[Federal Register Volume 71, Number 221 (Thursday, November 16, 2006)]
[Proposed Rules]
[Pages 66723-66748]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: E6-19246]


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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

49 CFR Parts 383, 384, 390, and 391

[Docket No. FMCSA-1997-2210]
RIN 2126-AA10


Medical Certification Requirements as Part of the CDL

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

ACTION: Notice of proposed rulemaking (NPRM); request for comments.

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SUMMARY: FMCSA proposes to amend the Federal Motor Carrier Safety 
Regulations (FMCSRs) to merge information from the medical certificate 
into the Commercial Driver's License (CDL) process as required by 
section 215 of the Motor Carrier Safety Improvement Act of 1999 
(MCSIA). This NPRM would implement section 215 by requiring interstate 
CDL holders subject to the physical qualification requirements of the 
FMCSRs to provide a current original or copy of their medical 
examiner's certificates to their State Driver Licensing Agency (SDLA). 
It would also require the SDLA to record on the Commercial Driver 
License Information System (CDLIS) driver record the certification the 
driver made regarding applicability of 49 CFR part 391, and, for 
drivers subject to part 391, the medical status information proposed in 
this NPRM. The driver's certification as to the applicability of part 
391 and the specified medical certification status information would be 
made available to personnel authorized in 49 CFR part 384 via CDLIS and 
National Law Enforcement Telecommunication System (NLETS) electronic 
inquiries, and on the CDLIS motor vehicle record (CDLIS MVR) obtained 
by employers and drivers. CDL drivers would no longer be required to 
carry the medical examiner's certificate, because their certification 
status would be verified electronically.

DATES: Comments must be received by February 14, 2007.

ADDRESSES: You may submit comments identified by DOT DMS Docket Number 
FMCSA-1997-2210 by any of the following methods:
     Web site: http://dms.dot.gov. Follow the instructions for 
submitting comments on the DOT electronic site.
     Fax: 1-202-493-2251.
     Mail: Docket Management Facility; U.S. Department of 
Transportation, 400 Seventh Street, SW., Nassif Building, Room PL-401, 
Washington, DC 20590-0001.
     Hand Delivery: Room PL-401 on the plaza level of the 
Nassif Building, 400 Seventh Street, SW., Washington, DC, between 9 
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
     Federal eRulemaking Portal: Go to http://www.regulations.gov. Follow the online instructions for submitting 
comments.
    Instructions: All submissions must include the Agency name and 
docket number or Regulatory Identification Number (RIN) for this 
rulemaking (RIN 2126-AA10). Note that all comments received will be 
posted without change to http://dms.dot.gov, including any personal 
information provided. Please refer to the Privacy Act heading for 
FURTHER INFORMATION CONTACT.
    Docket: For access to the docket to read background documents or 
comments received, go to http://dms.dot.gov at any time or to Room PL-
401 on the plaza level of the Nassif Building, 400 Seventh Street, SW., 
Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday, 
except Federal holidays.
    Privacy Act: Anyone is able to search the electronic form of all 
comments received into 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 in the Federal Register published on 
April 11, 2000 (65 FR 19477) or you may visit http://dms.dot.gov.
    Comments received after the comment closing date will be included 
in the docket and we will consider late comments to the extent 
practicable. FMCSA may, however, issue a final rule at any time after 
the close of the comment period.

FOR FURTHER INFORMATION CONTACT: Dr. Mary D. Gunnels, Chief, Physical 
Qualifications Division, Federal Motor Carrier Safety Administration, 
400 Seventh Street, SW., Room 8301, Washington, DC 20591; Telephone: 
(202) 366-4001; E-mail address: [email protected].

SUPPLEMENTARY INFORMATION:

Outline of the NPRM

A. Legal Basis
    1. Authority Over Drivers Affected
    2. Authority To Regulate State CDL Programs
B. Background
    1. Current CDL Information and Recordkeeping Systems
    2. Medical Certification of CDL Drivers Subject to Part 391
    3. Current CDL Requirements Regarding Physical Qualifications
    4. State Feasibility Pilot Tests
    5. Advance Notice of Proposed Rulemaking
    6. Negotiated Rulemaking Advisory Committee
C. Rulemaking Proposal
    1. Highlights of Proposed New CDL Licensing Process
    2. Potential Impacts on States
    3. Potential Impacts on Motor Carriers Employing CDL Drivers
    4. Potential Impacts on Drivers
D. Implementation Date
E. Section-by-Section Explanation of Changes
F. Summary Cost Benefit Analysis
G. Rulemaking Analyses

[[Page 66724]]

List of Subjects

A. Legal Basis

    Section 215 of MCSIA (Pub. L. 106-159, 113 Stat. 1767 (Dec. 9, 
1999)) (set out as a note to 49 U.S.C. 31305) provides that: ``The 
Secretary shall initiate a rulemaking to provide for a Federal medical 
qualification certificate to be made a part of commercial driver's 
licenses.'' The population of drivers required to obtain a CDL is 
different from the population of drivers required to obtain a medical 
certificate. For that reason, in order to implement this congressional 
mandate, the proposed rule reconciles the differences between the scope 
of the Agency's authority to regulate the physical qualifications of 
drivers of commercial motor vehicles (CMVs) and its authority to 
establish requirements for the issuance of commercial driver's 
licenses. The proposed rule would place requirements on only those 
drivers required to obtain a CDL from a State who are also required to 
obtain a certificate from a medical examiner indicating that they are 
physically qualified to operate a commercial motor vehicle in 
interstate commerce. The proposed rule would also establish 
requirements to be implemented by States that issue CDLs to such 
drivers. These requirements would ensure that accurate and timely 
information about the medical examiner's certificate would be contained 
in the electronic CDLIS driver record maintained in compliance with the 
CDL regulations. Finally, the proposed rule would require States to 
take certain actions against CDL holders if such information is not 
kept accurate and up-to-date in a timely manner.

1. Authority Over Drivers Affected

    a. Drivers Required To Obtain a Medical Certificate. FMCSA is 
required by statute to establish standards for the physical 
qualifications of drivers who operate CMVs in interstate commerce. (49 
U.S.C. 31136(a)(3) and 31502(b)) For this purpose, CMVs are defined in 
49 U.S.C. 31132(1) and 49 CFR 390.5. There are four basic categories of 
vehicles covered by this definition:

     Those with a gross vehicle weight rating (GVWR) or 
gross combination weight rating (GCWR), or gross vehicle weight 
(GVW) or gross combination weight (GCW), whichever is greater, of at 
least 10,001 pounds;
     Those designed or used to transport for compensation 
more than 8 passengers, including the driver;
     Those designed or used to transport not for 
compensation more than 15 passengers, including the driver; or
     Those used to transport hazardous materials that 
require a placard on the vehicle under 49 CFR subtitle B, chapter I, 
subchapter C.

    In addition, the vehicles in these categories must be ``used on the 
highways in interstate commerce to transport passengers or property.'' 
(Id.) Interstate commerce, for purposes of this provision, is based on 
the definitional provisions of 49 U.S.C. 31132(4) and 31502(a) and 
long-standing administrative and judicial interpretations of those 
sections (and their predecessors), and defined in 49 CFR 390.5 as 
follows:

    Interstate commerce means trade, traffic, or transportation in 
the United States--
    (1) Between a place in a State and a place outside of such State 
(including a place outside of the United States);
    (2) Between two places in a State through another State or a 
place outside of the United States; or
    (3) Between two places in a State as part of trade, traffic, or 
transportation originating or terminating outside the State or the 
United States.

    With certain limited exceptions,\1\ FMCSA has fulfilled the 
statutory mandate of 49 U.S.C. 31136(a)(3) by establishing physical 
qualification standards for all drivers covered by these provisions. 
(49 CFR 391.11(b)(4)). Such drivers must also obtain from a medical 
examiner a certification indicating that the driver is physically 
qualified to drive a CMV. (49 CFR 391.41(a), 391.43(g) and (h)). The 
proposed rule would not make any change in the requirements for 
obtaining a medical certificate. But, on the basis of this 
authority, it would require drivers subject to the medical 
examiner's certificate requirement who are also required to obtain a 
CDL, to furnish the original or a copy of the certificate to the 
licensing State. As explained in the Summary Cost Benefit Analysis 
in this Notice, the proposed rule should improve compliance by CMV 
operators with the physical qualification standards in the FMCSRs. 
By doing so, the proposed rule would aid the Agency in ensuring that 
the physical condition of CMV operators is adequate to enable them 
to operate safely and that such operation does not have a 
deleterious effect on their health, as required by section 
31136(a)(3) and (4). The other minimum requirements of section 
31136, set out in subsections (a)(1) and (2), are not applicable to 
the proposed rule, because it does not involve either the safety of 
CMV equipment or the operational activities of the operators.
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    \1\ See 49 CFR 390.3(f) and 391.2.
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    b. Drivers Required To Obtain a CDL. The authority for FMCSA to 
require an operator of a CMV to obtain a CDL rests on different 
statutory provisions than those authorizing the promulgation of 
physical and medical qualifications for such operators; the 
authority is found in 49 U.S.C. 31302. The requirement to obtain a 
CDL is applicable to drivers of specified CMV categories that are 
different from the categories specified in 49 U.S.C. 31132(1) and 
the implementing regulations, as discussed in the preceding section. 
The four categories of CMVs for which an operator is required to 
have a CDL, as defined in 49 U.S.C. 31301(4) and specified in 49 CFR 
383.5, are:

     Those with a gross combination weight rating or gross 
combination weight, of at least 26,001 pounds, including towed units 
with gross vehicle weight rating or gross combination weight of more 
than 10,000 pounds;
     Those with a gross vehicle weight rating or gross 
vehicle weight of at least 26,001 pounds;
     Those designed to transport at least 16 passengers, 
including the driver; or
     Those of any size used to transport either hazardous 
materials that require a placard on the vehicle under 49 CFR part 
172, subpart F, or any quantity of a material listed as a select 
agent or toxin under 42 CFR part 73.

    In addition, the vehicles involved must be used ``in commerce to 
transport passengers or property.'' (49 U.S.C. 31301(4)). The term 
``commerce'' is defined for the purpose of the CDL statutes and 
regulations as:

    trade, traffic, and transportation--
    (A) in the jurisdiction of the United States between a place in 
a State and a place outside that State (including a place outside 
the United States); or
    (B) in the United States that affects trade, traffic, and 
transportation described in subclause (A) of this clause. (49 U.S.C. 
31301(2). See also 49 CFR 383.5.)

    However, the statutory provisions governing CDLs also contain a 
limitation on the scope of the authority granted to FMCSA. The 
provision at 49 U.S.C. 31305(a)(7) states that:

    The Secretary of Transportation shall prescribe regulations on 
minimum standards for testing and ensuring the fitness of an 
individual operating a commercial motor vehicle. The regulations--
* * * * *
    (7) shall ensure that an individual taking the tests is 
qualified to operate a commercial motor vehicle under regulations 
prescribed by the Secretary and contained in title 49, Code of 
Federal Regulations, to the extent the regulations apply to the 
individual; (Emphasis added).

    The current CDL provisions require each CDL driver either to 
certify that he/she meets the qualification requirements contained in 
49 CFR part 391 or, if the driver expects to operate entirely in 
intrastate commerce and is not subject to part 391 but is subject to 
State driver qualification requirements, to certify that he/she is not 
subject to part 391. (49 CFR 383.71(a)(1)).
    Therefore, reading all of these statutory provisions as a whole, 
FMCSA interprets section 215 of MCSIA to be applicable only to CDL 
holders or applicants operating or intending to operate in interstate 
commerce, as

[[Page 66725]]

defined in 49 CFR 390.5. The proposed rule would require CDL holders 
and applicants operating in interstate commerce to furnish evidence of 
their physical qualifications (in addition to certifying), by providing 
the required medical certificate to the State issuing the CDL.

2. Authority To Regulate State CDL Programs

    FMCSA, in accordance with 49 U.S.C. 31311 and 31314, has authority 
to prescribe procedures and requirements for the States to observe in 
order to issue CDLs. (See, generally, 49 CFR part 384.) In particular, 
under section 31314, in order to avoid loss of funds apportioned from 
the highway trust fund, each State shall comply with the following 
requirement:

    (1) The State shall adopt and carry out a program for testing 
and ensuring the fitness of individuals to operate commercial motor 
vehicles consistent with the minimum standards prescribed by [FMCSA] 
under section 31305(a) of [Title 49 U.S.C.]. (49 U.S.C. 31311(a)(1). 
See also 49 CFR 384.201.).

    If a State does not comply with these requirements, it is also 
subject to possible loss of grant funds under the Motor Carrier Safety 
Assistance Program (MCSAP). (See 49 CFR 350.217.).
    On the basis of this authority, the proposed rule would require 
States issuing CDLs to drivers operating or intending to operate in 
interstate commerce, to obtain all information on the required medical 
examiner's certificate for entry into the CDLIS driver record. The 
proposed rule would also require the States to take certain specified 
actions if such information is not provided by the CDL applicant or 
holder.

B. Background

1. Current CDL Information and Recordkeeping Systems

    The Commercial Driver's License Information System or CDLIS is the 
existing information system that serves as a clearinghouse and 
depository of all information about the licensing, identification, and 
disqualification of CDL operators of commercial motor vehicles. This 
NPRM uses the term ``CDLIS driver record'' as the name of the 
electronic record containing a CDL driver's status and history located 
in the database of the driver's State-of-Record.\2\ The motor vehicle 
record (MVR) is the term, that by convention and usage, generally 
describes the driver history information provided from the driver 
record to the driver or employer by a SDLA, usually for a fee. 
Historically the FMCSRs have used a variety of terms such as driver 
record or driving record in the context of various requirements for 
motor carriers to investigate and obtain the driving history and status 
of all operators of commercial motor vehicles, both CDL and non-CDL. 
This NPRM proposes to standardize usage of the terms CDLIS driver 
record for CDL drivers, and driver record for non-CDL drivers to refer 
to the computer record stored by the SDLA. It further proposes to 
standardize usage of the terms CDLIS motor vehicle record (CDLIS MVR) 
for CDL drivers and motor vehicle record (MVR) for non-CDL drivers, to 
mean the driver history information provided to the driver or employer 
by the SDLA from the driver record.
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    \2\ ``State of Record'' is the jurisdiction that maintains the 
CDLIS driver record for every CDL driver licensed within its 
jurisdiction. See 49 CFR 384.107 and AAMVA, Inc.'s ``Commercial 
Driver License Information System (CDLIS) State Procedures Manual.''
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    Different methods are used for obtaining responses from the CDLIS 
driver record by different user groups. Federal and State MCSAP 
personnel largely use the FMCSA CDLIS-Access software developed and 
operated by FMCSA, and provided to these personnel. State and local 
police performing traffic enforcement as part of MCSAP or other 
operations, predominantly use the National Law Enforcement 
Telecommunications System to obtain whatever form of the driver status 
and/or history information the SDLA provides from the CDLIS driver 
record. Drivers and motor carriers have access to CDLIS driver record 
information by purchasing the MVR from the SDLA, subject to the 
limitations in 49 CFR 384.225(e).

2. Medical Certification of CDL Drivers Subject to Part 391

    With limited exceptions, all drivers who operate CMVs, as defined 
in 49 CFR 390.5, in interstate commerce must comply with the 
qualification requirements of 49 CFR part 391 (49 CFR 391.1). This 
includes CDL drivers operating in interstate commerce (49 U.S.C. 
31305(a)(7)).
    There are exceptions from the medical certification requirement 
provided under 49 CFR 390.3(f) including, for example, drivers engaged 
in transportation performed by Federal, State or local governments, and 
school bus drivers providing school to home and home to school 
transportation. Additional exceptions are also provided under 49 CFR 
391.2 and include drivers engaged in certain custom farm operations, 
the seasonal transportation of bees using CMVs controlled and operated 
by a beekeeper, and the operation of certain farm vehicles.
    Each driver subject to the physical qualification requirements must 
be examined and certified by a medical examiner, as defined in 49 CFR 
390.5, at least once every 2 years. For certain drivers, such as those 
with severe cases of hypertension or other acute medical conditions, 
more frequent medical reexamination may be required by medical 
examiners to determine whether the driver can still be certified.
    Medical examiners document the results of the examination on a 
medical examination report (also referred to as the ``long form''). If 
the medical examiner determines that a driver is physically qualified 
in accordance with 49 CFR 391.41(b), the examiner certifies the driver 
meets the physical qualification standards by completing a form 
substantially in accordance with the medical examiner's certificate 
contained in 49 CFR 391.43. The certificate also contains check boxes 
indicating whether the driver is subject to any restrictions while 
operating a CMV, such as wearing corrective lenses or a hearing aid, or 
whether the driver was granted a medical variance and thus the 
certificate must be accompanied by a medical exemption document or a 
skill performance evaluation (SPE) certificate.
    A driver granted an exemption or SPE certificate must carry an 
original or copy of the accompanying documentation, e.g., exemption 
document or SPE certificate, at all times while operating a CMV in 
interstate commerce. See, e.g., 49 CFR 391.49(j)(1). The driver must 
also provide an original or copy of the Medical Examiner's certificate 
to the employing motor carrier who must retain it in the driver's 
qualification file (sections 391.51(b)(7) and 391.51(d)(4)).

3. Current CDL Requirements Regarding Physical Qualifications

    Before the enactment of section 215 of MCSIA, the Commercial Motor 
Vehicle Safety Act (CMVSA) provided that FMCSA ``may require issuance 
of a certification of fitness to operate a commercial motor vehicle to 
an individual passing the tests * * *'' (49 U.S.C. 31305(a)(8)). 
Because the authority is permissive, not mandatory, the current 
regulations that implement the CDL program only require the States to 
obtain a certification from the driver that either the driver 
qualification provisions of 49 CFR part 391 apply, or that the driver 
operates entirely in intrastate commerce. Most States meet this 
requirement by providing an appropriate box on the CDL application form 
for the driver to check.

[[Page 66726]]

    Drivers are not currently required by the CDL regulations to 
provide an original or copy of the medical examiner's certificate to 
the SDLA as proof of the driver's physical qualification to operate a 
CMV in interstate commerce. Likewise, there are no CDL compliance 
regulations that require the SDLA to ensure that: (1) The driver's 
medical certification is accurate; (2) the driver who self certifies he 
or she is subject to part 391 has a current medical certification; or 
(3) the medical examiner's certificate for the driver does not expire 
during the course of the licensing period. Diagram 1, ``Existing 
System,'' illustrates the current way CDL drivers meet these 
requirements, and highlights that there is a lack of integration 
currently between the existing medical certification and CDL licensing 
processes. The purpose of this NPRM is to address this situation.
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[[Page 66727]]



4. State Feasibility Pilot Tests

    In September 1990, the Federal Highway Administration (FHWA) 
(predecessor Agency to FMCSA) entered into a contract with the 
Association for the Advancement of Automotive Medicine (AAAM) and the 
American Association of Motor Vehicle Administrators (AAMVA) to assess 
the feasibility of integrating the medical certification and CDL 
issuance and renewal processes. AAAM and AAMVA worked with FHWA to help 
select States to participate in six pilot tests, and determine whether 
States could assume some level of responsibility for ensuring CDL 
drivers are certified as physically qualified before a CDL is issued or 
renewed.
    The States selected to test various approaches for merging the 
medical certification and CDL processes were Alabama, Arizona, Indiana, 
Missouri, North Carolina and Utah. During the study, each pilot State 
had to address a variety of budgeting, operational and technical 
challenges. All six States achieved at least 1 full year of operations 
data and demonstrated it would be feasible for SDLAs to take a more 
active role in verifying that a CDL applicant has obtained medical 
certification such as that being proposed in this rule. For purposes of 
this NPRM, we briefly discuss the results of the tests. However, more 
details about the individual concepts tested by each State are in the 
final report. The final report for the study, entitled ``Prototype 
State Medical Review Program,'' dated January 31, 1995, is included in 
the rulemaking docket.
    Two States wanted to test the possibility of placing the driver's 
medical certification status on the CDLIS driver record. Each was 
successful in demonstrating this could be operationally implemented. 
During the pilot test, these two States placed information about the 
medical certification status on the CDLIS driver record and made this 
information electronically available to the SDLA and, ultimately, to 
Federal and State enforcement personnel who could use it as part of 
roadside inspections or traffic enforcement. The other four States 
explored methods for verifying medical certification as part of issuing 
the CDL that did not include recording the medical certification status 
on the driver record. As such, they are not germane to the MCSIA 
section 215 requirement to make the certificate part of the CDL.

5. Advance Notice of Proposed Rulemaking

    In 1994, FHWA issued an advance notice of proposed rulemaking 
(ANPRM) (59 FR 36338, July 15, 1994) titled ``Commercial Driver 
Physical Qualifications as Part of the Commercial Driver's License 
Process.'' The ANPRM requested comments on the concept of requiring the 
States to verify the medical certification of CMV drivers and include 
documentation within the States' CDL information systems. The ANPRM 
indicated the Agency was considering a rulemaking to require State 
licensing agencies to review and verify the accuracy of the medical 
examination report (long form), and record documentation of the medical 
certification status on CDLIS driver record, prior to issuing or 
renewing a CDL. States would thus ensure that all applicants seeking a 
CDL for the purpose of operating CMVs in interstate commerce were in 
compliance with the medical certification standards before issuing the 
CDL. Medical examination reports would be sent to the SDLA for review 
and evaluation by a State Medical Review Board to achieve better 
quality control over the medical certifications issued, before the 
State could issue a CDL. FHWA prepared a report summarizing all the 
public comments to the ANPRM, entitled ``Summary of Comments to the 
ANPRM: CDL Medical Fitness.'' A copy of the report is included in the 
docket.

6. Negotiated Rulemaking Advisory Committee

    After evaluating the public comments received in response to the 
ANPRM, FHWA announced its intention to form a Negotiated Rulemaking 
Advisory Committee (Committee) to develop an NPRM for merging the 
medical certification and CDL issuance and renewal processes. A notice 
of intent to form the Committee was published in the Federal Register 
on April 29, 1996 (61 FR 18713). The Agency invited interested parties 
to comment on the proposal to establish the Committee, and to submit 
applications or nominations for Committee membership. The notice 
provided a preliminary list of entities identified as interested 
parties that should be included in the negotiated rulemaking process, 
either directly as members of the Committee or as part of a broader 
caucus of similar or related interests.
    On July 23, 1996, FHWA published a notice in the Federal Register 
(61 FR 38133) announcing the first meeting of the Committee, the 
membership, and major issues the Committee would consider. Twenty-five 
organizations and FHWA were represented on the Committee. The charter 
for the Committee was approved by the Secretary on July 12, 1996, with 
an expiration date of July 12, 1998. The Committee held several 
meetings between August 7, 1996, and November 20, 1997.

Commercial Driver Physical Qualifications Negotiated Rulemaking 
Advisory Committee

Membership List (Approved by Secretary Pe[ntilde]a 7/10/96)
1. Federal Highway Administration
2. American Association of Motor Vehicle Administrators
3. New York (State commercial driver licensing agency)
4. Utah (State commercial driver licensing agency)
5. Wisconsin (State commercial driver licensing agency)
6. Montana (State commercial driver licensing agency)
7. Commercial Vehicle Safety Alliance
8. International Association of Chiefs of Police
9. American Trucking Associations
10. National Private Truck Council
11. National School Transportation Association
12. United Motor Coach Association & American Bus Association (sharing 
one seat on the committee)
13. Owner-Operator Independent Drivers Association
14. Independent Truckers and Drivers Association
15. Teamsters Union
16. Amalgamated Transit Union
17. Lancer Insurance
18. AI Transport
19. American Insurance Association
20. National Association of Independent Insurers
21. Advocates for Highway and Auto Safety
22. Farmland Industries
23. American College of Occupational and Environmental Medicine
24. Association for Advancement of Automotive Medicine
25. American Academy of Occupational Health Nurses
26. American Academy of Physicians' Assistants

    Although the Committee did not reach consensus concerning the major 
issues considered (and listed in the July 23, 1996, notice), the 
Committee supported moving forward with a rulemaking proposal focused 
on improving the availability of information about driver physical 
qualifications, and recording medical

[[Page 66728]]

certification information on the CDLIS driver record. Copies of the 
Committee's report and all documents considered by the Committee are 
available in the public docket for this rulemaking.

C. Rulemaking Proposal

1. Highlights of Proposed New CDL Licensing Processes

    This rulemaking would apply to all CDL holders who: (1) Operate 
CMVs as defined in 49 CFR 383.5; and (2) are subject to the driver 
qualification requirements under 49 CFR part 391. FMCSA proposes in 
this NPRM to add a requirement that CDL holders to whom 49 CFR part 391 
applies must begin providing an original or copy (at the option of the 
SDLA) of their medical examiner's certificate to their SDLA for 
recording of information specified in this NPRM on the CDLIS driver 
record. The States would be provided the flexibility to establish their 
own processes for receiving this information from drivers. SDLAs would 
also be required to downgrade a CDL if the driver's medical 
certification is no longer valid. A ``CDL downgrade'' means the State 
either: (1) Restricts a previously unrestricted CDL to intrastate 
transportation or to interstate transportation excepted from part 391 
as provided in 49 CFR 390.3(f) or 391.2; or (2) The State removes the 
CDL privilege entirely from the driver's license.
    Diagram 2, Proposed System, illustrates how the CDL and medical 
certification processes would be integrated. The process begins with 
obtaining medical certification. The new requirements are for recording 
the medical examiner's certificate information on the CDLIS driver 
record, and making the medical certification information available to 
FMCSA and State licensing and enforcement agencies as part of CDLIS 
inquiries.
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    The proposal is to clarify which CDL drivers are subject to part 
391 and to require the SDLA to record the driver's certification 
regarding applicability of part 391 on the CDLIS driver record. For 
those drivers subject to part 391, they

[[Page 66729]]

would be required to provide a current original or copy of their 
medical examiner's certificate to their SDLA. The SDLA would be 
required to record the proposed medical certification status 
information on the CDLIS driver record. Additionally the SDLA would be 
required to provide the medical certification status information to all 
authorized personnel specified in 49 CFR 384.225(e) via the established 
access methods. These methods include CDLIS electronic inquiries, NLETS 
electronic inquiries for CDL drivers, and on the CDLIS MVR (as 
specifically defined in proposed 49 CFR 384.105) that all States sell 
to employers and drivers.
    As a result of these CDL recordkeeping and information collection 
provision proposals, any future actions by the Agency that enhance the 
quality of the medical examination process would flow directly into the 
CDLIS driver record and thus would be available for use by all persons 
who are authorized to access this information. This NPRM, along with 
planned future rulemaking actions, would reduce the likelihood of 
States and employing motor carriers receiving improper or false medical 
certification documents from drivers.
    Anticipated future actions include establishing a National Registry 
of Medical Examiners required by 49 U.S.C. 31149(d). The creation of 
the National Registry was authorized by section 4116 of the Safe, 
Accountable, Flexible, Efficient Transportation Equity Act: A Legacy 
for Users (SAFETEA-LU) (Pub. L. 109-59, 119 Stat. 1144, 1726 (Aug. 10, 
2005)). By that provision, Congress indicated FMCSA should implement a 
capability to accept as valid only medical examiner's certificates 
issued by medical examiners on the National Registry. FMCSA anticipates 
the required action to establish the National Registry would include 
standards to ensure that medical examiners on the Registry fully 
understand the physical qualification requirements applicable to 
drivers subject to part 391, and that enough examiners are certified.

2. Potential Impacts on States

    a. General. States would continue to require each driver to certify 
what type of driving they do, either: (1) Subject to the qualification 
requirements of part 391; or (2) not subject to those requirements. The 
SDLA in each State would be required to modify its procedures, e.g., 
forms or computer systems, to make the certification for type of 
driving electronically accessible from the CDLIS driver record. This 
includes status and history responses to CDLIS and NLETS inquiries, and 
on the CDLIS MVR responses generated from the CDLIS driver record and 
provided to the driver or employer by the SDLA.
    The States would also be required to establish procedures for 
receiving the medical examiner's certificates from drivers subject to 
part 391. The process would include date stamping the certificate when 
received by the State; recording, within 2 business days, all required 
information proposed by this NPRM from the medical examiner's 
certificate onto the CDLIS driver record for all CDL drivers subject to 
part 391; and retaining the certificate or an image of the certificate 
for 6 months. Drivers, employers and enforcement personnel would be 
depending on the timely posting of the medical examiner's certificate 
information. The Agency is seeking comments on whether the number of 
days allowed for posting the medical certification data should be 
longer than 2 business days, and whether the retention period should be 
longer than 6 months.
    Additionally, the States would be required to verify whether the 
driver is subject to part 391, and if so that the current medical 
certification status is designated as ``qualified'' before taking any 
action to issue, renew, transfer or upgrade that driver's CDL. Further, 
the States would be required to update the medical certification status 
of the CDLIS driver record within 2 business days if the certification 
expires, to show the driver as ``not-qualified.'' The State must then 
complete a downgrade of the CDL within 60 days of the driver becoming 
not-qualified. Additionally, the States would be required to notify 
drivers of any possible CDL downgrade actions resulting from expired 
medical certification information. (See section ``d. Notification of 
Drivers,'' below.) The Agency is seeking comments about whether the 
proposed 2 business days for updating the medical certification status 
and the proposed 60 days for downgrading the CDL are reasonable and 
appropriate.
    The States would further be required to make the driver's medical 
certification status information, and if applicable, medical examiner's 
certificate information, electronically accessible as part of the 
information obtained from the CDLIS driver record by authorized users, 
including the FMCSA, State licensing and enforcement agencies, drivers, 
and employers. Enforcement personnel would obtain this data 
electronically via CDLIS or NLETS. Employing motor carriers and drivers 
would obtain it on the CDLIS MVR. The States would have to modify their 
programs that provide the following responses: CDLIS, CDLIS equivalent 
for NLETS and CDLIS MVR to include the medical certification status 
information.
    States such as California and Indiana already have programs that 
require drivers to provide copies of the Medical Examination Report 
(long form) to the State as part of the State's CDL program. This rule 
does not propose submission of the long form. Those States already are 
denying a new or renewal of a CDL or taking action against an existing 
CDL if the State does not receive an updated certification by the time 
the previous one expires. They are also placing information about the 
current medical certification status on the driver record.
    FMCSA is also seeking comments on how drivers could verify that the 
data regarding their medical certification status information is timely 
and properly recorded on their CDLIS driver record. The normal process 
for verification and correction of information on the CDLIS driver 
record is for drivers to go to an SDLA office in their licensing State 
and obtain a copy of their CDLIS MVR. Because of the ongoing 
operational nature of updates of medical certification status 
information, FMCSA requests comments on whether there is a more 
efficient method by which CDL drivers could accomplish this data 
quality review of their medical certification status information.
    b. States Would Record Additional Specified Data if the Driver Is 
Subject to Part 391. This proposal builds on the proposal developed by 
the negotiated rulemaking advisory committee. The SDLAs would become 
the keepers of the record for the medical examiner's certification 
information. The SDLA would then become the primary source for 
verification of medical certification status. It is therefore critical 
that the States record enough information to enable enforcement 
officials to trace the medical examiner's certificate back to the 
medical examiner in cases where investigations occur and find there are 
problems with the driver's certification.
    FMCSA would require States to modify their information systems to 
add new data fields to the CDLIS driver record. One data field would 
record which of the two possible certifications the driver made 
regarding the applicability of part 391.
    If the driver certifies he or she is subject to part 391, then 
FMCSA would require the State to record on the CDLIS driver record the 
following information:
    [cir] Medical examiner's name.
    [cir] Medical examiner's license or certificate number and the 
State that issued it.

[[Page 66730]]

    [cir] Medical examiner's National Registry identification number 
(if the National Registry of Medical Examiners, required by 49 U.S.C. 
31149(d), as added by section 4116(a) of SAFETEA-LU requires one).\3\
---------------------------------------------------------------------------

    \3\ Section 31149(d) becomes effective August 10, 2006. See 
section 4116(f) of SAFETEA-LU. FMCSA plans to implement regulations 
establishing the National Registry of Medical Examiners in the 
future. In order to minimize the number of times States have to 
update their information systems, States may want to make provisions 
in the CDLIS driver record to accept this information should it be 
required.
---------------------------------------------------------------------------

    [cir] Date of physical examination/issuance of the medical 
examiner's certificate to the driver.
    [cir] Medical certification status determination (receipt of a 
current medical examiner's certificate means ``qualified.'')
    [cir] Expiration date of medical examiner's certificate (this can 
vary, depending on CDL driver's medical condition, from 3 months to 2 
years).
    [cir] Information from FMCSA that a medical variance was issued to 
the driver.
    [cir] Any restriction (e.g., corrective lenses, hearing aid, etc.).
    [cir] Date the information is entered on CDLIS driver record.
    States would be required to keep a copy or an electronic image, 
including the time stamp, of the medical examiner's certificate 
received from the driver for 6 months so that FMCSA may request access 
to these certificates to verify States are inputting information in an 
accurate and timely manner as part of a State CDL compliance review.
    c. State Input of Data for Medical Variances. FMCSA proposes adding 
information about the existence of medical variances, for example, the 
existence of a vision exemption or SPE certificate, to the CDLIS driver 
record maintained by the SDLA. Enforcement personnel could obtain both 
the current medical certification status, ascertain whether the driver 
has a medical variance, and determine the identity of the medical 
examiner, all by an electronic inquiry to CDLIS.
    Interstate drivers (both CDL and non-CDL) granted an exemption from 
one or more of the FMCSRs are required by its terms and conditions to 
carry the exemption document or legible copy in their possession while 
driving. Drivers who are granted a SPE certificate are required by 
regulation to carry the SPE certificate or a legible copy. (49 CFR 
391.49(j)). It is important for enforcement personnel to know about the 
existence of medical variances that require the driver to carry such 
additional supporting information. Enforcement personnel are directed 
to ask such drivers to show them the required additional documentation 
the driver is required to carry as a condition of that medical 
variance. This requirement to include information about existing 
medical variances on the CDLIS driver record thus ensures that 
enforcement personnel can verify whether the driver is in compliance 
with the conditions for the issuance.
    d. Notification of Drivers. Currently, most States notify drivers 
when an action is going to be taken against their driver license 
privilege. In this NPRM, FMCSA proposes that States notify interstate 
CDL drivers when they plan to downgrade the driver's license based on 
the lack of a valid medical certificate. FMCSA believes each State 
already has an automated system that generates notices for drivers who 
are identified for suspension action. The Agency further believes that 
these State systems could be modified to identify and notify drivers 
whose medical certification status has expired, and whose CDLs thus 
must be downgraded.
    FMCSA included the cost of adding CDL drivers subject to part 391 
to these State notification systems, as part of the developmental costs 
for the proposed rule during years one through three. The ongoing major 
cost of the notification system would be operational, at an estimated 
cost of $0.40 per driver notified. For calculating the maximum possible 
impact on the States, FMCSA used the worst case scenario that would 
show all drivers receiving a notice of a CDL downgrade, for a total 
national cost of $1.29 million per year, which is included in the total 
estimated State costs discussed later in the preamble's Summary Cost 
Benefit Analysis section. (See section F. ``Summary Cost Benefit 
Analysis.''). FMCSA is seeking comment concerning the number of 
notifications the States would need to mail to CDL drivers receiving 
notice of a downgrade.
    e. Costs. FMCSA estimates that the requirements set forth in this 
NPRM would cost the States $18.3 million over the first 3 years of 
implementation and would decrease to $4.0 million per year in the 
fourth year and afterward. For further detail on the cost issue, see 
section F. ``Summary Cost Benefit Analysis,'' contained below in this 
NPRM, or the more detailed stand alone Regulatory Evaluation document 
contained in the docket. FMCSA is seeking comments about whether these 
evaluations of the cost impacts are accurate.

3. Potential Impacts on Motor Carriers Employing CDL Drivers

    a. Carrier Would Request a Copy of the CDLIS Motor Vehicle Record 
from the Current State of Licensure Before Allowing the Driver to 
Operate a CMV in Interstate Commerce. Under the proposed rule, the 
motor carrier that employs a CDL driver subject to part 391 to operate 
a CMV would need to obtain the driver's CDLIS MVR, verify the driver 
has a medical certification status of qualified, and place that CDLIS 
MVR in the driver qualification (DQ) file, (thereby documenting medical 
certification for such CDL drivers) before allowing the driver to 
operate a CMV for the motor carrier.
    Under FMCSA's current regulation, the motor carrier has up to 30 
days to obtain the driver's MVR (for both CDL and non-CDL drivers) and 
place it in the DQ file (49 CFR 391.23(b)). The driver is immediately 
permitted to begin operating a CMV pending completion of the driver 
record check. However, the proposed rule would change this current 
practice by requiring the motor carrier to obtain and place a copy of 
the driver's CDLIS MVR in the DQ file before allowing an interstate CDL 
driver to operate a CMV. FMCSA believes the 30-day timeframe specified 
in Sec.  391.23(b) is a hold-over from years ago when this process was 
accomplished via regular U.S. mail. Now States offer driver's MVRs 
electronically, and numerous companies sell a service to assist motor 
carriers to obtain MVRs. FMCSA believes many motor carriers are already 
obtaining MVRs electronically, generally before making an offer to hire 
the driver. For this reason, this NPRM would not impose any significant 
additional burden on motor carriers except those that are letting newly 
hired drivers operate a CMV before verifying the driver holds a valid 
CDL. There would be no change in the current 30 days allowed to obtain 
a motor vehicle record for non-CDL drivers who must also provide a copy 
of their medical examiner's certificate.
    Under this proposed rule, motor carriers would no longer be 
required to place a copy of a current medical examiner's certificate in 
the DQ file for CDL drivers subject to part 391. Information about the 
current medical certification status for those drivers would be on the 
CDLIS MVR the motor carrier is already required to obtain and place in 
the DQ file. However, the motor carrier would be required, under the 
proposed rule, to obtain and file a copy of any medical exemption 
granted to a CMV driver (both CDL and non-CDL). Carriers are already 
required to obtain a

[[Page 66731]]

copy of an SPE certificate. (49 CFR 391.49(j)(1))
    b. Costs. FMCSA believes the net cost impact on motor carriers 
would at worst be neutral, and more likely is a modest cost saving. 
Carriers would be relieved of obtaining or making a copy of the medical 
examiner's certificate and placing a copy of it in the DQ file for CDL 
drivers subject to part 391. This proposal would expand an existing 
requirement for the motor carrier to obtain or make a copy of any 
medical variance, e.g., Medical Exemption document or SPE certificate, 
granted to a CMV driver and place it in the driver qualification file 
for the small number of drivers with such a medical variance. However, 
motor carriers would also be required to obtain the CDLIS MVR before 
allowing CDL drivers to operate a CMV.

4. Potential Impacts on Drivers.

    a. Privacy Rights. FMCSA does not believe the proposed rule would 
have an adverse effect on drivers' privacy for the following reasons. 
First, none of the driver's confidential medical information (i.e. 
specific details from the ``long form'' or the actual medical records 
maintained by medical examiners) would be placed on the CDLIS driver 
record--the SDLA would post the FMCSA-specified status information 
regarding whether the driver is currently medically certified, which 
does not include confidential information. A status of not-qualified 
does not violate any privacy right, as it does not provide any detail 
as to the reason for being not-qualified. In other words, a status of 
not-qualified could just as well mean the driver decided not to take a 
physical examination because he or she is not currently working as a 
CDL driver. Second, information about the issuance of medical variances 
is already public. Information about the granting of any exemptions, 
e.g., vision, diabetes, is published in the Federal Register (49 U.S.C. 
31315(b)). Alternatively, if a driver has a medical examiner's 
certificate based on having an SPE certificate, the medical examiner's 
certificate has the box checked saying it is only valid when 
accompanied by an SPE certificate. Thus, any enforcement personnel or 
potential employer would or should know about the condition requiring 
the driver to have in his or her possession an SPE certificate or a 
legible copy whenever operating a CMV. (49 CFR 391.49(j)(1). Finally, 
access to the data on the CDLIS driver record is restricted to only 
FMCSA, States, motor carrier employers for authorized use and the 
driver. (49 CFR 384.225(e)). Enforcement personnel accessing this 
information via NLETS are similarly restricted to official use. The 
Driver Privacy Protection Act (18 U.S.C. 2721-2725) provides additional 
restrictions on access to the driver record. However, FMCSA is seeking 
comments about whether there would be any issues under the Privacy Act 
(5 U.S.C. 552a) regarding access to CDL drivers' medical examiner's 
certificate information arising from the provisions set forth in this 
proposal.
    b. Impact if a Driver Is Found Operating a CMV with a Medical 
Certification Status of ``Not-qualified'' or No CDL Privilege Because 
of a Downgrade of the CDL.
    This rulemaking proposal would require the appropriate medical 
certification status information to be placed on the CDLIS driver 
record for all CDL holders, and would remove the requirement for CDL 
drivers subject to part 391 to carry the medical examiner's 
certificate. However, the proposal would also establish that the 
medical certification status information be made available to 
enforcement personnel as well as to drivers and employing motor 
carriers. This is expected to become an increasingly valuable 
enforcement tool, particularly in conjunction with anticipated future 
rulemakings dealing with driver physical qualifications, such as 
establishment of the Congressionally-mandated National Registry of 
Medical Examiners. Nonetheless, nothing in this proposed rule prevents 
a CDL driver subject to the requirements of part 391 from retaining a 
copy of the medical examiner's certificate for his or her own records, 
particularly in the event an SDLA fails or delays in entering the 
information onto the CDLIS driver record. All non-CDL drivers would 
continue to provide a copy or original of the medical examiner's 
certificate to their employing motor carrier, a requirement not changed 
by this proposed rule.
    This NPRM proposes a new requirement that a CDL driver subject to 
part 391 would have his or her CDL downgraded within 60 days of the 
medical certification status expiring, i.e., the status becoming ``not-
qualified.'' Under 49 CFR part 383 after such a downgrade, a driver 
found operating a CMV in interstate commerce without a valid CDL, when 
the regulations require the driver to hold one, could receive a traffic 
offense citation for violating Sec.  383.51(c)(6). Thus the downgrade 
proposed in this NPRM could lead to a traffic conviction requiring a 
60-day CDL disqualification on the CDLIS driver record for the first 
offense. This conviction would be retained and considered in any future 
licensing action, including intrastate CDL eligibility.
    This proposed downgrade within 60 days would provide safety 
benefits by significantly enhancing incentives for drivers to comply 
with the medical certification standards. Drivers could be placed out-
of-service as part of a roadside inspection or traffic enforcement 
stop, if a driver is found operating a CMV in interstate commerce with 
a downgraded CDL that resulted from the medical certification status 
becoming not-qualified because the driver failed to obtain the required 
new medical examiner's certificate. Currently, the driver could be 
cited and possibly fined for operating a CMV without a valid medical 
certification, but generally the driver would be allowed to continue to 
drive. Additionally, unless this violation results in a carrier 
compliance review or other enforcement action, it has little impact on 
the motor carrier. (See 49 CFR 391.41(a)). By linking the medical 
certification status to the eventual status of the CDL, this proposed 
rule would provide greater enforcement tools to address driver 
qualification issues.
    If a driver's medical status becomes not-qualified, but the CDL has 
not yet been downgraded, the driver can be cited under current Sec.  
390.37 for not keeping his/her medical status current. In addition, 
while not proposed in this NPRM, FMCSA has the option of adding a 
similar, new disqualifying offense for a serious traffic violation 
under Table 2 of 49 CFR 383.51(c). This disqualifying offense would be 
applicable if a driver operates a commercial motor vehicle requiring a 
CDL in interstate commerce during the proposed 60-day window of having 
received a medical certification status of ``not-qualified,'' but the 
CDL has not yet been downgraded. If such a disqualifying offense were 
established, then any CDL driver operating in interstate commerce not 
excepted from part 391 who does not have a current medical examiner's 
certificate on file with their SDLA could receive a traffic citation 
for this serious traffic violation. FMCSA seeks comments about whether 
FMCSA should add such a disqualifying offense to Table 2 of Sec.  
383.51(c) for operating a CMV without the required medical 
certification.
    c. Provision of Documentation to Motor Carrier for Medical 
Variance. All drivers who operate CMVs in interstate commerce pursuant 
to a medical variance, such as an Medical Exemption or SPE certificate, 
would be required to provide their employing motor carrier with a copy 
of the medical variance document. The employing motor carrier

[[Page 66732]]

would be required to place it in the DQ file.
    d. Provision Requiring CDL Drivers to Provide Medical Certificate 
to SDLA. Under the proposed rule, a CDL would not be issued, renewed, 
upgraded or transferred by the SDLA to a driver subject to 49 CFR part 
391 qualification requirements, unless the State has on record a 
current medical examiner's certificate. Initially, drivers would not 
need to obtain a new medical examiner's certificate. Beginning 3 years 
after the effective date, drivers would be required to provide a copy 
or an original, as determined by the SDLA, of either their existing 
medical examiner's certificate or a new one, to their SDLA before any 
licensing action, including a renewal. Drivers would also be required 
to provide a copy or original of each new medical examiner's 
certificate to their SDLA. The information from these certificates, 
including their expiration dates, would be added to the CDLIS driver 
record by the SDLA. If the driver has not provided a current medical 
examiner's certificate within 5 years after the effective date of a 
final rule on this subject, or the certification expires, the CDL 
medical certification status would be marked as ``not-qualified,'' and 
the SDLA would be required to initiate a downgrade of the driver's CDL. 
The driver would be notified by the SDLA that the CDL would be 
downgraded.
    e. Number of Drivers Subject to the Proposed Process. The group of 
CDL drivers that would be most impacted by this rulemaking would be 
those not actively driving, are subject to 49 CFR part 391, but who are 
retaining their CDL without maintaining their medical certification. To 
estimate the number of possible drivers affected, FMCSA performed the 
following analysis.
    As of August of 2005, there were approximately 12.2 million CDL 
index or pointer records in the CDLIS central site index. The Agency 
estimates 10 percent of the CDLIS driver records associated with these 
index pointers are inactive. Based on an analysis of the split of 
inter- and intrastate drivers from the annual Drug and Alcohol Testing 
survey conducted by FMCSA, the Agency estimates about 74 percent of the 
estimated active 10.98 million CDLIS driver records are for interstate 
drivers, or about 8.13 million. For purposes of this analysis, it is 
assumed none of these are operating in excepted interstate commerce, 
i.e., all of them are subject to part 391. If all of these CDL drivers, 
who had self-certified they were qualified to operate in interstate 
commerce, wish to retain their CDL, they would be required to present a 
copy or original of a current medical examiner's certificate to their 
SDLA, either at the time of the next issuance (as defined in 49 CFR 
384.105(b)) of their CDL or when the medical certificate expires, 
whichever occurs first. Thereafter, they would have to provide the 
medical certificate every time it expired. Two years after the States 
would be required to be in compliance with this proposal (no later than 
5 years after the effective date of a final rule on this subject), all 
of these drivers would not be allowed to continue operating CMVs in 
interstate commerce unless their CDLIS driver record includes the 
information that they have submitted a current medical examiner's 
certificate, prepared by a medical examiner, as defined in 49 CFR 
390.5, to their SDLA demonstrating they are physically qualified under 
part 391.
    FMCSA estimates from its annual Drug and Alcohol Testing survey 
that 3.1 million CDL drivers of the estimated 8.13 million CDLs who 
self certified they are subject to part 391, are ``actively'' driving 
for a living. Therefore, the Agency estimates 5.03 million of these CDL 
drivers who certified that part 391 applies to them are not actively 
driving. The Agency further estimates that 2.26 million of these 5.03 
million drivers would elect to obtain medical certification and retain 
their CDLs, while the remaining 2.77 million would have their CDL 
downgraded. This would leave a pool of 5.36 million medically certified 
CDL drivers (2.26 million + 3.1 million). Refer to the separate 
Regulatory Evaluation in the docket for this rulemaking for a more 
detailed discussion of the number of drivers likely to be affected by 
this proposal. (Note. This analysis does not include any attempt to 
estimate the number of CDL drivers who operate in excepted service, 
i.e., who operate in interstate commerce but are excepted from part 391 
and do not need medical certification to retain their CDL.)
    f. Impact of the New Code ``W'' on Drivers Domiciled in Canada, 
Mexico, and the United States. Drivers of commercial motor vehicles who 
are domiciled in and licensed by, Canada or Mexico are subject to the 
requirements of U.S. law while operating a CMV in the United States. 
(49 U.S.C. 31132(4), 31502(a) and 31301(2)). These drivers must meet 
the FMCSA physical qualifications and must possess a license issued by 
their country of domicile that the U.S. has recognized as comparable to 
a U.S. CDL.
    FMCSA previously determined that the Canadian Provinces and 
Territories have medical and physical qualification requirements 
comparable to those applicable in the United States, with certain 
exceptions (49 CFR 391.41, note, as added by 67 FR 61818, October 2, 
2002) The Canadian equivalent to CDLIS contains documentation of driver 
physical qualification, although the program requirements vary by 
Province and Territory.
    FMCSA also determined that the Licencias Federales de Conductor 
issued by the United Mexican States is itself evidence that the 
operator has met physical qualification standards required by the 
United States. (Commercial Driver's License Reciprocity with Mexico, 
(57 FR. 31454, July 16, 1992).) Proof of compliance with the medical 
certification requirements is recorded within the Mexican Licencias 
Federales de Conductor information system, as well as marked on the 
license document. Drivers must renew both their medical certification 
and Licencia Federal together every 2 years.
    FMCSA considers both licenses issued by Canadian Provinces and 
Territories in conformity with the Canadian National Safety Code and 
the Licencias Federales de Conductor issued by the United Mexican 
States, to satisfy the CDL requirements of 49 CFR part 383 (49 CFR 
383.23(b)(1), note 1) and to be compatible with the U.S. CDLs.
    As indicated in the footnote to 49 CFR 391.41, Canada and the 
United States have entered into a reciprocity agreement that Canadian 
drivers who do not meet the physical qualification requirements 
specified in the Canadian National Safety Code, but are issued a 
Provincial or Territorial waiver/exemption, will be excluded from 
operating a CMV in the United States. Similarly, U.S. CDL drivers 
granted a medical variance will be excluded from operating a CMV in 
Canada. At a technical level, it was jointly determined by AAMVA and 
Canadian Council of Motor Transport Administrators (CCMTA) that a code 
of ``W'' would be placed on the commercial driver's license document to 
identify those drivers who are issued a waiver/exemption or variance to 
exclude them from operating in the other country.
    This NPRM proposes to establish a new restriction code by revising 
section 383.95 to specify a new restriction code ``W'' to be placed on 
the CDL document to identify U.S. CDL holders subject to part 391 who 
have obtained a medical examiner's certificate with a medical variance 
in order to operate CMVs in the United States. If implemented, this 
restriction will allow U.S. enforcement

[[Page 66733]]

personnel to identify drivers who are required to carry the 
documentation supporting the medical variance, and Canadian authorities 
to identify U.S. CDL drivers who therefore are prohibited by Canadian 
jurisdictions from operating a CMV in Canada. Similarly, implementation 
of a ``W'' restriction on Canadian licenses would allow the United 
States to identify Canadian drivers who do not meet U.S. physical 
qualification standards.
    The U.S. has not yet discussed with Mexico the proposed creation or 
use of a ``W'' restriction on the CDLs issued in the United States. 
Therefore, the Agency is unable to assess the potential impact this 
restriction could have on U.S. drivers who intend to operate CMVs in 
Mexico.
    g. Costs. FMCSA estimates that the requirements set forth in this 
NPRM would cost drivers a total of $3.22 million per year beginning in 
the fourth year after the effective date of a final rule on the subject 
and every year thereafter. For more detail on the cost issue, see 
section F. ``Summary Cost Benefit Analyses,'' below in this NPRM, or 
the more detailed stand alone Regulatory Evaluation document contained 
in the docket.

D. Implementation Date

    FMCSA proposes to begin enforcement of the requirements set forth 
in this NPRM 3 years after the effective date of a final rule on the 
subject. The Agency believes the standard 3-year phase-in period would 
provide the States with sufficient time to pass required State 
implementing legislation, to modify their information systems to begin 
recording the medical examiner's certificate information onto the CDLIS 
driver record, and to begin making that information available from the 
CDLIS driver record. Also, the proposed 3-year phase-in period would 
ensure employing motor carriers and drivers have an opportunity to 
familiarize themselves with the new requirements and that CDL drivers 
are prepared to provide a valid medical examiner's certificate to their 
SDLA as required by this NPRM.
    The Agency will also be working with the States to modernize CDLIS, 
as required by section 4123 of SAFETEA-LU. The CDLIS modernization plan 
will include a date by which all States must use the new version of 
CDLIS. Both the CDLIS modernization effort and inclusion of the medical 
examiner's certificate information on the CDLIS driver record will 
require States to update their CDLIS computer programs. The Agency 
requests comments about the importance of having the implementation 
schedule for this rule coincide with the implementation date for CDLIS 
modernization.
    The Agency is seeking comments about how many States will require 
passage of legislation to authorize them to carry out the proposals in 
this rulemaking, and whether the proposed three-year implementation 
period is sufficient.

E. Section-by-Section Explanation of Changes

Part 383

    Conforming amendments. Throughout parts 383, 384, and 391 terms 
used referring to a driver record or driver history have been revised 
for clarity. The term ``CDLIS driver record'' refers to the electronic 
record of driver information and history stored by the State-of-Record 
as part of CDLIS. The Agency's use of the term ``motor vehicle record'' 
refers to the information provided to a driver or employer about the 
status and history of a driver. The term ``CDLIS MVR'' refers to the 
information provided to a driver or employer about the status and 
history of a driver that holds a CDL.
    Section 383.5. FMCSA proposes to add definitions for ``CDLIS driver 
record'' and ``CDL downgrade.''
    Section 383.71(a). FMCSA proposes to revise the certification 
requirement in the CDL application process to clarify how applicants 
should certify if they operate in interstate commerce, but are excepted 
from part 391.
    Section 383.71(g). FMCSA proposes to add a new requirement that 
applicants who are subject to part 391 must begin providing their SDLA 
an original or a copy (at the State's option) of each medical 
examiner's certificate they obtain.
    Section 383.73(a)(5). FMCSA proposes to have the SDLA enter on the 
CDLIS driver record the certification made according to Sec.  
383.71(a)(1) and, if the driver is required to have a medical 
certificate, record the information from the certificate in the CDLIS 
driver record.
    Section 383.73(b)(6). FMCSA proposes to add a requirement for the 
SDLA, when a driver applies for a license transfer, to verify whether 
the driver is subject to part 391, and if so, whether the medical 
certification status is designated as ``qualified'' before taking any 
licensing action. To accommodate the period of time between the 
implementation date and when all drivers are required to submit medical 
certification information to the SDLA, FMCSA also proposes to allow 
drivers to provide SDLAs with their existing medical examiner's 
certificates. Those certificates must be issued with a date that is 
prior to 3 years after the effective date of the final rule on this 
subject, until the certificate expires, as evidence of current medical 
certification.
    Section 383.73(c)(5). FMCSA proposes to add the same requirement as 
Sec.  383.73(b)(6) for the license renewal process.
    Section 383.73(d)(3). FMCSA proposes to add the same requirement as 
Sec.  383.73(b)(6) to the license upgrade process.
    Section 383.73(j). FMCSA proposes to add a new CDLIS recordkeeping 
requirement for medical certification status information. A number of 
items displayed on the medical examiner's certificate would be recorded 
on the CDLIS driver record. The medical certification status 
information must be updated within 2 business days of receiving a new 
medical examiner's certificate, or a current certification expiring. If 
a driver's medical certification expires, the SDLA must initiate a 
downgrade of the CDL. The SDLA must accept and record within 2 business 
days on the CDLIS driver record any medical variance issued by FMCSA to 
a driver.
    Section 383.95. FMCSA proposes to add a second restriction and to 
rename the section. The new restriction would be coded as ``W'' and 
would indicate the driver has received a medical variance.

Part 384

    Section 384.105. FMCSA proposes to add a definition for CDLIS Motor 
Vehicle Record. The basic term of motor vehicle record was adopted from 
the existing usage. FMCSA solicits comments on whether some other 
descriptive title should be used instead, such as CDLIS driver history, 
or CDLIS driver and employer report.
    Section 384.107. The Agency would revise paragraph (b) to 
incorporate by reference the most recent version of the CDLIS State 
Procedures Manual as of the final rule.
    Section 384.206(a). FMCSA proposes to revise this compliance 
requirement to include performing the record checks specified in Sec.  
383.73.
    Section 384.206(b)(3). The Agency would revise Sec.  384.206(b) by 
adding a third required action to the two existing ones. This change 
would mean that a CDL for a driver subject to part 391 must be 
downgraded if the medical certification expires and no new medical 
examiner's certificate is provided.
    Section 384.225. The Agency would revise all paragraphs under (e) 
to refer

[[Page 66734]]

to the CDLIS driver record, and clarify in paragraphs (e)(3) and (4) 
that drivers and motor carriers obtain this information according to 
State procedures on the CDLIS MVR. The Agency would also add a new 
paragraph (f) to require States to provide the medical certificate 
information on the CDLIS, CDLIS MVR and CDL NLETS status and history 
responses. The title of the section would be changed from ``Record of 
violations'' to ``CDLIS driver recordkeeping'' to more accurately 
describe its contents.
    Section 384.231. The Agency would update the reference to the CDLIS 
State Procedures manual to be to the most recent version incorporated 
by reference into Sec.  384.107(b).
    Section 384.234. The Agency would add a new compliance requirement 
to the existing State requirements in part 384 to comply with the State 
provisions specified in the proposed new Sec.  383.73(j).

Part 390

    Section 390.5. FMCSA proposes to add a new definition for ``medical 
variance'' as an inclusive term for all Federal programs dealing with 
physical qualification, including exemptions, and skill performance 
evaluation certificates. This definition does not cover waivers issued 
under subpart B of part 381. These waivers are issued for short periods 
of time and any waivers will be addressed through program documentation 
and not the driver's licensing systems.
    FMCSA also proposes to add a definition for ``motor vehicle 
record.''

Part 391

    Section 391.2. In Sec.  391.2, FMCSA proposes to change the section 
name from ``General exemptions'' to ``General exceptions.'' This 
proposed change would establish consistency with the term ``exception'' 
as used in Sec.  390.3(f) and to remove confusion with the different 
meaning of the word ``exemption'' as used in 49 CFR 381, Subpart C and 
49 CFR 391.62.
    Section 391.23(m). FMCSA proposes to add a new paragraph (m) to 
explicitly specify what the employer must do with regard to CDL drivers 
subject to part 391 to comply with the long-existing requirement in 
Sec.  391.41(a). This paragraph makes it explicit that substituting the 
driver's CDLIS MVR for the medical examiner's certificate has an impact 
on the timing of when the motor carrier must obtain and place the MVR 
in the DQ file as part of the hiring process. All non-CDL drivers would 
continue to be required to provide a copy or original of the medical 
examiner's certificate to their employing motor carrier.
    Section 391.41(a). The Agency proposes to amend Sec.  391.41(a) to 
delete the existing exception reference to Sec.  391.67, and to add an 
exception that CDL drivers subject to part 391 would be excluded from 
the requirement to carry the medical examiner's certificate because 
their current medical certification status information would be on the 
electronic CDLIS driver record, and could be verified via CDLIS or 
NLETS inquiries, and on the CDLIS MVR for drivers and employers. Again, 
all non-CDL drivers would continue to be required to provide a copy or 
original of the medical examiner's certificate to their employing motor 
carrier.
    Section 391.43(g). The Agency proposes to amend Sec.  391.43(g) to 
remove the requirement for the medical examiner to provide a copy of 
the medical examiner's certificate to the employing motor carrier, and 
to add a requirement that the examiner should retain a copy of all 
certificates for the duration of the certificate.
    Section 391.51. FMCSA proposes to update the requirements for what 
must be contained in the driver qualification (DQ) file regarding 
medical certification for CDL drivers subject to part 391. These CDL 
drivers would no longer need to carry a medical examiner's certificate 
because the current status of their certification would be 
electronically available from CDLIS. Employers would satisfy the 
documentation requirement by obtaining the copy of the driver's CDLIS 
MVR they are already required to obtain from the SDLA and to place it 
in the DQ file.

F. Summary Cost Benefit Analysis

    The regulatory evaluation describes and evaluates the proposal 
contained in this NPRM, as well as two other alternatives that were 
considered by the Agency. No changes are proposed in the physical 
qualification standards or medical advisory criteria for determining 
whether a driver may be medically certified as physically qualified to 
operate a CMV. A number of provisions are proposed to modify the 
procedures used to document a driver's current medical certification 
status as a condition for obtaining or retaining a CDL, and to enable 
motor carriers and enforcement personnel to verify the driver's medical 
certification status.
    Currently, CDL drivers subject to part 391 must certify that they 
meet the driver qualifications in 49 CFR part 391, in order to operate 
CMVs in interstate commerce. These drivers are required to carry a 
current medical examiner's certificate while driving, and motor 
carriers must keep a copy of the medical examiner's certificates of all 
such drivers they employ on file. The purpose of these certificates is 
to prove that the driver is physically qualified to operate a CMV in 
interstate commerce. Under current regulations, no information about 
the driver's self-certification regarding applicability of part 391 or 
any medical certification status information is required to be placed 
on the CDLIS driver record, and the driver does not need to show the 
medical examiner's certificate to State officials when applying for, 
renewing, upgrading, or transferring a CDL in most States.

Alternative 1

    This alternative would require medical certification status to be 
listed on the physical driver's license document of any driver holding 
a CDL who intends to operate a CMV in interstate commerce. In 
conducting this analysis, the Agency has assumed that in order to 
implement this alternative, the expiration periods for CDLs (average 
period of 5 years) and medical examiner's certificates (maximum period 
of 2 years) would need to be synchronized. While it is possible that 
States could list two separate expirations on a license, one for the 
license renewal and one for medical certification, SDLAs would still 
have to issue a new CDL each time the medical certification expired. As 
a result, listing two dates would not be likely to reduce processing 
costs. This alternative would require all States to renew both CDLs and 
medical certifications every time a medical certification was issued, 
and would therefore require them to process a much higher volume of 
CDLs. Drivers would also have to pay CDL renewal fees much more 
frequently. Currently, CDL renewal fees average $45 per renewal.
    This alternative, like the others listed below, would also require 
that States: (1) Receive from the driver a medical examiner's 
certificate, and (2) post specified information from it on the 
electronic CDLIS driver record prior to issuing, renewing, upgrading or 
transferring that driver's CDL. Implementing this proposal would 
require SDLAs to modify their driver licensing computer systems to 
accommodate this new information. In addition, States would need to 
establish methods for receiving medical examiner's certificates from 
drivers either via mail or fax, or by having drivers present the 
medical examiner's certificate in-person at a SDLA office.

[[Page 66735]]

    Table 1 below provides an itemized list by year of the costs 
incurred under this alternative. Costs in years 6 and later are 
identical to those for year 5 and are aggregated in the table. The net 
present value of the costs of this alternative over 10 years, assuming 
a 7 percent discount rate, is $526 million.

                                                          Table 1.--Total Cost of Alternative 1
                                                                 [Thousands of dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                  Year 1       Year 2       Year 3       Year 4       Year 5     Years 6-10     Total
--------------------------------------------------------------------------------------------------------------------------------------------------------
Licensing Costs *............................................           $0           $0           $0      $97,000      $97,000     $485,000     $679,000
Mailing Costs *..............................................            0            0            0        4,500        4,500       22,500       31,500
Planning and Design **.......................................        1,785        1,785            0            0            0            0        3,570
State Compliance Reviews ***.................................            0            0            0        1,700        1,700        8,500       11,900
State Training Costs **......................................          425          425          425            0            0            0        1,275
State Computer Systems Development **........................        4,250        4,250        4,250            0            0            0       12,750
State Computer Operations **.................................            0            0            0          510          510        2,550        3,570
Data Entry Costs **..........................................            0            0            0        4,400        4,400       22,000       30,800
CDLIS Testing Costs **.......................................          250          250          250            0            0            0          750
                                                              ==========================================================================================
Total costs..................................................        6,710        6,710        4,925      108,110      108,110      540,550      775,115
Total Costs (7 percent discount rate)........................        6,710        6,271        4,302       88,250       82,477      338,170      526,180
Total Costs (3 percent discount rate)........................        6,710        6,515        4,642       98,936       96,054      439,901     652,758
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Cost to be borne by drivers.
** Cost to be borne by States.
*** Cost to be borne by Federal Government.

Alternative 2

    Under this alternative, States would be responsible for receiving, 
recording and providing data from a medical examiner's certificate 
received from the driver prior to the State issuing, renewing, updating 
or transferring a CDL for a driver who operates in interstate commerce. 
The State would be responsible for including the medical certification 
status information on all reports provided to persons authorized to 
access information from the CDLIS driver record. This includes those 
using CDLIS and NLETS to make the inquiry, and drivers and employing 
motor carrier requesting a CDLIS MVR. The SDLA would also be required 
to downgrade a CDL if the medical certification expires. It is 
anticipated States would prefer mail delivery of certifications from 
drivers rather than in-person delivery, because this is expected to be 
less costly to both States and drivers. The SDLA would then record the 
specified certificate information on the electronic CDLIS driver 
record. Implementing this change would enable enforcement personnel to 
gain electronic access to verify CDL drivers have a medical 
certification status of ``qualified'' during roadside inspections or 
traffic stops.
    The changes proposed under this alternative would ensure that all 
CDL drivers operating in interstate commerce who are not excepted from 
the driver qualification requirements of part 391 would have a medical 
certification status of ``qualified'' prior to the State issuing, 
renewing, upgrading or transferring a CDL. In addition, if a driver 
fails to obtain a new medical examiner's certificate before the old one 
expires, the State would be required to: (1) Update the status of that 
driver's medical certification status to ``not-qualified,'' and (2) 
begin taking action to downgrade that driver's commercial driving 
privileges unless a new, valid medical examiner's certificate is 
obtained by the driver. Table 2 below presents an itemized list of the 
costs associated with this alternative. The 10-year costs of this 
alternative are $59 million when discounted at 7 percent.

                                                          Table 2.--Total Cost of Alternative 2
                                                                 [Thousands of dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                  Year 1       Year 2       Year 3       Year 4       Year 5     Years 6-10     Total
--------------------------------------------------------------------------------------------------------------------------------------------------------
Planning and Design**........................................       $1,785       $1,785           $0           $0           $0           $0       $3,570
State Compliance Reviews***..................................            0            0            0        1,700        1,700        8,500       11,900
State Computer Systems Development**.........................        4,250        4,250        4,250            0            0            0       12,750
State Computer Operations**..................................            0            0            0          510          510        2,550        3,570
Training**...................................................          425          425          425            0            0            0        1,275
SDLA Data Entry Extra Time/Staffing**........................            0            0            0        2,200        2,200       11,000       15,400
CDLIS Testing Costs**........................................          250          250          250            0            0            0          750
Mailing Costs*...............................................            0            0            0        4,500        4,500       22,500       31,500
                                                              ------------------------------------------------------------------------------------------
    Total....................................................        6,710        6,710        4,925        8,910        8,910       44,550       80,715
                                                              ==========================================================================================
Present Value (Disc. at 7%)..................................        6,710        6,271        4,302        7,273        6,797       27,871       59,224
Present Value (Disc. at 3%)..................................        6,710        6,515        4,642        8,154        7,916       36,255      70,192
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Cost to be borne by drivers.
** Cost to be borne by States.
*** Cost to be borne by Federal Government.


[[Page 66736]]

Alternative 3

    This alternative is similar to Alternative 2, with the exception 
that FMCSA would receive medical examiner's certificates through the 
mail or facsimile transmission from drivers, rather than having drivers 
submit the form directly to their licensing State. FMCSA would then 
enter the data and electronically route it directly to the licensing 
State as a CDLIS transaction, so that the information would be recorded 
on the driver's electronic CDLIS driver record.
    This alternative would require States to develop the capacity to 
receive medical certification information on drivers electronically. 
State CDL computer systems already have a similar capacity to receive 
traffic convictions that occur in other States, transmitted 
electronically from these States, so developing this capacity is 
possible. This alternative would also require FMCSA to develop the 
recordkeeping capacity to receive and record medical examiner's 
certificates for all CDL licensed interstate drivers. Table 3 below 
presents the costs associated with this alternative. The net present 
value of the total cost of this proposed rule after 10 years is $63 
million when discounted at 7 percent.

                                                          Table 3.--Total Cost of Alternative 3
                                                                 [Thousands of dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                  Year 1       Year 2       Year 3       Year 4       Year 5     Years 6-10     Total
--------------------------------------------------------------------------------------------------------------------------------------------------------
Planning and Design **.......................................       $1,785       $1,785           $0           $0           $0           $0       $3,570
State Compliance Reviews ***.................................            0            0            0        1,700        1,700        8,500       11,900
State Computer Systems Development **........................        5,500        5,500        5,500            0            0            0       16,500
State Computer Operations **.................................            0            0            0          510          510        2,550        3,570
Federal Computer Start Up ***................................          150          125            0            0            0            0          275
Federal Computer Maintenance.................................            0            0            0           12           12           60           84
Training **..................................................          425          425          425            0            0            0        1,275
Data Entry Extra Time / Staffing ***.........................            0            0            0        2,200        2,200       11,000       15,400
Mailing Costs **.............................................            0            0            0        4,500        4,500       22,500       31,500
    CDLIS Testing Costs **...................................          300          300          300            0            0            0          900
                                                              ------------------------------------------------------------------------------------------
Total........................................................        8,160        8,135        6,225        8,922        8,922       44,610       84,974
                                                              ==========================================================================================
Present Value (Disc. At 7%)..................................        8,160        7,603        5,437        7,283        6,807       27,908       63,198
Present Value (Disc. At 3%)..................................        8,160        7,898        5,868        8,165        7,927       36,304       74,322
--------------------------------------------------------------------------------------------------------------------------------------------------------
 *Cost to be borne by driver.
 **Cost to be borne by State.
 ***Cost to be borne by Federal Government.

    Alternative 2 is the least expensive of the 3 alternatives, 
although Alternative 3 is fairly cost competitive. Alternative 1 is by 
far the most expensive of the three alternatives. Its higher costs are 
due mainly to the need to synchronize the CDL renewal and medical 
certification renewal periods. Alternative 1 would entail a much higher 
volume of CDL renewals at SDLAs and, as a result, States would incur 
more costs and drivers would have to pay renewal fees much more 
frequently.
    The costs to the various entities under Alternative 2 are 
summarized in Table 4 below. These costs are undiscounted. States would 
bear costs in the range of $4-$6.7 million per year under this 
alternative for the first three years, and drivers would bear costs of 
slightly more than $3 million per year once they begin submitting their 
medical certificates to the States after year 3.

               Table 4.--Summary of Costs to Various Drivers/Entities, Alternative 2 Undiscounted
                                             [Thousands of dollars]
----------------------------------------------------------------------------------------------------------------
                                                             Year 1        Year 2        Year 3      Later years
----------------------------------------------------------------------------------------------------------------
State Costs.............................................        $6,710        $6,710        $4,925        $3,998
Driver Costs............................................             0             0             0         3,212
Federal Costs...........................................             0             0             0         1,700
                                                         -------------------------------------------------------
    Total...............................................  ............  ............  ............         8,910
----------------------------------------------------------------------------------------------------------------

Benefits

    The Agency believes all three alternatives would offer comparable 
safety benefits. These benefits would result from preventing a limited 
percentage of physically not-qualified drivers from obtaining a CDL to 
operate CMVs in interstate commerce. FMCSA believes such not-qualified 
drivers are more likely to be involved in crashes than those who are 
qualified. The Agency estimates the proposed changes could result in 
the prevention of as many as 10 percent of the crashes attributable to 
physically not-qualified drivers. These benefits are expected to stem 
from a deterrent effect because the drivers would be providing their 
medical examiner's certificate to a government official, rather than a 
motor carrier, and may be less likely to engage in forgery. In 
addition, having easy electronic access to tracking information from 
the driver's medical certificate should facilitate any desired 
investigations of fraud in the medical certification system at the 
State and Federal level, and is likely to assist in exposing drivers 
that engage in untruthful statements about their medical certification 
status. Thus, certain types of fraud might be deterred.
    This proposed rule would also provide safety benefits by providing 
drivers with a greater incentive to renew their medical certifications 
on time.

[[Page 66737]]

Currently, there are only minor penalties for driving with an expired 
medical certification. In addition, this violation is only caught if 
the driver is targeted for a roadside inspection or stopped for 
violating traffic laws. Since penalties are so light and there is a 
good probability of escaping detection, many drivers put off renewing 
their medical certifications until well after their old ones have 
expired. Once the medical certification becomes part of the CDLIS 
driver record, detection of expired medical certifications will become 
automated. In addition, States would have to send the drivers notice 
that action is being taken to downgrade their CDL unless a new medical 
certificate is submitted. As a result of this enhanced enforcement, 
drivers are more likely to renew their medical certifications in a 
timely manner.
    FMCSA believes that this more timely renewal by CDL drivers of 
medical certifications is likely to provide enhanced safety benefits 
for the entire motor carrier industry. During the 2-year renewal period 
between medical examinations some percentage of drivers will develop 
physical problems that make them physically unqualified to drive. For 
instance, a driver may have experienced a decline in eyesight, 
developed high blood pressure, kidney problems, or heart problems. If 
these drivers put off obtaining a new medical examination, they would 
remain an increased safety risk. However, if they are medically 
examined on schedule, the medical problems that have developed in the 
interim can be discovered and treated effectively. Effective treatment 
of the physical problem would reduce the safety risk the driver poses, 
and hence will yield safety benefits to the public in the form of fewer 
crashes involving physically unqualified drivers. The Agency 
acknowledges the fact that the level of the safety benefits that would 
accrue from the proposed changes in this NPRM are to some extent 
uncertain, and therefore has conducted a sensitivity analysis using two 
different levels of assumed safety benefits.
    If this proposed rule resulted in the avoidance of 10 percent of 
the crashes attributable to physically unqualified drivers, it would 
prevent approximately 268 crashes per year. The Agency estimates that 
the average cost of a truck or bus crash with a CDL driver is $69,439. 
Avoiding 268 crashes would therefore result in approximately $18.6 
million in annual undiscounted crash avoidance benefits. At this 
possible level of benefit, Alternative 2 would be cost beneficial, with 
an estimated 10-year net benefit of $20.7 million, assuming a 7 percent 
discount rate. Alternative 2 would also be cost beneficial if it 
resulted in avoiding only 4 fatal truck or bus crashes per year. These 
figures are summarized in Table 5 below. Alternative 3 would also be 
cost beneficial at this level of crash avoidance, with a slightly lower 
total net benefit of $16.8 million. Alternative 1 would not be cost-
beneficial at this level of benefit.

                                     Table 5.--10-Year Benefit Cost Comparison--All Crashes 7 Percent Discount Rate
                                                                 [Thousands of dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                  Year 1       Year 2       Year 3       Year 4       Year 5     Years 6-10     Total
--------------------------------------------------------------------------------------------------------------------------------------------------------
Discounted Crash Avoidance Benefits..........................           $0           $0           $0       $7,596      $14,197      $58,211      $80,004
Discounted Total Costs.......................................        6,710        6,271        4,302        7,273        6,797       27,871       59,224
Discounted Net Benefits......................................       -6,710       -6,271       -4,302          322        7,400       30,341       20,780
--------------------------------------------------------------------------------------------------------------------------------------------------------

    An alternative benefit-cost comparison for Alternative 2 based on 
an assumption of only a 5 percent reduction in crashes attributable to 
preventing physically not-qualified drivers from obtaining a CDL to 
operate CMVs is presented in Table 6 below. The proposed rule would not 
be cost beneficial at this level of crash prevention. The net present 
value of net costs under this level of benefits is $19 million. At this 
level of benefit, none of the alternatives would be cost beneficial. 
Were this proposed rule to result in no safety benefits, its total 10-
year cost would be $59 million.

                      Table 6.--10-Year Benefit Cost Comparison, Alternative 2 with Reduced Crash Avoidance 7 Percent Discount Rate
                                                                 [Thousands of dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                  Year 1       Year 2       Year 3       Year 4       Year 5     Years 6-10     Total
--------------------------------------------------------------------------------------------------------------------------------------------------------
Discounted Crash Avoidance Benefits..........................           $0           $0           $0       $3,798       $7,099      $29,106      $40,003
Discounted Total Costs.......................................        6,710        6,271        4,302        7,273        6,797       27,871       59,224
Discounted Net Benefits......................................       -6,710       -6,271       -4,302       -3,475          301        1,235      -19,222
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Because of the speculative nature of the benefits, it is possible 
that none of the Alternatives is cost beneficial under the terms of 
this proposal. This proposal implements the congressional mandate in 
section 215 of MCSIA. FMCSA anticipates it would also implement the 
National Registry of Medical Examiners as required by SAFETEA-LU, which 
the Agency believes could make further improvements in the medical 
certification program. The proposed requirements set forth in this NPRM 
are an important first step, and the Agency is separately considering 
additional changes to improve the medical certification processes in 
the future. The current changes proposed here are critical precursors 
for delivering electronic verification of improved medical 
certification information to State driver licensing agencies and 
roadside and traffic enforcement personnel as part of their 
programmatic processes. The FMCSA is also hopeful that substantial 
information quality improvements would result from the anticipated 
future rulemakings in the medical certification arena. FMCSA 
anticipates the combination of this proposed rule and future actions 
involving the medical certification program would achieve substantial 
safety benefits to the public. A full description of how these costs 
and benefits estimates were developed is in

[[Page 66738]]

the Regulatory Evaluation in the docket of the rulemaking)

G. Rulemaking Analyses

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

    FMCSA determined this proposed rulemaking is a significant 
regulatory action within the meaning of Executive Order 12866, and is 
significant within the meaning of Department of Transportation 
regulatory policies and procedures. The NPRM is significant because of 
the level of congressional and public interest in the proposed rule. 
The NPRM has been reviewed by the Office of the Secretary and the 
Office of Management and Budget (OMB).
    This rulemaking would require States to verify that CDL holders who 
are subject to the physical qualification requirements under 49 CFR 
part 391 have obtained a medical examiner's certificate issued by a 
medical examiner, or certify that they are either operating entirely in 
excepted interstate commerce or entirely in intrastate commerce. The 
States would be required to enter either: (1) The information from the 
medical examiner's certificate, or (2) the information from the CDL 
application that the driver claimed exempt status or plans to operate 
entirely intrastate, onto the CDLIS driver record to be available to 
Federal and State enforcement agencies via CDLIS or NLETS inquiries and 
to drivers and employers on the CDLIS MVR.
    The development costs the States would incur to implement this 
proposed rule include the cost to modify each State's information 
systems to enable them to record which certification the CDL driver 
made, and for those so required, information from the medical 
examiner's certificate to verify the driver's physical qualification. 
Operational costs to States include hiring and maintaining sufficient 
staff to receive these certificates from interstate CDL drivers at 
least every 2 years (in some cases more often), and to perform data 
entry functions to record all information from the paper medical 
examiner's certificates. State costs also include a requirement to 
downgrade the driver's CDL and to notify the driver of the planned 
downgrade, as well as updating the programs that provide the following 
responses: CDLIS, CDLIS equivalent for NLETS and CDLIS MVR status and 
history to users authorized in 49 CFR 384.225(e) to include specified 
medical certification status information. More details about these 
requirements are discussed under the section titled, ``Executive Order 
13132 (Federalism),'' below.

Regulatory Flexibility Act

    The Regulatory Flexibility Act requires Federal Agencies to take 
small businesses' particular concerns into account when developing, 
writing, publicizing, promulgating and enforcing regulations. To 
achieve this goal, the Act requires that agencies detail how they have 
met these concerns, by including a Regulatory Flexibility Analysis 
(RFA). An initial RFA, which accompanies an NPRM, must include the 
following five elements:
    (1) A description of the reasons why action by the Agency is being 
considered.
    The Agency has identified numerous instances in which drivers who 
are physically unqualified or have failed to be medically examined have 
obtained CDLs and operated CMVs in violation of Federal regulations. 
The Agency believes, and research suggests,\4\ that physically 
unqualified drivers are significantly more likely to be involved in 
motor vehicle crashes. The continued operation of CMVs by physically 
unqualified drivers therefore poses a significant risk to the health 
and safety of the general public. FMCSA believes that the changes being 
proposed here would, if implemented, reduce the number of large truck 
crashes that occur, and the losses in property, health, and lives that 
are associated with them.
---------------------------------------------------------------------------

    \4\ See for instance: Ogden, E.J.D. and Moskowitz, H. ``Effects 
of Alcohol and Other Drugs on Driver Performance.'' Traffic Injury 
Prevention. 5:185-198. 2004.
    J. Terran-Santos, M.D., A. Jimenez-Gomez, M.D., J. Cordero-
Guevara, M.D., and the Cooperative Group Burgos-Santander. 1999. 
``The Association Between Sleep Apnea and the Risk of Traffic 
Accidents.'' New England Journal of Medicine. 340:11. pp. 847-851.
---------------------------------------------------------------------------

    (2) A succinct statement of the objectives of, and legal basis for, 
the proposed rule.
    The objectives of the proposed rule are to inhibit physically 
unqualified drivers from falsely certifying they are qualified or 
submitting fraudulent medical examiner's certificates, and thus reduce 
the number of physically unqualified drivers who are obtaining CDLs and 
operating CMVs in interstate commerce in violation of Federal 
regulations. This proposed rule would also bring the CDL process into 
compliance with the requirements of section 215 of MCSIA, that requires 
FMCSA to initiate a rulemaking to provide for a Federal medical 
qualification certificate to be made part of the CDL. The changes being 
proposed here would bring the Agency into compliance with that mandate.
    (3) A description of and, where feasible, an estimate of the number 
of small entities to which the proposed rule would apply.
    The latest estimates from the Agency's MCMIS database (February 
2006) indicate a total of approximately 685,000 interstate motor 
carriers. However, FMCSA analysts believe the number of truly 
``active'' motor carriers (i.e., those currently moving freight or 
passengers, operating under their own authority, and with required 
filings on record with FMCSA) is probably less than 500,000. For this 
analysis, FMCSA used the estimate of 475,500, which is based on 
research conducted in calendar year 2005. This number includes both 
for-hire and private interstate carriers. For this analysis, the Agency 
assumes that 75 percent of existing motor carriers are defined as small 
entities, since the Economic Census data and conversations with trade 
associations both indicate that approximately 75 percent of motor 
carriers qualify as small businesses. Therefore, of the 475,500 current 
motor carriers in MCMIS, approximately 356,625 are considered small 
entities and this proposed rule would apply to all that use CDL drivers 
operating in interstate commerce.
    The changes being considered here would slightly reduce the 
paperwork and documentation requirements on employing motor carriers. 
Motor carriers are currently required to obtain a copy of the medical 
certificate from each driver they hire prior to letting that driver 
operate a CMV in interstate commerce. Motor carriers are also required 
to obtain from the drivers' SDLAs the MVR for all drivers they employ. 
This proposed rule change would enable motor carriers to get both the 
medical examiner's certificate and MVR from the licensing SDLA with one 
transaction. This proposed change would therefore reduce the current 
reporting and recordkeeping requirements for all motor carriers.
    (4) A description of the proposed reporting, recordkeeping, and 
other compliance requirements of the proposed rule, including an 
estimate of the classes of small entities which would be subject to the 
requirements and the type of professional skills necessary for 
preparation of the report or record.
    These proposed rules would change the source from which motor 
carriers gather medical certification status for CDL drivers operating 
in interstate commerce. Currently, drivers provide an original or copy 
of the medical

[[Page 66739]]

examiner's certificates to motor carriers. If this proposed rule were 
to go into effect, motor carriers would instead obtain driver medical 
certification status information for interstate CDL drivers from the 
driver's licensing SDLA, as part of the driver's MVR that the motor 
carrier must already collect when hiring a new driver. This NPRM would 
also reduce recordkeeping requirements for those drivers who must 
comply with the proposed requirements because they would no longer be 
required to carry a copy of their medical examiner's certificate with 
them while driving a CMV. However, driver reporting requirements would 
be increased very slightly--most interstate CDL drivers would need to 
mail a copy of their medical examiner's certificates to their SDLA each 
time they receive a new certificate rather than provide their current 
employing motor carrier with a copy.
    (5) An identification, to the extent practicable, of all Federal 
rules which may duplicate, overlap, or conflict with the proposed rule.
    This proposed rule would make information from the medical 
certificate a part of the commercial driver's license. FMCSA is not 
aware of any other regulations which would duplicate, overlap, or 
conflict with the proposed rule.
    The entire Regulatory Flexibility analysis is available in the 
docket for this proposal. FMCSA has preliminarily determined that this 
proposed rule would not have a significant economic impact on a 
substantial number of small entities.
    FMCSA seeks comments on the Regulatory Flexibility analysis set 
forth in this NPRM.

Executive Order 12988 (Civil Justice Reform)

    This proposed action would meet applicable standards in sections 
3(a) and 3(b)(2) of Executive Order 12988, Civil Justice Reform, to 
minimize litigation, eliminate ambiguity, and reduce burden.

Executive Order 13045 (Protection of Children)

    FMCSA analyzed this proposed action under Executive Order 13045, 
Protection of Children from Environmental Health Risks and Safety 
Risks. FMCSA determined preliminarily that this rulemaking would not 
concern an environmental risk to health or safety that may 
disproportionately affect children.

Executive Order 12630 (Taking of Private Property)

    This proposed rulemaking would not involve taking of private 
property or otherwise have taking implications under Executive Order 
12630, Governmental Actions and Interference with Constitutionally 
Protected Property Rights.

Executive Order 13132 (Federalism)

    This proposed action was analyzed in accordance with the principles 
and criteria contained in Executive Order 13132 (64 FR 43255, August 
10, 1999), which requires agencies to develop ``an accountable process 
to ensure meaningful and timely input by State and local government 
officials in the development of regulatory policies that have 
Federalism implications.'' Policies that have Federalism implications 
are defined in the Order to include regulations that have ``substantial 
direct effects on the States, on the relationship between the national 
government and the States, or on the distribution of power and 
responsibilities among the various levels of government.'' Under 
Executive Order 13132, Federal agencies may not issue a regulation that 
has Federalism implications, that imposes substantial direct costs, and 
that is not required by statute unless the Federal Government provides 
the funds necessary to pay the direct compliance costs incurred by 
State and local governments or the Agency consults with State and local 
officials early in the process of developing the proposed regulation. 
Also, Federal agencies may not issue a regulation that has Federalism 
implications and that preempts State law unless the Agency consults 
with local government officials early in the process of developing the 
proposed regulation.
    If FMCSA believes it complies by having consulted with the States, 
Executive Order 13132 requires FMCSA to provide to OMB in a separately 
identified section of the preamble to the rulemaking a ``Federalism 
Summary Impact Statement (FSIS).'' The FSIS must include: (1) A 
description of the extent of FMCSA's prior consultation with State and 
local government officials; (2) a summary of the nature of their 
concerns; (3) the Agency's position supporting the need to issue the 
regulation; and (4) a statement of the extent to which the concerns of 
State and local government officials have been met. Also, when FMCSA 
transmits a draft final rule with Federalism implications to OMB for 
review pursuant to Executive Order 12866, FMCSA must include a 
certification from the Agency's Federalism official stating that FMCSA 
has met the requirements of Executive Order 13132 in a meaningful and 
timely manner.
    Nothing in this proposal would directly preempt any State law or 
regulation. However, FMCSA believes this proposed action has Federalism 
implications because it would impose new direct operational costs on 
States, which would no longer be funded by FMCSA beginning 3 years 
after implementation, and limit State policymaking discretion if the 
State chooses to issue CDLs in compliance with the proposed revisions. 
Thus, the requirements of section 6 of the Executive Order regarding 
consultation would apply to this proposed rule. FMCSA will consult with 
State officials, including elected officials, on this proposal. In 
addition, FMCSA requests comments to the docket from elected State 
officials regarding the proposals in this NPRM.

Preliminary Federalism Summary Impact Statement (FSIS)

    Over the years, State officials have been consulted on a variety of 
possible approaches for addressing the issue of including the medical 
certification information with the CDL. Alternative models for how the 
1999 congressional mandate could be implemented were prepared and 
discussed with the American Association of Motor Vehicle Administrators 
(AAMVA) which sought additional feedback from some of its members 
regarding the models. AAMVA provided a document of their members' 
comments on those models, which is included in the docket. Most 
recently, FMCSA sent a letter to the States through the National 
Governors' Association advising them this proposed rule would be 
published this fall proposing requirements for the States to make 
changes to their CDL process and CDLIS implementations. A copy of the 
letter is included in the docket for this rulemaking.
    In addition to consultation, State and local officials have had the 
opportunity to provide official comments on this proposal. An ANPRM on 
this subject was published July 15, 1994 (59 FR 36338). Comments are in 
the docket, as is a summary of the comments prepared by FMCSA. An 
Advisory Committee was convened for a negotiated rulemaking. Materials 
from that Committee are in the docket.
    Summary of the Nature of State and Local Government Officials' 
Concerns. States have consistently expressed concern about what 
resources would be necessary to achieve compliance with whatever 
alternative is proposed as a

[[Page 66740]]

regulation. This NPRM would require States to obtain a medical 
examiner's certificate from the driver and post specified current 
medical certification status information on the CDLIS driver record. 
States would also be required to check the driver's medical 
certification status: (1) Prior to the CDL issuance, renewal, transfer 
and upgrade processes; (2) during the licensing period to detect 
expiration of the medical certification; and (3) as part of roadside 
and traffic enforcement activities. If the medical certification 
expires, the State would be required to downgrade the CDL and notify 
the driver that his/her CDL would be downgraded. To facilitate 
gathering information about possible impacts on States, FMCSA 
previously prepared draft concept models. These models were based in 
part on the work of the previous Committee and the public comments 
received in response to the ANPRM. Those draft models were presented to 
staff members of the AAMVA on June 17, 2003, for feedback about the 
feasibility of the models from a technical standpoint, potential costs 
with regard to modifications of State information systems necessary to 
implement various possible requirements, and preferred approach.
    The first model was based on using the medical examiner's 
certificate paper approach developed and recommended by the Committee. 
That model was expanded to include State capability for identifying 
problems and trends associated with medical certification, e.g., a 
driver passing a medical examination after recently failing an 
examination conducted by a different examiner (possible ``medical 
examiner shopping''). That capability is not included in this NPRM. The 
second model was premised on a more technology-based approach, which 
included processes to monitor medical examiners' performance (e.g., 
certifying individuals as meeting the physical qualification standards 
when, in fact, such individuals do not meet the requirements). A copy 
of the two models provided to AAMVA, and the feedback received from 
AAMVA, is included in the rulemaking docket. FMCSA seeks comments from 
States and other interested parties regarding the impacts the Agency 
assessed previously in its draft concept models for this proposed rule.
    An alternative FMCSA discussed with the States as part of the 
negotiated rulemaking for more explicitly addressing whether a driver 
is physically qualified within the CDL program was to require States to 
obtain, review, and approve the medical examination report (long form.) 
The States opposed that proposal.
    Another alternative examined in the Regulatory Impact Analysis for 
this proposal was to make the medical examiner's certificate and the 
CDL the same document and to require the driver to obtain a new CDL 
each time the driver is reexamined by a medical examiner. FMCSA 
determined that the costs of that approach would be extremely high 
because the medical examination schedule (maximum duration of 2 years) 
is dramatically shorter than the current CDL renewal cycle (on average, 
every 5 years). The approximate 5-year CDL renewal cycle would need to 
be changed to require drivers to renew their CDL, on average, much more 
often than every 2 years.
    Currently, 49 CFR 391.45 requires that all drivers who operate CMVs 
in interstate commerce must be medically examined and certified as 
physically qualified at least once every 2 years. Section 391.45(c) 
essentially requires a driver to be medically reexamined at any time an 
employer is concerned the driver's abilities to perform his/her usual 
duties may be impaired. FMCSA guidance to medical examiners says 
drivers should be given less than a 2-year certification if they have 
medical conditions that need more frequent monitoring. The medical 
exemptions for vision and diabetes granted by FMCSA under 49 CFR part 
381 require annual reexamination and recertification. It is documented 
in a report available from the American Trucking Research Institute 
that there is a large turnover in employment among drivers.\5\ Each 
time a driver changes employers, the new employer has the opportunity, 
as a condition of employment, to require a new medical examination, and 
a number of larger carriers do so. Because of these reasons, FMCSA 
estimates that at least 20 percent of the drivers granted a 2-year 
medical examiner's certificate are required to obtain at least one 
additional certificate during that 2-year period.
---------------------------------------------------------------------------

    \5\ ``Empty Seats and Musical Chairs; Critical Success Factors 
in Truck Driver Retention'', Chapter III, prepared by the Gallup 
Organization for the American Trucking Associations (ATA) 
Foundation, October 1997. A copy of this report is available online 
at http://www.atri-online.org/research/safety/images/Musical_Chairspdf.
---------------------------------------------------------------------------

    Another alternative suggested by the States as part of the 
negotiated rulemaking, was that, as part of the requirement for each 
driver to submit his/her medical examiner's certificate to the State, 
the State would only record specified information from it on the CDLIS 
driver record, and make no other changes to the existing licensing 
processes. This alternative is potentially the least intrusive on 
existing CDL procedures used by the States, and is the one proposed in 
this NPRM.
    This NPRM would require the driver to maintain a valid medical 
certification status on his/her CDLIS driver record. Drivers would 
accomplish this by providing the SDLA with a current medical examiner's 
certificate documenting current medical certification status before the 
SDLA issues, renews, upgrades, or transfers a CDL, and every time the 
certificate expires. The SDLA would record the medical certification 
status information on the CDLIS driver record within 2 business days of 
receiving it. If the medical certification expires, the State would be 
required to downgrade the driver's CDL.
    The States would be required to notify the driver of the impending 
CDL downgrade as part of the process. This would be an incremental 
addition to existing driver notification systems operated by all 
States, but would increase the number of notifications they would send 
out. However, because CDL drivers are only a small percentage of the 
total number of CMV drivers, this should be a relatively small 
percentage increase in the volume of driver notifications required of 
States. This NPRM also proposes a revised standard for how employers 
and enforcement personnel would verify a driver's current medical 
certification status as part of their responsibilities.
    FMCSA Position Supporting Need to Issue this Regulation. This 
proposed requirement is congressionally-mandated by section 215 of 
MCSIA, which requires FMCSA to initiate rulemaking to provide for a 
medical qualification certificate to be made a part of the commercial 
driver's license program. This requirement is national in scope, 
requiring regulation of an aspect of safety for drivers engaged in 
interstate commerce. This proposal would establish a requirement for 
States to obtain a medical examiner's certificate from the CDL driver 
and record the information from it within 2 business days, documenting 
his or her physical qualifications to drive a CMV in interstate 
commerce.
    In developing this NPRM, FMCSA intends for States to have the 
maximum administrative discretion possible to determine how they choose 
to satisfy the proposed minimum medical certification and CDL 
regulations set forth in this NPRM. Through AAMVA, FMCSA works to 
develop and oversee technical details necessary for the CDLIS to 
successfully operate in compliance with the Agency's

[[Page 66741]]

regulations. There is no preemption of State law.
    After the 3-year phase-in period proposed in this NPRM to allow for 
development and implementation of the proposed new CDLIS capabilities, 
FMCSA would begin monitoring whether the new requirements are being met 
as part of the standard State CDL compliance review process. If a State 
is determined, as part of the State CDL compliance review, not to have 
implemented the required minimum changes required by this proposal, the 
normal process specified in the 49 CFR 384, CDL compliance regulations 
for notifying the State about potential withholding of Federal-aid 
highway funds, would apply.
    FMCSA estimates the States would incur approximately the following 
costs to implement, and then operate the new procedures and CDLIS 
capabilities proposed in this NPRM.

                      Table 7.--Summary State Costs
------------------------------------------------------------------------
                                                           Average cost/
               Year                  Total national cost       state
------------------------------------------------------------------------
Year 1............................  $6.7 million........        $131,000
Year 2............................  6.7 million.........         131,000
Year 3............................  4.9 million.........          96,000
Continuing Years..................  4.0 million.........          78,400
------------------------------------------------------------------------

    FMCSA Anticipates Federal Funds Would Be Available for the First 3 
years to Pay Most of the Direct Costs Incurred by the States and Local 
Governments in Complying with the Regulation. SAFETEA-LU provides two 
grant programs to assist the States in improving the CDL program, and 
for modernizing CDLIS as required by 49 U.S.C. 31309(e)(1)(D). FMCSA 
would consult with AAMVA and the States on how the CDLIS changes 
proposed in this NPRM could be included as part of the CDLIS 
modernization specifications. An additional possible source of limited 
grant funds would be from the SAFETEA-LU State MCSAP grant funds. (49 
U.S.C. 31102). Expenses to implement the proposed CDL changes would be 
allowable as part of these grant programs for the first 3 years of 
implementing these requirements. These are 80 percent federal grant 
funds, and 20 percent State matching funds that cannot come from any 
other grant. Beyond the first 3 years, the Agency assumes that the 
States would adjust their fees to cover the remaining costs to comply 
with this proposal.
    Statement of Extent to Which FMCSA Has Addressed the Concerns of 
State and Local Government Officials. FMCSA believes the approach 
proposed for implementing the congressional requirement in section 215 
of MCSIA responds to the concerns raised by State and local officials 
prior to the Agency's development of this NPRM to minimize any 
potential unfunded impacts on the States. The Agency has proposed steps 
necessary to achieve the objectives of the statute, and is providing 
all affected State and local officials notice and an opportunity for 
appropriate participation in the proceedings. In addition to the 
required publication of this notice in the Federal Register, FMCSA also 
proposes to continue to work through AAMVA early in the rulemaking 
process to bring these issues to the immediate attention of AAMVA's 
members, and to foster the maximum participation of elected State and 
local governmental officials in developing a final rule on the subject.
    FMCSA requests comments from elected State or local officials on 
these Federalism implications. All comments should be submitted to the 
docket for this rulemaking.

Unfunded Mandates Reform Act of 1995

    The Unfunded Mandates Reform Act of 1995 requires that Agencies 
prepare analyses of proposals that would result in the expenditure by 
State, local and tribal governments, or by the private sector, of $100 
million or more in any 1 year. Department of Transportation guidance 
requires that we use a revised threshold figure of $120.7 million, 
which is the value of $100 million in 2005 after adjusting for 
inflation. FMCSA has preliminarily determined that the impact of this 
proposed rulemaking would not be that large in any projected year.
    The estimated costs of this proposed rule are presented in the 
table below. The estimated costs to States of this proposed rule would 
not exceed $7 million in any 1 year. This figure is well below the 
$120.7 million threshold used by the Department in making an unfunded 
mandate determination.\6\ Total 5 year costs are estimated at $26.3 
million, so costs average slightly more than $5 million per year. This 
proposed rule would not impose a Federal mandate resulting in the net 
expenditures by State, local, or tribal governments, in the aggregate, 
or by the private sector, of $120.7 million or more (adjusted annually 
for inflation) in any one year. 2 U.S.C. 1531, et seq.
---------------------------------------------------------------------------

    \6\ Memorandum titled: Departmental Guidance: Threshold of 
Significant Regulatory Actions Under the Unfunded Mandates Reform 
Act of 1995, From Assistant Secretary for Transportation Policy, 
April 5, 2004.

                                        Table 8.--State Costs of Proposal
                                             [Thousands of dollars]
----------------------------------------------------------------------------------------------------------------
                                       Year 1       Year 2       Year 3       Year 4       Year 5       Total
----------------------------------------------------------------------------------------------------------------
Planning and Design...............       $1,785       $1,785           $0           $0           $0        $3570
State Computer System Development.        4,250        4,250        4,250            0            0       12,750
State Computer System Operation...            0            0            0          510          510         1020
State Staff Training..............          425          425          425            0            0         1275
Data Entry Costs..................            0            0            0        2,200        2,200        4,400
Mailing Costs.....................            0            0            0        1,288        1,288        2,576
CDLIS Testing Costs...............          250          250          250            0            0          750
                                   -----------------------------------------------------------------------------
    5 Year Total..................  ...........  ...........  ...........  ...........  ...........       26,341
----------------------------------------------------------------------------------------------------------------


[[Page 66742]]

Executive Order 12372 (Intergovernmental Review)

    The regulations implementing Executive Order 12372 regarding 
intergovernmental consultation on Federal programs and activities do 
not apply to this program.

Paperwork Reduction Act

    Under the Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3501-
3520), a Federal Agency must obtain approval from OMB for each 
collection of information it conducts, sponsors or requires through 
regulations. FMCSA analyzed this proposal and determined that its 
implementation would increase the currently approved information 
collection burdens covered by OMB Control No. 2126-0006, titled 
``Medical Qualification Requirements,'' which must be renewed by 
December 31, 2006; and OMB Control No. 2126-0011, titled ``Commercial 
Driver Licensing and Test Standards,'' which must be renewed by April 
30, 2007. Table 9 captures the current and proposed burden hours 
associated with the two approved information collections.

                          Table 9.--Current and Proposed Information Collection Burdens
----------------------------------------------------------------------------------------------------------------
                                                   Annual burden
                                                       hours        Adjustment    Change  burden  Annual  burden
              OMB approvals number                   currently     burden hours        hours           hours
                                                     approved        proposed        proposed        proposed
----------------------------------------------------------------------------------------------------------------
2126-0006.......................................       1,185,876               0         118,449       1,304,325
2126-0011.......................................       1,272,988        (62,597)               0       1,210,391
                                                 ---------------------------------------------------------------
    Totals......................................       2,458,864        (62,597)         118,449       2,514,716
----------------------------------------------------------------------------------------------------------------

    Following is an explanation of how each of the two information 
collections shown above would be impacted by this proposal.
    2126-0006 Medical Qualification Requirement. This rulemaking would 
increase slightly the information collection burden associated with the 
medical qualification requirement. The increase is attributed to FMCSA 
adjusting its estimate of the total number of medical examinations and 
the associated burden hours from 1,185,876 to 1,304,325 hours, and the 
proposed requirement for motor carriers to maintain a copy of the 
vision or diabetes exemption in the driver qualification file. 
Currently, FMCSA manages vision and diabetes exemption programs under 
its authority provided at 49 U.S.C. 31136(e) and 31315. Drivers that 
are granted an exemption are required under the terms and conditions of 
the exemption programs to carry on their person a copy of the exemption 
at all times but motor carriers are not required to maintain a copy of 
the exemption that may be granted from the physical qualifications 
standards. If a final rule is adopted, the estimated information 
collection burden for the medical qualification requirement would 
increase from 1,185,876 to 1,304,325 hours annually [1,301,378 hours 
for medical certificates + 11 hours for resolution of medical conflicts 
+ 167 hours for SPE certificates + 946 hours for vision exemptions + 3 
hours for migrant workers + 1,820 hours for diabetes exemptions].
    FMCSA notes that the proposed rule would eliminate the requirement 
for motor carriers to maintain a copy of the medical certificate in the 
driver qualifications file of CDL holders. However, because the 
proposed rule would require the SDLA to maintain a copy of the CDL 
driver's certificate for at least 6 months from the date it is filed 
with the licensing agency, and to maintain the information from the 
certificate on the CDLIS driver record for interstate CDL holders, the 
information collection burden reductions for motor carriers are offset 
by the information collection burden increases for the SDLAs. The 
Agency would retain the requirement for a carrier to place a copy of 
the medical certificate in the driver qualification file for non-CDL 
drivers so that portion of the information collection burden remains 
unchanged. A copy of FMCSA's preliminary supporting statement is 
included in the docket referenced at the beginning of this NPRM. FMCSA 
requests comments on its estimates of the information collection 
burdens proposed in OMB Control Number 2126-0006.
    2126-0011, Commercial Driver Licensing and Test Standards. This 
information collection supports the DOT Strategic Goal of Safety by 
requiring that CDL drivers of CMVs subject to part 391 are properly 
licensed according to all applicable Federal requirements. The 
information being collected ensures that CDL drivers are qualified to 
hold a CDL and operate CMVs, and that States are administering their 
CDL programs in compliance with the Federal requirements.
    There would be a new requirement for SDLAs to collect and post to 
the CDLIS driver record the information contained on the medical 
examiner's certificate of CDL driver applicants and holders who are 
subject to part 391.
    A driver applicant applying for a CDL for the first time who is 
subject to the requirements of 49 CFR part 391 would provide an 
original or a copy of the medical examiner's certificate to the SDLA 
before it would issue the CDL. The SDLA would then post the information 
from the certificate to the driver's electronic CDLIS driver record for 
access by authorized personnel. When the driver renews, updates or 
transfers the CDL, the SDLA would verify whether the driver must have a 
medical certification, and if so that the driver's current medical 
certification is still valid before taking the licensing action.
    For drivers required to have a medical certification, in addition 
to providing the medical examiner's certificate to the SDLA for the 
initial application for a CDL, whenever a driver renews his/her medical 
certification either because it is about to expire, because there is a 
change in a medical condition or because it is requested by his/her 
employer, the driver must provide an original or copy of the new 
medical certificate to the SDLA. It is expected that the driver would 
mail the certificate to the SDLA. The SDLA would post the new medical 
examiner's certificate information to the electronic CDLIS driver 
record within 2 business days of receipt.
    If at any time the driver is no longer medically certified to 
operate in interstate commerce, the SDLA would notify the driver. The 
SDLA would also change the medical status on the electronic CDLIS 
driver record within 2 business days to either ``not qualified,'' 
``excepted'' or ``intrastate only,'' if the driver can meet the State's 
intrastate medical requirements. If the status is

[[Page 66743]]

``not qualified,'' the SDLA would proceed with established State 
procedures for downgrading the CDL privilege. The process would be 
completed and recorded on the electronic CDLIS driver record by the 
State within 60 days of the driver becoming not qualified.
    This proposed medical certification status information on the CDLIS 
driver record would not be required to start until 3 years after the 
effective date of a final rule on this subject; thus, there would be no 
change in the total annual burden hours due to this new program change. 
During these 3 years, the SDLAs would, however, incur a combined one-
time estimated cost of $18,245,006 to make systems revisions in order 
to accommodate the recordkeeping requirements of this proposed new 
requirement. This includes development of capabilities to record 
information from the medical examiner's certificate on the CDLIS driver 
record. It also includes updating all necessary systems to provide 
medical certification status information as part of the responses to 
inquiries by all users authorized under 49 CFR 394.225(e). During the 
first 3 years, there would be a change in the total annual burden hours 
due to the net results of: (1) Program adjustments in regard to the 
increase in the number of CDLIS driver records from 11.3 to 12.2 
million and (2) the decease in the number of active CDLIS driver 
records (i.e. records of former drivers that must be retained to meet 
State and/or Federal record retention requirements).
    Starting in the 4th and subsequent years, the additional decease in 
proposed total annual burden hours is due to the implementation of the 
new program change requiring States to collect and post the driver 
medical certification information on the interstate CDL holder's 
electronic CDLIS driver record.
    The major assumptions used for calculation of the information 
collection annual burden hours include the following: (1) Currently, 
approximately 10% of the 12.2 million (or 1.22 million) CDLIS driver 
records are inactive drivers; (2) it will take 3 years for States to 
pass legislation and make the necessary system revisions before the 
first medical certificate would be posted to the CDLIS driver record; 
(3) there are approximately 4.2 million active CDL holders and 74% (or 
3.1 million) are interstate drivers; and (4) of the remaining 6.78 
million inactive CDL holders (12.2-1.22-4.2 million = 6.78 million), 
approximately 55% of these drivers (or 2.76 million) would not retain 
their CDL once the proposed requirements are implemented in the 4th 
year.
    The following table summaries the annual information collection 
burden hours for current and proposed information collection activities 
for the first 3 years and the subsequent years. The total proposed 
annual burden of 1,210,401 hours for the first 3 years represents a 
decrease of 62,597 hours from the currently-approved total annual 
burden of 1,272,998 hours due to program adjustments discussed above. 
The additional decease in proposed total annual burden of 163,786 hours 
in subsequent years is due to the program changes implementing the new 
requirement as described above. A detailed analysis of the annual 
burden hour changes for each information collection activity can be 
found in the Supporting Statement of OMB Control Number 2126-0011. The 
Supporting Statement and its attachments are in the public docket for 
this rulemaking.

----------------------------------------------------------------------------------------------------------------
                                                                             Proposed annual
                                                             Currently       burden hours for   Proposed annual
 Current and proposed information collection activities   approved annual     first 3 Years     burden hours for
               for states and CDL drivers                   burden hours         (program       subsequent years
                                                                               adjustment)      (program change)
----------------------------------------------------------------------------------------------------------------
State to obtain and record the medical certificate                       0                  0            127,667
 information...........................................
State recording of medical certification status........                  0                  0              3,118
State to verify the medical certification status of all                  0                  0              1,710
 interstate CDL drivers................................
Driver to notify employer of convictions/                          629,445            610,000            456,667
 disqualifications.....................................
Driver to complete previous employment paperwork.......            395,500            384,300            287,700
States to complete compliance certification documents..              1,632              1,632              1,632
CDLIS recordkeeping....................................            237,004            204,302            158,064
Drivers to complete the CDL application................              9,417             10,167             10,167
                                                        --------------------------------------------------------
    Total Current Burden...............................          1,272,998          1,210,401          1,046,725
----------------------------------------------------------------------------------------------------------------

    Comments. FMCSA requests your comments on whether the proposed 
information collection is necessary for FMCSA to achieve the goal of 
reducing truck and bus crashes, including: (1) Whether the information 
is useful to this goal; (2) the accuracy of the estimate of the burden 
of the information collection; (3) ways to enhance the quality, utility 
and clarity of the information collected; and (4) ways to minimize the 
burden of the collection of information on respondents, including the 
use of automated collection techniques or other forms of information 
technology.
    You may submit comments on this information collection burden 
directly to OMB. The OMB must receive your comments by December 18, 
2006. You must mail or hand deliver your comments to: Attention: Desk 
Officer for the Department of Transportation, Docket Library, Office of 
Information and Regulatory Affairs, Office of Management and Budget, 
Room 10102, 725 17th Street, NW., Washington, DC 20503.

National Environmental Policy Act

    The Agency analyzed this proposed rule for the purpose of the 
National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321 et 
seq.) and determined under our environmental procedures Order 5610.1, 
published March 1, 2004 (69 FR 9680), that this proposed action is 
covered by a Categorical Exclusion (CE) under Appendix 2, paragraph 
6(t) in the Order from further environmental documentation. The CE 
relates to regulations that ensure States comply with the provisions of 
the Commercial Motor Vehicle Safety Act of 1986 by having appropriate 
laws, regulations, programs, policies, procedures and information 
systems concerning the qualification and licensing of persons who apply 
for a commercial driver's license, and persons who are issued a 
commercial driver's license. In addition, the Agency believes that the 
proposed action includes no extraordinary circumstances that would have 
any effect on the quality of the environment. Thus, the FMCSA 
preliminarily

[[Page 66744]]

determines that the proposed action does not require an environmental 
assessment or an environmental impact statement.
    The Agency analyzed this proposed rule under section 176(c) of the 
Clean Air Act, as amended (CAA), (42 U.S.C. 7401 et seq.) and 
implementing regulations promulgated by the Environmental Protection 
Agency. Approval of this proposed action is exempt from the CAA's 
general conformity requirement since it involves rulemaking and policy 
development and issuance. (Refer to 40 CFR 93.153(c)(2).) It would not 
result in any emissions increase nor would it have any potential to 
result in emissions that are above the general conformity rule's de 
minimis emission threshold levels. Moreover, it is reasonable that the 
proposed rule would not increase total CMV mileage, change the routing 
of CMVs, how CMVs operate, or the CMV fleet mix of motor carriers. 
Drivers are currently required to obtain and maintain medical 
certification as proof they meet the physical qualification standards 
of 49 CFR part 391. This proposed rulemaking would establish a 
requirement for States to record this medical certification information 
for CDLIS driver records accessible to FMCSA and State licensing and 
enforcement agencies through CDLIS and CDLIS equivalent for NLETS, and 
to drivers and employers on the CDLIS MVR. FMCSA requests public 
comment on these preliminary determinations.

Executive Order 13211 (Energy Effects)

    FMCSA analyzed this proposed action under Executive Order 13211, 
Actions Concerning Regulations That Significantly Affect Energy Supply, 
Distribution or Use. The Agency determined, preliminarily, that it 
would not be a ``significant energy action'' under that executive order 
because it would not be economically significant and would not be 
likely to have a significant adverse effect on the supply, 
distribution, or use of energy.

Privacy Impact Assessment

    FMCSA conducted a privacy impact assessment of this proposed rule 
as required by Section 522(a)(5) of the FY 2005 Omnibus Appropriations 
Act, Pub. L. 108-447, 118 Stat. 3268 (Dec. 8, 2004) [set out as a note 
to 5 U.S.C. 552a]. The assessment considers any impacts of the proposed 
rule on the privacy of information in an identifiable form and related 
matters. The entire privacy impact assessment is available in the 
docket for this proposal.

List of Subjects

49 CFR Part 383

    Administrative practice and procedure, Highway safety, and Motor 
carriers.

49 CFR Part 384

    Administrative practice and procedure, Highway safety, and Motor 
carriers.

49 CFR Part 390

    Motor carriers, Reporting and recordkeeping requirements, Safety.

49 CFR Part 391

    Motor carriers, Reporting and recordkeeping requirements, Safety.

    In consideration of the foregoing, FMCSA proposes to amend parts 
383, 384, 390 and 391 of title 49, Code of Federal Regulations (49 CFR 
parts 383, 384, 390 and 391) as follows:

PART 383--COMMERCIAL DRIVER'S LICENSE STANDARDS; REQUIREMENTS AND 
PENALTIES

    1. Revise the authority citation for part 383 to read as follows:

    Authority: 49 U.S.C. 521, 31136, 31301 et seq., and 31502; secs. 
214 and 215 of Pub. L. 106-159, 113 Stat. 1766, 1767 (Dec. 9, 1999); 
sec. 1012(b) of Pub. L. 107-56; 115 Stat. 397 (October 26, 2001); 
sec. 4140 of Pub. L. 109-59, 119 Stat. 1144, 1726 (Aug. 10, 2005); 
and 49 CFR 1.73.

    2. Amend Sec.  383.5 to add definitions for ``CDLIS driver record'' 
and ``CDL Downgrade'' in alphabetical order to read as follows:


Sec.  383.5  Definitions.

* * * * *
    CDL downgrade means the State either: (1) Restricts an unrestricted 
CDL to intrastate transportation, or interstate transportation excepted 
from part 391 as provided in 49 CFR 390.3(f) or 391.2; or (2) the State 
removes the CDL privilege entirely from the driver license.
    CDLIS driver record means the electronic record in the Commercial 
Driver's License Information System established under 49 U.S.C. 31309 
containing a CDL driver's individual status and history.
* * * * *
    3. Amend Sec.  383.71 by revising paragraph (a) introductory text 
and paragraph (a)(1) and by adding a new paragraph (g) to read as 
follows:


Sec.  383.71  Driver application procedures.

    (a) Initial Commercial Driver's License. Prior to obtaining a CDL, 
an applicant must meet the following requirements:
    (1) An applicant must certify either:
    (i) He or she operates or expects to operate in interstate 
commerce, and is both subject to and meets the qualification 
requirements under part 391 of this chapter; or
    (ii) He or she operates in interstate commerce, but engages 
exclusively in transportation or operation excepted from the 
qualification requirements of part 391 of this chapter, or he or she 
operates only in intrastate commerce and therefore is subject to State 
driver qualification requirements.
* * * * *
    (g) An applicant who certifies according to (a)(1)(i) of this 
section must:
    (1) At his or her first licensing action (new CDL, renewal, 
transfer or upgrade) on or after [DATE 3 YEARS AFTER EFFECTIVE DATE OF 
A FINAL RULE], provide the State with an original or copy of a medical 
examiner's certificate prepared by a qualified medical examiner, as 
defined in Sec.  390.5 of this chapter, and
    (2) In order to maintain a medical certification status of 
``qualified,'' on or after [DATE 3 YEARS AFTER EFFECTIVE DATE OF A 
FINAL RULE], provide the State with all subsequently issued medical 
examiner's certificates.
    4. Amend Sec.  383.73 to:
    a. Redesignate existing paragraph (a)(5) to be (a)(6);
    b. Add a new paragraph (a)(5);
    c. Amend paragraph (b)(4)(ii) by removing the ``and'' from the end;
    d. Amend paragraph (b)(5) by removing the period and adding ``; 
and'' at the end;
    e. Add paragraph (b)(6);
    f. Amend paragraph (c)(3) by removing ``and'' at the end;
    g. Amend paragraph (c)(4) by removing the period and adding ``; 
and'' at the end;
    h. Add paragraph (c)(5);
    i. Amend paragraph (d)(1) by removing ``and'' at the end;
    j. Amend paragraph (d)(2) by removing the period and adding ``; 
and'' at the end; and
    k. Add paragraphs (d)(3) and (j), to read as follows:


Sec.  383.73  State procedures.

    (a) * * *
    (5) Beginning [DATE 3 YEARS AFTER EFFECTIVE DATE OF A FINAL RULE], 
record on the CDLIS driver record the certification made by the driver 
according to Sec.  383.71(a)(1). If the driver certified according to 
Sec.  383.71(a)(1)(i), then record all required information from the 
medical examiner's certificate to the CDLIS driver record in

[[Page 66745]]

accordance with paragraph (j) of this section.
* * * * *
    (b) * * *
    (6)(i) Beginning [DATE 3 YEARS AFTER EFFECTIVE DATE OF A FINAL 
RULE], verify from the CDLIS driver record that the medical 
certification status is qualified if the CDLIS driver record indicates 
the applicant is subject to part 391 of this chapter under the 
provisions of Sec.  383.71(a)(1)(i).
    (ii) Exception. A driver may present a currently valid medical 
examiner's certificate issued prior to [DATE 3 YEARS AFTER EFFECTIVE 
DATE OF A FINAL RULE]. The medical examiner's certificate provided by 
the driver must be posted to the CDLIS driver record in accordance with 
paragraph (j) of this section.
    (c) * * *
    (5)(i) Beginning [DATE 3 YEARS AFTER THE EFECTIVE DATE OF A FINAL 
RULE] verify from the CDLIS driver record that the medical 
certification status is qualified if the CDLIS driver record indicates 
the applicant is subject to part 391 of this chapter under the 
provisions of Sec.  383.71(a)(1)(i).
    (ii) Exception. A driver may present a currently valid medical 
examiner's certificate issued prior to [DATE 3 YEARS AFTER EFFECTIVE 
DATE OF A FINAL RULE]. The medical examiner's certificate provided by 
the driver must be posted to the CDLIS driver record in accordance with 
paragraph (j) of this section.
    (d) * * *
    (3)(i) Beginning [DATE 3 YEARS AFTER EFFECTIVE DATE OF A FINAL 
RULE] verify from the CDLIS driver record that the medical 
certification status is qualified if the CDLIS driver record indicates 
the applicant is subject to part 391 of this chapter under the 
provisions of Sec.  383.71(a)(1)(i).
    (ii) Exception. A driver may present a current medical examiner's 
certificate issued prior to [DATE 3 YEARS AFTER EFFECTIVE DATE OF A 
FINAL RULE]. The medical examiner's certificate provided by the driver 
must be posted to the CDLIS driver record in accordance with paragraph 
(j) of this section.
* * * * *
    (j) Medical certification recordkeeping. (1) Application for CDL. 
Beginning [DATE 3 YEARS AFTER EFFECTIVE DATE OF A FINAL RULE], for each 
operator of a commercial motor vehicle required to have a commercial 
driver's license, the current licensing State must record the driver's 
certification information from Sec.  383.71(a)(1). For drivers subject 
to part 391 of this chapter, the State must date stamp the medical 
examiner's certificate required by Sec.  383.71(g) when received, 
retain the certificate, a copy, or an image for 6 months, and within 2 
business days record the information from the medical examiner's 
certificate, including:
    (i) Medical examiner's name;
    (ii) Medical examiner's license or certificate number and the State 
that issued it;
    (iii) Medical examiner's National Registry identification number 
(if the National Registry of Medical Examiners, required by 49 U.S.C. 
31149(d), as added by section 4116(a) of SAFETEA-LU (Pub. L. 109-59, 
119 Stat. 1144, 1726 (Aug. 10, 2005)), requires one); \7\
---------------------------------------------------------------------------

    \7\ Section 31149(d) becomes effective August 10, 2006. 
(SAFETEA-LU section 4116(f)). Although the FMCSA plans to implement 
regulations establishing the National Registry of Medical Examiners 
in the future, in order to minimize the number of times States have 
to upgrade their licensing systems, States may want to make 
provisions in the CDLIS driver record to accept this information 
should it be required.
---------------------------------------------------------------------------

    (iv) Date of physical examination/issuance of the medical 
examiner's certificate to the driver;
    (v) Medical certification status determination;
    (vi) Expiration date of the medical examiner's certificate;
    (vii) Existence of any medical variance on the medical certificate, 
such as an exemption, Skill Performance Evaluation (SPE) certification 
or grandfather provisions;
    (viii) Any restriction (e.g., corrective lenses, hearing aid, 
etc.); and
    (ix) Date the medical examiner's certificate information was posted 
to the CDLIS driver record.
    (2) Medical certification status updates. (i) Beginning [DATE 3 
YEARS AFTER EFFECTIVE DATE OF A FINAL RULE], the State must, within 2 
business days of receiving the original or copy of a medical examiner's 
certificate from the driver, post the medical examiner's certificate 
information specified in paragraph (a) of this section to the CDLIS 
driver record.
    (ii) Beginning [DATE 3 YEARS AFTER EFFECTIVE DATE OF A FINAL RULE], 
if a driver's medical certification or medical variance expires, or the 
FMCSA notifies the State that a medical variance was removed/rescinded, 
the State must:
    (A) Update the CDLIS driver record within 2 business days to show 
the driver's current CMV medical certification status as ``not 
qualified'' and proceed with established State procedures for 
downgrading the license. The CDL downgrade must be completed and 
recorded within 60 days of the driver becoming not qualified to operate 
a CMV.
    (B) Notify the CDL holder of his/her CDL not-qualified status and 
that the CDL is being downgraded.
    (iii) Beginning [DATE 3 YEARS AFTER EFFECTIVE DATE OF A FINAL 
RULE], the State must, within 2 business days of receiving information 
from FMCSA regarding issuance or renewal of a medical variance for a 
driver, update the CDLIS driver record to include the medical variance 
information provided by FMCSA.
    (iv) Beginning [DATE 5 YEARS AFTER THE EFFECTIVE DATE OF THE FINAL 
RULE], if a driver subject to part 391 of this chapter has failed to 
provide a current medical examiner's certificate, the State must mark 
that CDLIS driver record as ``not qualified'' and downgrade the CDL 
following procedures in paragraph (j)(2)(ii) of this section.
    5. Revise Sec.  383.95 to read as follows:


Sec.  383.95  Restrictions.

    (a)(1) If an applicant either fails the air brake component of the 
knowledge test, or performs the skills test in a vehicle not equipped 
with air brakes, the State must indicate on the CDL, if issued, that 
the person is restricted from operating a CMV equipped with air brakes.
    (2) For the purposes of the skills test, and the restriction, air 
brakes shall include any braking system operating fully or partially on 
the air brake principle.
    (b) If the State is notified according to Sec.  383.73(j)(2)(iii) 
that the driver has been issued a medical variance, the State must 
indicate the existence of such a medical variance on the CDL document 
by placing a ``W'' restriction on the CDL, if issued, indicating there 
is information about a medical variance on the CDLIS driver record.\8\
---------------------------------------------------------------------------

    \8\ In accordance with the agreement between Canada and the 
United States (see footnote to Sec.  391.41), drivers with a ``W'' 
restriction on their commercial driver license are restricted from 
operating a CMV in the other country.
---------------------------------------------------------------------------

PART 384--STATE COMPLIANCE WITH COMMERCIAL DRIVER'S LICENSE PROGRAM

    6. Revise the authority citation for 49 CFR part 384 to read as 
follows:

    Authority: 49 U.S.C. 31136, 31301 et seq., and 31502; secs. 103 
and 215 of Pub. L. 106-159, 113 Stat. 1753, 1767 (Dec. 9, 1999); and 
49 CFR 1.73.

    7. Amend Sec.  384.105(b) by adding in alphabetical order the 
definition for

[[Page 66746]]

CDLIS Motor Vehicle Record to read as follows:


Sec.  384.105  Definitions.

* * * * *
    (b) * * *
    CDLIS motor vehicle record (CDLIS MVR) means a report generated 
from the CDLIS driver record meeting the requirements for access to 
CDLIS information and provided by States to users authorized in Sec.  
384.225(e)(3) and (4).
* * * * *
    8. Revise Sec.  384.107(b) to read as follows:


Sec.  384.107  Matter incorporated by reference.

* * * * *
    (b) Materials incorporated. The AAMVA, Inc.'s ``Commercial Driver 
License Information System (CDLIS) State Procedures Manual,'' Version 
4.0.2, March 2006, IBR approved for Sec. Sec.  384.225(f) and 
384.231(d).
* * * * *
    9. Amend Sec.  384.206 to:
    a. Amend paragraphs (a)(2)(ii) and (iii) to replace the phrase 
``driving record'' with the phrase ``driver record'' wherever it 
occurs; and
    b. Revise paragraphs (a)(1) and (b) to read as follows:


Sec.  384.206  State record checks.

    (a) Required checks.
    (1) Issuing State's records. Before issuing, renewing, upgrading or 
transferring a CDL to any person, the driver's State of domicile must, 
within the period of time specified in Sec.  384.232, check its own 
records as follows:
    (i) The driver record of the person in accordance with Sec.  
383.73(a)(3) of this chapter; and
    (ii) For a driver certifying according to Sec.  383.71(a)(1)(i) of 
this chapter, the information on the person's CDLIS driver record about 
medical certification by a medical examiner, as defined in Sec.  390.5 
of this chapter.
* * * * *
    (b) Required action. Based on the findings of the State record 
checks prescribed in this section, the State of domicile must do one of 
the following as appropriate:
    (1) Issue, renew, upgrade or transfer the applicant's CDL;
    (2) In the event a State obtains adverse information regarding the 
applicant, promptly implement the disqualifications, licensing 
limitations, denials, or penalties that are called for in any 
applicable sections of this subpart; or
    (3) In the event the State has no information concerning the 
applicant's medical certification from drivers subject to part 391 of 
this chapter, or the medical certification status is ``not-qualified,'' 
the State must deny the requested CDL licensing action and downgrade an 
existing CDL.


Sec.  384.208  [Amended]

    10. Amend Sec.  384.208(b) by replacing the phrase ``driver's 
record'' with the phrase ``CDLIS driver record''.
    11. Amend Sec.  384.225 to:
    a. Revise the section heading;
    b. Amend paragraphs (b), (c) introductory text, and (d) by 
replacing the term ``driver history'' wherever it occurs with the term 
``CDLIS driver record''; and
    c. Revise paragraphs (a) and (e) and add a new paragraph (f) to 
read as follows:


Sec.  384.225  CDLIS driver recordkeeping.

    The State must:
    (a) Record and maintain as part of the CDLIS driver record:
    (1) All convictions, disqualifications and other licensing actions 
for violations of any State or local law relating to motor vehicle 
traffic control (other than a parking violation) committed in any type 
of vehicle.
    (2) Medical certification status information.
* * * * *
    (e) Only the following users or their authorized agents may receive 
the designated information:
    (1) States--All information on all CDLIS driver records.
    (2) Secretary of Transportation--All information on all CDLIS 
driver records.
    (3) Driver--Only information on that driver's CDLIS driver record 
obtained on the CDLIS Motor Vehicle Record from the State according to 
its procedures.
    (4) Motor Carrier or Prospective Motor Carrier--After notification 
to a driver, all information on that driver's, or prospective driver's, 
CDLIS driver record obtained on the CDLIS Motor Vehicle Record from the 
State according to its procedures.
    (f) The content of the report provided a user authorized by 
paragraph (e) of this section from the CDLIS driver record, or a copy 
of this record maintained for this purpose, must be comparable to the 
applicable report that would be generated by a CDLIS State-to-State 
request for a driver status (SG) or driver history (SB), as defined in 
the March 2006 edition of the ``CDLIS State Procedures Manual,'' 
version 4.0.2., (incorporated by reference, see Sec.  384.107) and must 
include the medical certification status information of the driver.


Sec.  384.226  [Amended]

    12. Amend Sec.  384.226 by replacing the phrase ``driver's record'' 
with the phrase ``CDLIS driver record''.


Sec.  384.231  [Amended]

    13. Revise Sec.  384.231(d) by replacing the phrase ``October 1998 
edition of the AAMVAnet, Inc.'s `Commercial Driver License Information 
System (CDLIS) State Procedures,' Version 2.0.'' with the phrase 
``March 2006 edition of the AAMVA, Inc.'s `CDLIS State Procedures 
Manual,' Version 4.0.2 and all other CDLIS documents referenced in the 
manual.''
    14. Add new Sec.  384.234 to read as follows:


Sec.  384.234  Driver medical certification recordkeeping.

    The State must meet the medical certification recordkeeping 
requirements of Sec.  383.73(j) of this chapter regarding the driver's 
physical qualification as specified in the qualification standards of 
part 391 of this chapter.

PART 390--FEDERAL MOTOR CARRIER SAFETY REGULATIONS; GENERAL

    15. The authority citation for part 390 continues to read as 
follows:

    Authority: 49 U.S.C. 508, 13301, 13902, 31133, 31136, 31502, 
31504, and sec. 204, Pub. L. 104-88, 109 Stat. 803, 941 (49 U.S.C. 
701 note); sec. 114, Pub. L. 103-311, 108 Stat. 1673, 1677; sec. 
217, Pub. L. 106-159, 113 Stat. 1748, 1767; and 49 CFR 1.73.

    16. Amend Sec.  390.5 by adding in alphabetical order the 
definitions for ``medical variance'' and ``motor vehicle record'' as 
follows:


Sec.  390.5  Definitions.

* * * * *
    Medical variance means a driver has received one of the following 
that allows issuance of a medical certification:
    (1) An exemption from FMCSA permitting operation of a commercial 
motor vehicle pursuant to part 381, subpart C, of this chapter or Sec.  
391.64 of this chapter;
    (2) A skill performance evaluation certificate from FMCSA 
permitting operation of a commercial motor vehicle pursuant to Sec.  
391.49 of this chapter.
* * * * *
    Motor vehicle record means the report generated from the driver 
record and provided to a driver or employer about the driving status 
and history of a driver.
* * * * *

[[Page 66747]]

PART 391--QUALIFICATIONS OF DRIVERS AND LONGER COMBINATION VEHICLE 
(LCV) DRIVER INSTRUCTORS

    17. Revise the authority citation for part 391 to read as follows:

    Authority: 49 U.S.C. 322, 504, 508, 31133, 31136, and 31502; 
sec. 4007(b) of Pub. L. 102-240, 105 Stat. 2152; sec. 114 of Pub. L. 
103-311, 108 Stat. 1673, 1677; sec. 215 of Pub. L. 106-159, 113 
Stat. 1767; and 49 CFR 1.73.

    18. Amend Sec.  391.2 by revising the heading to read as follows:


Sec.  391.2  General exceptions.

* * * * *
    19. Amend Sec.  391.23 to:
    a. Revise paragraphs (a)(1) and (b); and
    b. Add paragraph (m) to read as follows:


Sec.  391.23  Investigation and inquiries.

    (a) * * *
    (1) An inquiry to the State driver license agency in every State 
where the driver held a motor vehicle operator's license or permit 
during the preceding 3 years to obtain that driver's motor vehicle 
record.
    (b) A copy of the motor vehicle record(s) obtained in response to 
the inquiry or inquiries to each State driver license agency required 
by paragraph (a)(1) of this section must be placed in the driver 
qualification file within 30 days of the date the driver's employment 
begins and be retained in compliance with Sec.  391.51. If no motor 
vehicle record is received from the State or States, the motor carrier 
must document a good faith effort to obtain such information, and 
certify that no record exists for that driver in that State. The 
inquiry to the State driver license agencies must be made in the form 
and manner each agency prescribes.
* * * * *
    (m)(1) The motor carrier must obtain a copy of, and place in the 
driver qualification file, the medical examiner's certificate required 
by Sec.  391.43, and any medical variance on which the certification is 
based, before allowing the driver to operate a CMV.
    (2) Exception. Beginning [DATE 3 YEARS AFTER EFFECTIVE DATE OF A 
FINAL RULE], before allowing the operation of a CMV by any driver 
required to have a commercial driver's license under part 383 of this 
chapter, and subject to the requirement of Sec.  391.41(a) to be 
physically qualified to operate a CMV, the employing motor carrier must 
verify and document in the driver qualification file that the driver is 
currently medically certified, using the CDLIS motor vehicle record 
defined at 49 CFR 384.105 and obtained from the current licensing State 
in response to the inquiry required by paragraph (a)(1) of this 
section. Until [DATE 5 YEARS AFTER THE EFFECTIVE DATE OF FINAL RULE] 
for CDL drivers subject to part 391, if there is no medical 
certification status information on the CDLIS motor vehicle record 
obtained from the current State driver licensing agency, the employing 
motor carrier may accept an original or copy of a medical examiner's 
certificate issued for that driver prior to [DATE 3 YEARS AFTER THE 
EFFECTIVE DATE OF FINAL RULE] and place a copy of it in the driver 
qualification file before allowing the driver to operate a CMV.


Sec.  391.25  [Amended]

    20. Amend Sec.  391.25 to:
    a. Amend paragraph (a) by replacing the phrase ``into the driving 
record'' with the phrase ``to obtain the motor vehicle record'';
    b. Amend paragraph (b) introductory text by replacing the phrase 
``driving record'' with the phrase ``motor vehicle record''; and
    c. Amend paragraph (c)(1) by replacing the phrase ``response from 
each State agency to the inquiry'' with the phrase ``motor vehicle 
record''.
    21. Amend Sec.  391.41 to revise paragraph (a) to read as follows:


Sec.  391.41  Physical qualifications for drivers.

    (a) (1) A person subject to this part must not drive a commercial 
motor vehicle unless he/she is medically certified as physically 
qualified to do so, and, except as provided in paragraph (a)(3) of this 
section, has on his/her person the original, or a copy, of a medical 
examiner's certificate that he/she is physically qualified to drive a 
commercial motor vehicle.\9\
---------------------------------------------------------------------------

    \9\ Effective December 29, 1991, the Administrator determined 
that the new Licencia Federal de Conductor issued by the United 
Mexican States is recognized as proof of medical fitness to drive a 
CMV. The United States and Canada entered into a Reciprocity 
Agreement, effective March 30, 1999, recognizing that a Canadian 
commercial driver's license is proof of medical fitness to drive a 
CMV. Therefore, Canadian and Mexican CMV drivers are not required to 
have in their possession a medical examiner's certificate if the 
driver has been issued, and possesses, a valid commercial driver 
license issued by the United Mexican States, or a Canadian Province 
or Territory and whose license and medical status, including any 
waiver or exemption, can be electronically verified. Drivers from 
any of the countries who have received a medical authorization that 
deviates from the mutually accepted compatible medical standards of 
the resident country are not qualified to drive a CMV in the other 
countries. For example, Canadian drivers who do not meet the medical 
fitness provisions of the Canadian National Safety Code for Motor 
Carriers, but are issued a waiver by one of the Canadian Provinces 
or Territories, are not qualified to drive a CMV in the United 
States. U.S. drivers who received a medical variance from FMCSA are 
not qualified to drive a CMV in Canada.
---------------------------------------------------------------------------

    (2) A person is physically qualified to drive a commercial motor 
vehicle if:
    (i) That person meets the physical qualification standards in 
paragraph (b) of this section and has complied with the medical 
examination requirements in Sec.  391.43; or
    (ii) That person obtained a medical variance and has complied with 
the medical examination requirement in Sec.  391.43.
    (3) Exception. Beginning [DATE 3 YEARS AFTER EFFECTIVE DATE OF A 
FINAL RULE], a driver required to have a commercial driver's license 
under part 383 of this chapter, and who submitted a current medical 
examiner's certificate to the State in accordance with Sec.  383.71(g) 
of this chapter documenting that he/she meets the physical 
qualification requirements of this part, no longer needs to carry on 
his/her person the medical examiner's certificate specified at Sec.  
391.43(h), or a copy. If there is no medical certification information 
on that driver's CDLIS motor vehicle record defined at 49 CFR 384.105, 
a current medical examiner's certificate issued prior to [DATE 3 YEARS 
AFTER EFFECTIVE DATE OF A FINAL RULE] will be accepted until [DATE 5 
YEARS AFTER EFFECTIVE DATE OF A FINAL RULE].
* * * * *
    22. Amend Sec.  391.43 by revising paragraph (g) to read as 
follows:


Sec.  391.43  Medical examination; certificate of physical 
qualification.

* * * * *
    (g) If the medical examiner finds that the person he/she examined 
is physically qualified to operate a commercial motor vehicle in 
accordance with Sec.  391.41(b), the medical examiner shall complete a 
certificate in the form prescribed in paragraph (h) of this section and 
furnish it to the person who was examined. The medical examiner shall 
retain a copy of the certificate for the duration of the certificate 
and give the original to the person examined.
* * * * *
    23. Amend Sec.  391.51 to:
    a. Amend paragraph (b)(2) by replacing the phrase ``response by 
each State agency concerning a driver's driving record'' with the 
phrase ``motor vehicle record received from each State driver licensing 
agency''.
    b. Amend paragraph (b)(4) by replacing the phrase ``response of 
each State agency'' with the phrase ``motor vehicle record received 
from each State driver licensing agency''.

[[Page 66748]]

    c. Amend paragraph (d)(1) by replacing the phrase ``response of 
each State agency'' with the phrase ``motor vehicle record received 
from each State driver licensing agency''; and
    d. Revise paragraphs (b)(7), (b)(8), (d)(4) and (d)(5) to read as 
follows:


Sec.  391.51  General requirements for driver qualification files.

* * * * *
    (b) * * *
    (7) The Medical Examiner's Certificate as required by Sec.  
391.43(g) or a legible copy of the certificate. Beginning [DATE 3 YEARS 
AFTER EFFECTIVE DATE OF A FINAL RULE], the motor carrier employer meets 
this requirement for drivers subject to this part who are required to 
have a commercial driver's license under part 383 of this chapter by 
including the CDLIS motor vehicle record defined at 49 CFR 384.105 and 
obtained from the current licensing State in the driver qualification 
file, if that record contains medical certification status information. 
If that driver obtained the medical certification based on having a 
medical variance, the motor carrier must also include a copy of the 
medical variance in the driver qualification file; and
    (8) A Skill Performance Evaluation certificate obtained from a 
Field Administrator, Division Administrator, or State Director issued 
in accordance with Sec.  391.49; or the Medical Exemption document, 
issued by a Federal medical program in accordance with part 381 of this 
chapter.
* * * * *
    (d) * * *
    (4) The Medical Examiner's Certificate as required by Sec.  
391.43(g) or a legible copy of the certificate, and any supporting 
medical variance; and
    (5) A Skill Performance Evaluation Certificate issued in accordance 
with Sec.  391.49; or the Medical Exemption document issued by a 
Federal medical program in accordance with part 381 of this chapter.

    Issued on: November 9, 2006.
John H. Hill,
Administrator.
[FR Doc. E6-19246 Filed 11-15-06; 8:45 am]
BILLING CODE 4910-EX-P