[Federal Register Volume 64, Number 75 (Tuesday, April 20, 1999)]
[Rules and Regulations]
[Pages 19269-19273]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 99-9653]


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DEPARTMENT OF TRANSPORTATION

National Highway Traffic Safety Administration

23 CFR Part 1327

[Docket No. NHTSA-98-5084]
RIN 2127-AH54


Procedures for Participating in and Receiving Data From the 
National Driver Register Problem Driver Pointer System

AGENCY: National Highway Traffic Safety Administration (NHTSA), DOT.

ACTION: Final rule.

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SUMMARY: This final rule announces that changes made to NHTSA's 
National Driver Register (NDR) regulations, through an interim final 
rule implementing a recent amendment to the National Driver Register 
Act of 1982 (the Act), are adopted as final with some changes described 
below. The amendment to the Act authorized the Commandant of the United 
States Coast Guard to request and receive information from the NDR 
regarding the motor vehicle driving records of any officer, chief 
warrant officer, or enlisted member of the Coast Guard or Coast Guard 
Reserve (including a cadet or an applicant for appointment or 
enlistment of any of the foregoing, and any member of a uniformed 
service who is assigned to the Coast Guard). NHTSA's interim final rule 
established the procedures for such individuals to request, and for the 
Commandant to receive, NDR information. This final rule also puts in 
place technical amendments affecting the National Driver Register Act 
of 1982 contained in the Transportation Equity Act for the 21st Century 
(TEA-21).

DATES: This final rule becomes effective May 20, 1999.

FOR FURTHER INFORMATION CONTACT: Mr. William Holden, Chief, Traffic 
Records and Driver Register Division, NTS-32. National Highway Traffic 
Safety Administration, 400 Seventh Street, S.W., Washington, D.C. 
20590; telephone (202) 366-4800 or Ms. Heidi L. Coleman, Assistant 
Chief Counsel for General Law, NCC-30, National Highway Traffic Safety 
Administration, 400 Seventh Street, S.W., Washington, D.C. 20590; 
telephone (202) 366-1834.

SUPPLEMENTARY INFORMATION:

Background

    The NDR is a central file of information on individuals whose 
license to operate a motor vehicle has been denied, revoked, suspended 
or canceled, for cause, or who have been

[[Page 19270]]

convicted of certain serious traffic-related violations such as racing 
on the highways or driving while impaired by alcohol or other drugs.
    The NDR Act of 1982, 49 U.S.C. 30301 et seq., authorizes State 
chief driver licensing officials to request and receive information 
from the NDR for driver licensing and driver improvement purposes. When 
an individual applies for a driver's license, for example, the Act 
authorizes the chief driver licensing official in the State to request 
and receive NDR information in order to determine whether the 
applicant's driver's license has been withdrawn for cause in any other 
State. Because the NDR is a national database, State chief driver 
licensing officials need to submit only a single inquiry to obtain this 
information.
    The Act also authorizes State chief driver licensing officials to 
request NDR information on behalf of other NDR users for transportation 
safety purposes. Until October 1996, the Act authorized the following 
entities to receive NDR information through requests to State chief 
driver licensing officials for the limited purpose of transportation 
safety: the National Transportation Safety Board (NTSB) and the Federal 
Highway Administration (FHWA) for accident investigations; employers 
and prospective employers of motor vehicle operators; the Federal 
Aviation Administration (FAA) regarding any individual who holds or has 
applied for an Airman's Certificate; air carriers regarding individuals 
who are seeking employment with the air carrier; the Federal Railroad 
Administration (FRA) and employers or prospective employers of 
locomotive operators; and the U.S. Coast Guard regarding any individual 
who holds or who has applied for a license, certificate of registry, or 
a merchant mariner's document. The Act also provided that the U.S. 
Coast Guard could not obtain NDR information that was entered in the 
register more than three years before the date of the request. In 
addition, the Act allowed individuals to learn whether information 
about themselves was in the NDR file and to receive any such 
information.

Expanded Access to the Coast Guard

    On October 19, 1996, Public Law 104-324 was enacted. Section 207 of 
that law contained an amendment to the Act authorizing the Commandant 
of the Coast Guard to request and receive NDR information regarding any 
officer, chief warrant officer, or enlisted member of the Coast Guard 
or Coast Guard Reserve (including a cadet or an applicant for 
appointment or enlistment of any of the foregoing, and any member of a 
uniformed service who is assigned to the Coast Guard).
    On December 2, 1997 (62 FR 63655), NHTSA published an interim final 
rule in the Federal Register amending the regulations that implement 
the Act. The interim final rule provided that the procedures that the 
Commandant of the Coast Guard would use to receive NDR information on 
Coast Guard personnel would be the same as those previously used by the 
Coast Guard to receive information regarding individuals who hold or 
who have applied for a license, certificate of registry, or a merchant 
mariner's document.
    The interim final rule explained that the Commandant of the Coast 
Guard may not initiate a request for NDR information. Rather, the 
individual member or applicant must do so. The interim final rule 
stated that to initiate a request, the individual must either complete, 
sign, and submit a request for an NDR file search, or the individual 
must authorize the Commandant of the Coast Guard to request the NDR 
file search by completing and signing a written consent. The request or 
written consent must explain that NDR records are being requested; 
state specifically who is authorized to receive the records; be dated 
and signed by the individual (the member or applicant); and 
specifically state that the authorization is valid for only one search 
of the NDR. The consent also must state specifically that the NDR 
identifies ``probable'' matches that require further inquiry for 
verification, that it is recommended (but not required) that the 
Commandant of the Coast Guard verify matches with the State of record, 
and the consent must explain that individuals have the right to request 
their own NDR records in order to verify the accuracy of that 
information.
    The interim final rule indicated that the Commandant of the Coast 
Guard may receive such information and shall make the information 
available to the individual. The interim final rule provided that the 
Commandant will not receive any information that was entered in the 
Register more than three years before the date of the request, unless 
the information relates to a revocation or suspension still in effect 
on the date of the request.
    The interim final rule stated, in accordance with Public Law 104-
324, that requests to transmit NDR information to the Commandant were 
to be submitted through a State chief driver licensing official.
    The interim rule explained that the NDR response would be sent to 
the chief driver licensing official who would provide it to the 
Commandant and would indicate whether a match (probable identification) 
was found and, if so, the response would identify the State in which 
the full substantive record can be found (the State of record). The 
interim final rule encouraged the Commandant to obtain the substantive 
data relating to the match from the State of record to determine 
whether the person described in the record is in fact the subject 
individual before taking further action.

Request for Comments

    NHTSA requested comments from interested persons on the procedures 
put in place by the interim final rule published in the Federal 
Register on December 2, 1997. Those comments were due no later than 
February 2, 1998. The interim final rule explained that the agency 
would consider and respond to all comments and, if appropriate, would 
make further amendments to the applicable provisions of 23 CFR Part 
1327. Since NHTSA received no comments on the interim final rule, this 
final rule adopts the interim final rule subject to the changes 
described below, which NHTSA is adopting in conformance with the 
amendments to the Act contained in TEA-21.

TEA-21 Amendments

    The Transportation Equity Act for the 21st Century (TEA-21), Public 
Law 105-178, 112 Stat. 107, was signed into law on June 9, 1998. 
Section 2006 of the law contained amendments to the access provisions 
of the NDR Act of 1982, as amended, 49 U.S.C. 30305(b).

Federal Transportation Licensing Officials

    TEA-21 amended the NDR Act of 1982 to permit the head of a Federal 
department or agency that issues motor vehicle operator's licenses, 
such as the State Department, to receive NDR information. This final 
rule puts in place this change to the NDR procedures.

Other Federal Entities Can Directly Request NDR Information for 
Limited Transportation Safety Purposes

    The TEA-21 amendments also provide that any Federal department or 
agency authorized to receive NDR information may request NDR 
information directly from the NDR, rather than requesting the 
information through State chief driver licensing officials. These 
Federal departments and agencies now include: the Chairman of the 
National Transportation Safety Board (NTSB) and the Administrator of 
the Federal Highway Administration

[[Page 19271]]

(FHWA) regarding an individual who is the subject of an accident 
investigation conducted by the Board or Administrator; the Federal 
Aviation Administration (FAA) regarding an individual who has received 
or applied for an Airman's Certificate; the Federal Railroad 
Administration (FRA) regarding a locomotive operator; the Commandant of 
the United States Coast Guard regarding an individual who holds or who 
has applied for a license, certificate of registry, or a merchant 
mariner's document, and also regarding any officer, chief warrant 
officer, or enlisted member of the Coast Guard or Coast Guard Reserve 
(including a cadet or an applicant for appointment or enlistment of any 
of the foregoing, and any member of a uniformed service who is assigned 
to the Coast Guard); and the head of a Federal department or agency 
that issues motor vehicle operator's licenses regarding an applicant 
for a motor vehicle operator's license from such department or agency.
    As a result of this change, these Federal departments and agencies 
have a choice between continuing to request NDR information through 
State driver licensing officials or, alternatively, requesting the NDR 
information themselves, directly from the NDR.
    This final rule incorporates this change into the NDR implementing 
regulations. The change is expected to reduce administrative burdens on 
both these Federal entities and the participating States with respect 
to requests for and the receipt of NDR information.

Suspensions or Revocations Still in Effect

    Prior to the enactment of TEA-21, the Act provided that employers 
or prospective employers of motor vehicle operators could not receive 
NDR information that was entered into the Register more than three 
years before the date of the request. Other requesters, such as the 
Commandant of the U.S. Coast Guard, were subject to the same 
restraints, except that these entities could receive NDR information 
received more than three years prior to the date of the request if the 
information concerned a suspension or revocation still in effect on the 
date of the request.
    TEA-21 amended the Act to apply this exception to employers and 
prospective employers of motor vehicle operators. This final rule 
effects this change to the NDR implementing regulations.

Other Changes

    This final rule also amends the NDR regulations with non-
substantive changes designed to simplify the regulations, reduce 
redundancies, and make the regulations easier to follow.

Regulatory Analyses and Notice

Executive Order 12778 (Civil Justice Reform)

    This final rule will not have any preemptive or retroactive effect. 
The enabling legislation does not establish a procedure for judicial 
review of final rules promulgated under its provisions. There is no 
requirement that individuals submit a petition for reconsideration or 
other administrative proceedings before they may file suit in court.

Executive Order 12866 (Regulatory Planning and Review) and DOT 
Regulatory Policies and Procedures

    The agency has determined that this action is not a significant 
regulatory action within the meaning of Executive Order 12866 or 
Department of Transportation Regulatory Policies and Procedures. The 
changes in this interim final rule merely reflect amendments contained 
in Public Law 104-324. Accordingly, a full regulatory evaluation is not 
required.

Regulatory Flexibility Act

    In compliance with the Regulatory Flexibility Act (Public Law 96-
354, 5 U.S.C. 601-612), the agency has evaluated the effects of this 
action on small entities. Based on the evaluation, we certify that this 
action will not have a significant impact on a substantial number of 
small entities. Accordingly, the preparation of a Regulatory 
Flexibility Analysis is unnecessary.

Paperwork Reduction Act

    There are reporting requirements contained in the regulation that 
this rule is amending that are considered to be ``collection of 
information'' requirements, as defined by the Office of Management and 
Budget (OMB) in 5 CFR Part 1320. Accordingly, these requirements have 
been submitted previously to and approved by OMB, pursuant to the 
requirements of the Paperwork Reduction Act (44 U.S.C. 3501, et seq.). 
These requirements have been approved through September 30, 2000, under 
OMB No. 2127-0001.

National Environmental Policy Act

    The agency has analyzed this action for the purpose of the National 
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and has 
determined that it will not have any significant impact on the quality 
of the human environment.

Executive Order 12612 (Federalism Assessment)

    This action has been analyzed in accordance with the principles and 
criteria contained in Executive Order 12612, and it has been determined 
that this action does not have sufficient federalism implications to 
warrant the preparation of a federalism assessment.

List of Subjects in 23 CFR Part 1327

    Highway safety, Intergovernmental relations, National Driver 
Register, Reporting and recordkeeping requirements, Transportation 
safety.

    In consideration of the foregoing, the interim final rule published 
in the Federal Register of December 2, 1997, 62 CFR 63655, amending 23 
CFR Part 1327, is adopted as final, with the following changes:

PART 1327--PROCEDURES FOR PARTICIPATING IN AND RECEIVING 
INFORMATION FROM THE NATIONAL DRIVER REGISTER PROBLEM DRIVER 
POINTER SYSTEM

    1. The authority citation for part 1327 continues to read as 
follows:

    Authority: Pub. L. 97-364, 96 Stat. 1740, as amended (49 U.S.C. 
30301 et seq.); delegation of authority at 49 CFR 1.50.


Sec. 1327.5  [Amended]

    2. Amend Sec. 1327.5 as follows:
    a. Paragraph (a)(1)(ii) is amended by revising ``ii)'' to read 
``(ii)'';
    b. Paragraph (c)(2) introductory text is amended by adding a 
sentence at the end to read as set forth below; and
    c. Redesignating paragraph (c)(3) as paragraph (c)(4) and by adding 
a new paragraph (c)(3) to read as follows:


Sec. 1327.5  Conditions for becoming a participating State.

* * * * *
    (c) * * *
    (2) * * * Information may not be obtained from the National Driver 
Register under this paragraph (c) if the information was entered in the 
Register more than three years before the date of the request unless 
the information is about a revocation or suspension still in effect on 
the date of the request.
* * * * *
    (3) The head of a Federal department or agency that issues motor 
vehicle operator's licenses about an individual applicant for a motor 
vehicle operator's license from such department or agency. The head of 
the department or agency may request NDR information through the chief 
driver licensing official of a State and may receive the information, 
provided the requesting Federal department or agency participates in 
the NDR as a reporting agency.

[[Page 19272]]

    (i) A reporting agency is an agency that transmits to the NDR a 
report regarding any individual who has been denied a motor vehicle 
operator's license for cause; whose motor vehicle operator's license is 
revoked, suspended, or canceled by that department or agency for cause; 
or about whom the department or agency has been notified of a 
conviction of any of the motor vehicle related offenses listed in 
paragraph (a)(1)(iii) of this section and Appendix A to this part and 
over whom the department or agency has licensing authority.
    (ii) All reports transmitted by a reporting agency shall contain 
the following data:
    (A) The legal name, date of birth (including day, month, and year), 
sex, and, if available to the agency, height, weight, and eye color;
    (B) The name of the agency transmitting such information; and
    (C) The social security account number, if used by the reporting 
agency for driver record or motor vehicle license purposes, and the 
motor vehicle operator's license number of such individual (if that 
number is different from the operator's social security account 
number); except that
    (D) Any report concerning an occurrence identified in paragraph 
(c)(3)(i) of this section which occurs during the two-year period 
preceding the date on which the agency becomes a participating agency 
shall be sufficient if it contains all such information as is available 
to the agency on such date.
* * * * *
    3. Section 1327.6 is amended by redesignating paragraphs (g) and 
(h) as paragraphs (h) and (i), by revising paragraphs (a) through (f), 
and by adding a new paragraph (g) to read as follows:


Sec. 1327.6  Conditions and procedures for other authorized users of 
the NDR.

    (a) NTSB and FHWA. To initiate an NDR file check before a fully 
electronic Register system has been established, the National 
Transportation Safety Board or the Federal Highway Administration 
(Office of Motor Carriers) shall submit a request for such check to the 
State with which previous arrangements have been made, in accordance 
with procedures established by that State for this purpose. To initiate 
an NDR file check once a fully electronic Register system has been 
established, the NTSB or FHWA shall submit a request for such check to 
the participating State with which previous arrangements have been 
made, in accordance with procedures established by that State for this 
purpose. The NTSB or FHWA may also submit a request for an NDR file 
check to the NDR directly.
    (b) Federal departments or agencies that issue motor vehicle 
operator's licenses. To initiate an NDR file check, a Federal 
department or agency that issues motor vehicle operator's licenses 
shall submit a request for such check to a participating State, in 
accordance with procedures established by that State for this purpose. 
The Federal department or agency that issues motor vehicle operator's 
licenses may also submit a request for an NDR file check to the NDR 
directly, in accordance with procedures established by the NDR for that 
purpose.
    (c) Employers or prospective employers of motor vehicle operators 
(including Federal Agencies). (1) To initiate an NDR file check, the 
individual who is employed or seeking employment as a motor vehicle 
operator shall follow the procedures specified in Sec. 1327.7.
    (2) Upon receipt of the NDR response, the employer/prospective 
employer shall make the information available to the employee/
prospective employee.
    (3) In the case of a match (probable identification), the employer/
prospective employer should obtain the substantive data relating to the 
record from the State of Record and verify that the person named on the 
probable identification is in fact the employee/prospective employee 
before using the information as the basis for any action against the 
individual.
    (d) Federal Aviation Administration. (1) To initiate an NDR file 
check, the individual who has applied for or received an airman's 
certificate shall follow the procedures specified in Sec. 1327.7.
    (2) Upon receipt of the NDR response, the FAA shall make the 
information available to the airman for review and written comment.
    (3) In the case of a match (probable identification), the FAA 
should obtain the substantive data relating to the record from the 
State of Record and verify that the person named on the probable 
identification is in fact the airman concerned before using the 
information as the basis of any action against the individual.
    (e) Federal Railroad Administration and/or employers or prospective 
employers of railroad locomotive operators. (1) To initiate an NDR file 
check, the individual employed or seeking employment as a locomotive 
operator shall follow the procedures specified in Sec. 1327.7.
    (2) Upon receipt of the NDR response, the FRA or the employer/
prospective employer, as applicable, shall make the information 
available to the individual.
    (3) In the case of a match (probable identification), the FRA or 
the employer/prospective employer, as applicable, should obtain the 
substantive data relating to the record from the State of Record and 
verify that the person named on the probable identification is in fact 
the individual concerned before using the information as the basis of 
any action against the individual.
    (f) U.S. Coast Guard. (1) To initiate an NDR file check, the 
individual who holds or who has applied for a license, certificate of 
registry, or a merchant mariner's document or the officer, chief 
warrant officer, or enlisted member of the Coast Guard or Coast Guard 
Reserve shall follow the procedures specified in Sec. 1327.7.
    (2) Upon receipt of the NDR response, the U.S. Coast Guard shall 
make the information available to the individual for review and written 
comment before denying, suspending or revoking the license, certificate 
of registry, or merchant mariner's document of the individual based on 
that information and before using that information in any action taken 
under chapter 77 of title 46, U.S. Code.
    (3) In the case of a match (probable identification), the U.S. 
Coast Guard should obtain the substantive data relating to the record 
from the State of Record and verify that the person named on the 
probable identification is in fact the individual concerned before 
using the information as the basis of any action against the 
individual.
    (g) Air carriers. (1) To initiate an NDR file check, the individual 
seeking employment as a pilot with an air carrier shall follow the 
procedures specified in Sec. 1327.7 and also must specifically state 
that, pursuant to Section 502 of the Pilot Records Improvement Act of 
1996, Public Law 104-264, 110 Stat. 3259 (49 U.S.C. 30305), the request 
(or written consent) serves as notice of a request for NDR information 
concerning the individual's motor vehicle driving record and of the 
individual's right to receive a copy of such information.
    (2) Air carriers that maintain, or request and receive NDR 
information about an individual must provide the individual a 
reasonable opportunity to submit written comments to correct any 
inaccuracies contained in the records before making a final hiring 
decision with respect to the individual.
    (3) In the case of a match (probable identification), the air 
carrier should obtain the substantive data relating to the record from 
the State of Record and

[[Page 19273]]

verify that the person named on the probable identification is in fact 
the individual concerned before using the information as the basis of 
any action against the individual.
* * * * *
    4. Add a new section, 1327.7, to read as follows:


Sec. 1327.7  Procedures for NDR information requests.

    (a) To initiate an NDR file check, an individual who is employed or 
seeking employment as a motor vehicle operator; who has applied for or 
received an airman's certificate; who is employed or seeking employment 
as a locomotive operator; who holds or has applied for a license, 
certificate of registry, or a merchant mariner's document or is an 
officer, chief warrant officer, or enlisted member of the U.S. Coast 
Guard or Coast Guard Reserve; or who is seeking employment as a pilot 
with an air carrier; shall either:
    (1) Complete, sign and submit a request for an NDR file check 
directly to the chief driver licensing official of a participating 
State in accordance with procedures established by that State for this 
purpose; or
    (2) Authorize, by completing and signing a written consent, the 
authorized NDR user to request a file check through the chief driver 
licensing official of a participating State in accordance with the 
procedures established by that State for this purpose.
    (b) If the authorized NDR user is an employer or prospective 
employer of a motor vehicle operator, the request for an NDR file check 
must be submitted through the chief driver licensing official of the 
State in which the individual is licensed to operate a motor vehicle.
    (c) If the authorized NDR user is the head of a Federal department 
or agency, the request for an NDR file check may be submitted instead 
directly to the NDR in accordance with procedures established by the 
NDR for this purpose.
    (d) The request for an NDR file check or the written consent, 
whichever is used, must:
    (1) State that the NDR records are to be released;
    (2) State as specifically as possible who is authorized to receive 
the records;
    (3) Be signed and dated by the individual (or the individual's 
legal representative as appropriate);
    (4) Specifically state that the authorization is valid for only one 
search of the NDR; and
    (5) Specifically state that the NDR identifies probable matches 
that require further inquiry for verification; that it is recommended, 
but not required, that the employer/prospective employer verify matches 
with the State of Record; and that individuals have the right to 
request records regarding themselves from the NDR to verify their 
accuracy.

    Issued on: April 13, 1999.
Ricardo Martinez,
Administrator, National Highway Traffic Safety Administration.
[FR Doc. 99-9653 Filed 4-19-99; 8:45 am]
BILLING CODE 4910-59-P