Document ID: FMCSA-2010-0227-0001
Agency: fmcsa
Document Type: Rule
Title: Guidance to States: Driver History Record Information Security, Continuity of Operation Planning, and Disaster Recovery Planning
Posted Date: 2010-07-02T04:00Z

[Federal Register Volume 75, Number 127 (Friday, July 2, 2010)]
[Notices]
[Pages 38595-38596]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-16226]

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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

Guidance to States Regarding Driver History Record Information 
Security, Continuity of Operation Planning, and Disaster Recovery 
Planning

AGENCY: Federal Motor Carrier Safety Administration, DOT.

ACTION: Notice.

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SUMMARY: The Federal Motor Carrier Safety Administration (FMCSA) 
announces guidance to State driver licensing agencies (SDLAs) to 
support their efforts at maintaining the security of information 
contained in the driver history record of commercial driver's license 
(CDL) holders. Further, FMCSA provides States with recommendations 
related to continuity of operation and disaster recovery planning to 
ensure the permanence of information contained in the driver history 
record of a CDL holder. This action is in response to the Department of 
Transportation Office of the Inspector General's (OIG) 2009 report 
Audit of the Data Integrity of the Commercial Driver's License 
Information System (CDLIS).

FOR FURTHER INFORMATION CONTACT: Selden Fritschner, Chief, Commercial 
Driver's License Division, E-mail: selden.fritschner@dot.gov, 
Telephone: 202-366-0677, or Kelvin Taylor, Information Systems Security 
Officer, E-mail: kelvin.taylor@dot.gov, Telephone: 202-366-4028. 
Federal Motor Carrier Safety Administration, 1200 New Jersey Ave., SE., 
Washington, DC 20590.

SUPPLEMENTARY INFORMATION:

I. Background

    In July 2009, the Department of Transportation's Office of 
Inspector General released the report Audit of the Data Integrity of 
the Commercial Driver's License Information System as required by the 
Safe, Accountable, Flexible, Efficient Transportation Equity Act: A 
Legacy for Users (SAFETEA-LU) (Pub. L. 109-59). CDLIS consists of a 
database, known as the Central Site, which maintains individual Master 
Pointer Records (MPR) with identifying information for each CDL holder 
in the United States. This database directs or points inquirers to the 
database of each of the 51 CDL-issuing jurisdictions for more complete 
driver history records. Connectivity for the system is provided through 
an encrypted communications network. The FMCSA has designated the 
American Association of Motor Vehicle Administrators (AAMVA) as the 
operator of the Central Site and the communications network. States are 
responsible for ensuring their systems comply with the CDLIS 
specifications and procedures as published by AAMVA.
    In preparing its report, OIG evaluated several factors related to 
the information stored at the CDLIS Central Site and on State 
databases. Specifically, OIG attempted to determine ``whether CDLIS and 
State department of motor vehicles (DMV) information systems were 
adequately secured,'' and ``the adequacy of contingency plans to ensure 
continued CDLIS service to DMVs following a disaster or emergency.'' 
(Note: The OIG report refers to DMVs. However, as States continue to 
reorganize their organizations away from all-inclusive DMVs, FMCSA has 
used the term ``State Driver Licensing Agencies'' in previous 
rulemakings to refer to these same agencies responsible for issuing 
CDLs).
    The identifying information on the MPR at the CDLIS Central Site 
includes the name, date of birth, social security number, State of 
Record, and driver's license number. Because this information, both as 
individual and cumulative data elements, is considered personally 
identifiable information (PII), possessors of the information must take 
specific steps to prevent unauthorized access and dissemination. At the 
same time, because the information contained at the CDLIS Central Site 
and on SDLA databases is crucial to highway safety during the CDL 
issuance process and at roadside enforcement/inspection, it is 
paramount that the data be available to all authorized users with 
minimal disruption.

[[Page 38596]]

    In its report, OIG noted that FMCSA had neither developed and 
implemented sufficient comprehensive security policies and procedures 
to protect the portal it uses to access CDLIS, nor had it developed 
complete contingency and testing plans for this system to ensure 
uninterrupted CDL information services in the event of a disaster or 
system outage. The FMCSA is currently addressing these findings by 
working directly with its service providers and is reporting its 
progress to OIG through corrective action plan updates. As the operator 
of CDLIS, AAMVA is also modernizing the system to adhere to standards 
established by the Federal Information Security Management Act (FISMA). 
Similar FISMA standards are being applied to the portal FMCSA owns and 
uses to access CDLIS.
    The OIG also noted similar deficiencies in some State systems and 
programs. In five of nine States reviewed, the OIG found that 
information security practices, including continuity of operation and 
disaster recovery policies and plans, were either non-existent or 
informal, and that State continuity of operations, disaster recovery, 
and information system contingency planners had never engaged in 
adequate testing exercises.

Guidance

    As a result of OIG's findings, FMCSA encourages States to evaluate 
their information security programs and either establish or update 
policies, plans, and procedures, to provide an adequate level of 
protection to sustain their operational mission and responsibilities.
    While States are not required to meet Federal information security 
standards, each State should ensure that it has adequate and 
comprehensive processes and procedures in place to protect PII and 
sensitive information and to sustain its key operations during an 
outage. The National Institute of Standards and Technology's (NIST) 
Computer Security Division maintains a Computer Security Resource 
Center (CSRC) that provides free information to government and non-
governmental entities in an effort to protect information systems 
against threats and ensure availability of information and services. 
FMCSA recommends that States consider NIST standards and review the 
publications available at its Web site: http://csrc.nist.gov/index.html.

I. Information Security

    The key deficiency in States that OIG noted was the lack of current 
information security plans. Adequate planning is necessary to document 
standards and provide for continuous review and improvement. FMCSA 
strongly encourages States to develop an Information Security Strategic 
Plan (ISSP) that addresses organizational structure and governance, 
roles and responsibilities, and enterprise architecture. From this 
ISSP, the State should develop specific policies and guidance to ensure 
information security. Further, a coordinated plan allows for systematic 
monitoring and improvement.
    While obviously not intended to be comprehensive for large 
organizations such as State driver licensing agencies, NIST Interagency 
Report (IR) 7621, Small Business Information Security: The Fundamentals 
provides basic information about information security issues. Topics in 
this publication include: Protecting information systems from damage by 
viruses, spyware, and malicious code; protecting internet connections; 
using firewalls; updating operating systems and applications; securing 
wireless access points and networks; controlling physical access to 
network components; training employees about information security; and 
limiting employee authority to install software, access certain 
websites, and gain access to network controls. Though States are not 
required to comply with FISMA, NIST Special Publication (SP) 800-53, 
Recommended Security Controls for Federal Information Systems and 
Organizations (Rev. 3, August 2009), provides a comprehensive guide to 
information security standards. NIST SP 800-100, Information Security 
Handbook: A Guide for Managers, also provides overview information for 
developing a security plan. NIST currently makes available over 30 
additional publications related specifically to information security on 
topics ranging from wireless network access authentication to 
enterprise password management.

II. System and Service Unavailability

    To mitigate the risks associated with system and service 
unavailability, FMCSA encourages States to establish and implement:
    Continuity of Operations Plan (COOP)--A plan that focuses on 
restoring an organization's essential functions at an alternate site 
and performing those functions for up to 30 days before returning to 
normal operations.
    Disaster Recovery Plan (DRP)--An information technology plan 
designed to restore operability of a system, application, or computer 
facility after an emergency.
    Information Technology Contingency Plan (ITCP)--A plan focused on 
ensuring continuity-of-support for major applications in the event of a 
disruption in normal operations due to an emergency.
    These plans should include a business impact analysis (BIA) to 
determine: the interdependence of systems and work priorities in the 
event of a disruption; actions necessary to restore system operations 
on a short term basis after a disruption until a more permanent 
solution can be implemented; and actions necessary to reconstitute a 
disrupted facility or lost data to its previous level of capability. 
The BIA should also include an analysis of the organization's reliance 
upon contracted support and connectivity, a prioritization list of the 
systems necessary for the organization's mission-critical functions, 
maximum allowable outages for system components (measured in hours or 
days), and responsibilities associated with restoring critical 
functions (including a line of succession in cases of staff 
unavailability). For further information on contingency planning, 
consult NIST's Special Publication 800-34: Contingency Planning Guide 
for Information Technology Systems.
    In addition to establishing plans for service disruption and 
disaster recovery, it is critical to perform tests that assure the 
plans will work. These tests should be designed as cost-effective ways 
of determining if contingency systems and personnel perform as 
expected. The tests also provide the organization and its personnel 
with the confidence and experience necessary to respond to a real 
event. Tests can range from classroom exercises to full system testing 
that simulates a real event. Tests should be documented and the results 
examined for lessons learned and improvements necessary to the 
contingency plans. For further information on contingency testing, 
consult NIST's Special Publication 800-84: Guide to Test, Training, and 
Exercise Programs for IT Plans and Capabilities.

    Issued on: June 23, 2010.
Anne S. Ferro,
Administrator.
[FR Doc. 2010-16226 Filed 7-1-10; 8:45 am]
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