the results of CMV driver medical 
examinations that they have performed. FMCSA will use the CMV driver 
medical exam information to monitor ME competence and performance in 
evaluating the CMV driver health and fitness and to detect 
irregularities in examination procedures. Certified Medical Examiners 
and their administrative personnel have the option to register with 
FMCSA in order to allow them to view previously submitted CMV driver 
medical exam summary data, upload driver medical examination summary 
data to FMCSA and edit their medical examiner's contact information.

II. The 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

[[Page 24249]]

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).
    FMCSA has published a Privacy Impact Assessment (PIA) for the 
National Registry program and publication of this SORN. 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 NUMBER:
DOT/FMCSA 009

SYSTEM NAME:
    National Registry of Certified Medical Examiners (National 
Registry).

SECURITY CLASSIFICATION:
    Unclassified, Sensitive.

SYSTEM LOCATION:
    Records are maintained at the Volpe National Transportation Systems 
Center (Volpe Center), U.S. Department of Transportation, Cambridge, MA 
02142. Records may also be maintained at authorized Test Delivery 
Organizations, addresses for which may be found on the FMCSA National 
Registry Web site.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Categories of individuals covered by this include:
     Medical Examiners (MEs) applying for FMCSA ME 
Certification.
     Certified MEs' administrative personnel who have 
registered on the National Registry.
     Commercial Motor Vehicle (CMV) Drivers examined by FMCSA 
Certified MEs.

CATEGORIES OF RECORDS COVERED BY THE SYSTEM:
    The National Registry of Certified Medical Examiners system 
collects, processes, transmits, and stores the following types of 
information:
    (1) Information on Medical Examiners:
     Identity Verification
      Full name (first, last, middle initial)*
      Type of ME photographic identification document
      Expiration date of ME photographic identification 
document
      National Registry Number created by FMCSA*
     Contact Information/Place of Business (physical location 
where ME will perform licensed CMV driver medical exams)
      Business name*
      Business address
      Business telephone number
      Business email address
      Business Web site link information
      Medical Credential
      State Medical License Number*
      Medical License State of Issue
      State medical license expiration date
     Medical profession*
     Employer Contact (Health care provider that employs the 
ME)
      Name
      Address
      Telephone number
      Email address
     Training Information
      Training received/completed
      Provider name
      Training provider address
      Training completion date
     Certification Test Information
      Test Delivery Organization/Test Center name
      Date of certification test
      Certification test questions
      Certification test answers
      Test score (numeric)
      Test results (pass/fail)
      Certification Decision/Status
    Data elements marked with an asterisk ``*'' are collectively 
referred to as ``National Registry Identity'' information.
    (2) MEs' Administrative Personnel:
     Identity Verification Information
      Full name (first, last, middle initial)
     ME Business Relationship
      Business address
      Business telephone number
      Business email address
      Business Web site link information
      Name of ME for whom the individual is acting as 
administrative personnel
      Certified ME National Registry number of ME for whom the 
individual is acting as administrative personnel
    (3) Commercial Motor Vehicle Drivers' Information:
     Identity Verification
     [cir] Full name
     [cir] Date of birth
     State Driver's License
      License number
      License issuing State
      Commercial Driver License (CDL) status
      CDL Interstate status
     Medical Examination
      Certificate expiration date
      Name of ME conducting Medical Exam
      Medical qualification decision
      Driver restrictions/variances
      Driver waiver/exemption type
      Supporting medical documentation for medical 
qualification decision making (collected only in event of FMCSA 
oversight/audit activity)

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    SAFETEA-LU sections 4116(a) (codified as amended at 49 U.S.C. 
31149) and 4116(b) (codified as amended at 49 U.S.C. 31136(a)(3)).

PURPOSE(S):
    FMCSA will use the ME contact information, medical credentials, 
training, certification test and identification information to evaluate 
the ME's eligibility for certification. FMCSA may request and review ME 
supporting documentation for eligibility of certification. FMCSA will 
compare the ME's identity verification, contact and medical licensing 
information to the State's medical licensing data provided by the ME 
during registration in order to ensure the data provided by the ME is 
valid. FMCSA reviews the ME test responses in order to validate the 
test grade and score provided by the Test Center and to ensure that the 
Test Center properly graded and scored the test. FMCSA will use the ME 
contact and ME employer information to list eligible FMCSA certified 
MEs on the publically available Web site for the general public to 
search for MEs.
    FMCSA will use the FMCSA ME contact information including that of 
their business and/or employer and/or their designated ME 
administrative personnel (if identified), to communicate with the ME 
regarding the ME's application and certification status.
    FMCSA will use the CMV driver medical exam information to monitor 
the ME competence and performance in evaluating the CMV driver's health 
and to detect irregularities in examination procedures.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND THE 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

[[Page 24250]]

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 the Test Centers verify the ME's identity and 
eligibility to take the ME Certification test, to make changes to ME 
information (at the direction of the ME) in the National Registry at 
the time Certification test, and to transfer Certification test 
information to the National Registry.
     To Test Development Contractors who will use the ME 
Certification test results, ME profession, and geographic location to 
analyze the certification test results to identify future improvements 
and modifications to the test questions and to identify potential 
patterns of fraud and abuse in the testing process by individual 
medical examiner candidates, testing organizations, testing centers, or 
proctors.
     To FMCSA Certified MEs or their Administrative Personnel 
to search for CMV drivers for whom they have performed medical 
examinations and submit/update CMV driver medical exam summary data to 
FMCSA.
     To the general public to perform searches of the 
publically available portion of the National registry for the purpose 
of identifying FMCSA Certified MEs and the location of medical 
examination facilities.
     To an agency, organization, or individual for the purpose 
of performing audit or oversight operations as authorized by law, but 
only such information as is necessary and relevant to such audit or 
oversight function.
     To contractors, consultants, and others performing or 
working on a contract, cooperative agreement, grant, or other 
assignment for DOT, when necessary to accomplish an agency function 
related to this system of records. Individuals provided information 
under this routine use are subject to the same Privacy Act requirements 
and limitations on disclosure as are applicable to FMCSA employees.
     To State Medical Boards for the purposes of verifying ME 
license information and status. (State Medical Boards are the 
authoritative repositories for ME license information and, as such, 
already have access to ME licensing information and the verification of 
the same by the Department does not constitute a disclosure under the 
Privacy Act. This Routine Use is included in this Notice in an effort 
by the Department to be transparent to the public regarding the way it 
which it will use personal information maintained in the National 
Registry system of records.)
     In addition to those disclosures permitted under 5 U.S.C. 
552a(b) of the Privacy Act of 1974, additional disclosures may be made 
in accordance with the U.S. Department of Transportation (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 IN THE SYSTEM:
Storage:
    Records in this system are stored electronically in the National 
Registry system. The records are also stored on backup tapes and sent 
off-site weekly to a secure storage facility.

Retrievability:
    FMCSA may retrieve ME information based on ME name, business name, 
employer address, medical profession, and/or National Registry number. 
FMCSA may retrieve information on CMV drivers based on: driver's last 
name, and exam start and end date range. MEs may access information on 
CMV drivers for whom they have submitted exam results using the 
following criteria: driver's last name, or exam start and end date 
range. Testing Delivery Organizations/Test Centers may access ME 
information for the purposes of verifying ME identity and certification 
eligibility using the ME Name, address and/or National Registry number 
to verify the ME's eligibility and identification.

Accessibility (Including Safeguards):
    Records in this system are safeguarded in accordance with 
applicable rules and policies, including all applicable Federal and 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 the computer system containing the 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 and permissions.

Retention and Disposal:
    The DOT/FMCSA records schedule for the National Registry program 
records is currently pending approval at the National Archives and 
Records Administration (NARA) under Job Number N1-557-11-2. All records 
maintained in this system of records will be treated as permanent 
records until the schedule is approved by NARA. The proposed schedule 
includes the following retention periods for records containing PII: 
National Registry Identity Information for all MEs granted National 
Registry status shall be retained for 60 years from the date that 
certification was granted. Records other than National Registry 
Identity information of MEs who are certified will be retained for 16 
years (the duration of the certificate's effectiveness, which is ten 
(10) years, plus an additional six (6) years to allow employers and 
investigators to verify the validity of CMV drivers' medical 
certification and to allow FMCSA to process ME removals and 
Administrative Reviews of removals).
    National Registry applications of MEs who do not complete the 
certification process will be maintained for one year from initial 
application submission.
    National Registry applications of MEs who fail the qualification 
test or are deemed ineligible for certification by DOT will be 
maintained for one year from the date of the certification decision.
    Records of MEs who voluntarily request removal from the National 
Registry will be maintained for three years from the date the removal 
is finalized by DOT.
    National Registry Identity Information for all MEs involuntarily 
removed from the National Registry shall be retained for 60 years from 
the date that certification was granted. All other records related to 
these MEs shall be retained for 16 years (the duration of the 
certificate's effectiveness, which is ten (10) years, plus an 
additional six (6) years to allow employers and investigators to verify 
the validity of CMV drivers' medical certification and to allow FMCSA 
to process ME removals and Administrative Reviews of removals).
    Records of individual CMV Drivers will be maintained concurrently 
with the records of the ME who performed the driver's medical 
examination.
    Records of the ME's administrative personnel will be maintained 
concurrently with the records of the ME for whom they provide services 
or for one year from the date that the Department is notified that the 
individual is no longer authorized to perform duties in the system on 
behalf the ME, whichever is shorter.

System Manager and Address:
    Elaine Papp, Division Chief, Division of Medical Programs, Office 
of Carrier, Driver and Vehicle Safety, Federal Motor Carrier Safety 
Administration,

[[Page 24251]]

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 
email 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. Requests must conform to the Privacy Act regulations set forth in 
49 CFR part 10. You must verify your identity by providing either a 
notarized statement or a statement signed under penalty of perjury 
stating that you are the person that you say you are. You may fulfill 
this requirement by: (1) Having your signature on your request letter 
witnessed by a notary; or (2) including the following statement 
immediately above the signature on your request letter: ``I declare 
under penalty of perjury that the foregoing is true and correct. 
Executed on [date].'' If you request information about yourself and do 
not follow one of these procedures, your request cannot be processed. 
Requests not following these procedures will not processed.

Record Access Procedures:
    Same as indicated under ``Notification Procedure''.

Procedure to Contest Records:
    Same as indicated under ``Notification Procedure''.

Record Source Categories:
    ME information is obtained from application submissions provided by 
the medical examiner. CMV driver information is provided by the driver 
at the time of medical examination to the ME for submission to FMCSA.

Exemptions Claimed for the System:
    None.

    Dated: April 17, 2012.
Claire W. Barrett,
Departmental Chief Privacy Officer, Department of Transportation.
[FR Doc. 2012-9624 Filed 4-20-12; 8:45 am]
BILLING CODE 4910-62-P