[Federal Register Volume 77, Number 78 (Monday, April 23, 2012)]
[Notices]
[Pages 24247-24251]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2012-9624]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary
[Docket No. FMCSA-2012-0132]
Privacy Act of 1974; System of Records Notice
AGENCY: Department of Transportation (DOT), Federal Motor Carrier
Safety Administration (FMCSA).
ACTION: Notice to establish a new system of records.
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SUMMARY: The Department of Transportation's (DOT) Federal Motor Carrier
Administration (FMCSA) intends to establish a new Federal Motor Carrier
system of records titled ``DOT/FMCSA 009--National Registry of
Certified Medical Examiners'' (National Registry), under the Privacy
Act of 1974 (5 U.S.C. 552a).
The DOT system, known as the National Registry of Certified Medical
Examiners (National Registry), is used to produce trained, certified
medical examiners who fully understand the medical standards in the
Federal Motor Carrier Safety Regulations (FMCSRs). Medical Examiners
(MEs) will be expected to understand how the FMCSR standards relate to
the mental and physical demands of operating a commercial motor vehicle
(CMV). MEs will be required to successfully complete training and pass
a certification test before being listed on the National Registry. Once
the National Registry program is established, FMCSA will require all
interstate CMV drivers to obtain their medical certificates from a
medical examiner listed on the National Registry. The general public
can search and access information about the National Registry program,
including the program description, contact information, and National
Registry Number for all FMCSA Certified MEs, Test Delivery
Organizations and their affiliated Test Centers through the publicly
available Web site.
MEs who choose to pursue FMCSA certification to conduct CMV medical
exams will register with FMCSA through the National Registry Web site.
FMCSA will track the MEs' status of completion of the required FMCSA
medical examiners' certification process. The MEs will be required to
successfully complete FMCSA-approved training prior to taking the FMCSA
ME certification test at an FMCSA-approved testing organization, at an
affiliated test center's facility, or by means of online testing.
Test Developers for FMCSA will create and revise the certification
test questions and answers that will be administered by Test Centers.
Test Developers will analyze medical examiner's test certification
responses to identify future improvements and modifications to test
questions. They will also analyze the test questions and answers to
identify potential patterns of fraud and abuse in the testing process
and medical community.
The Test Centers will verify and document the ME's identity,
medical licensing, and training completion prior to administering the
FMCSA ME certification test. Test Centers will administer the FMCSA
Certification test according to FMCSA specifications and are
responsible for submitting the medical examiner certification test
results to the National Registry. Testing organizations that offer
testing of MEs by means of online testing will provide a means to
authenticate the identity of the person taking the test, to monitor the
[[Page 24248]]
activity of the person taking the test, and to prevent the person
taking the test from reproducing the contents of the test. FMCSA will
validate the test results, medical examiner licensing credentials and
training, and notify the ME of certification.
The Certified Medical Examiner or their administrative personnel
are required to submit data every month to the National Registry for
each CMV driver medical examination they have conducted during the
previous month. FMCSA will use the CMV driver medical exam information
to monitor the ME competence and performance in evaluating the CMV
driver health and fitness and to detect irregularities in examination
procedures. Certified Medical Examiners and their administrative
personnel have the option to register with FMCSA in order to view
previously submitted CMV driver medical exam summary data, upload
driver medical examination summary data to FMCSA and edit their medical
examiner's contact information.
The National Registry is more thoroughly detailed below and in the
associated Privacy Impact Assessment (PIA). The PIA can be found on the
DOT Privacy Web site at http://dot.gov/privacy. This newly established
system will be included in the Department of Transportation's inventory
of record systems.
DATES: Effective date is May 17, 2012. Written comments should be
submitted on or before the effective date. DOT/FMCSA may publish an
amended SORN in light of any comments received.
ADDRESSES: You may submit comments, identified by Docket No. FMCSA-
2012-0132, by one of the following methods:
Federal e-Rulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments.
Fax: 202-493-2251.
Mail: Department of Transportation Docket Management, Room
W12-140, 1200 New Jersey Ave. SE., Washington, DC 20590.
Instructions: All submissions received must include the agency name
and docket number for this rulemaking. All comments received will be
posted without change to http://www.regulations.gov, including any
personal information provided.
Docket: For access to the docket to read background documents or
comments received go to http://www.regulations.gov. Follow the online
instructions for accessing the docket.
FOR FURTHER INFORMATION CONTACT: For general questions, please contact:
Elaine Papp, (202) 366-0421, Division Chief, Division of Medical
Programs, Office of Carrier, Driver and Vehicle Safety, Federal Motor
Carrier Safety Administration, U.S. Department of Transportation, 1200
New Jersey Avenue SE., Washington, DC 20590. For privacy issues, please
contact: Claire W. Barrett (202-366-8135), Departmental Chief Privacy
Officer, Department of Transportation, Washington, DC 20590.
SUPPLEMENTARY INFORMATION:
I. The National Registry Program
In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the
Federal Motor Carrier Administration (FMCSA) proposes to establish a
new DOT system of records titled ``DOT/FMCSA 009--National Registry of
Certified Medical Examiners'' (National Registry) to satisfy the
requirements of 49 U.S.C. 31149.
The National Registry program is designed to produce trained,
certified medical examiners who fully understand the medical standards
in the Federal Motor Carrier Safety Regulations (FMCSRs). FMCSA is
developing the National Registry program to improve highway safety and
driver health by requiring that medical examiners be trained and
certified to determine effectively whether a commercial motor vehicle
driver's health meets the FMCSR standards. Medical examiners will be
expected to understand how the standards relate to the mental and
physical demands of operating a commercial motor vehicle (CMV). Once
the National Registry program is established, FMCSA will require all
interstate CMV drivers to obtain their medical certificates from a
medical examiner listed on the National Registry. FMCSA will require
MEs who choose to become certified to register on the National Registry
Web site. They will need to provide contact information, ME
credentials, employer information and ME training information. MEs will
be able to update and edit their contact information and training
information. To be listed as a certified ME on the National Registry,
an ME must complete approved training and pass a certification test
administered at a Test Center or by means of online testing by an
FMCSA-approved Testing Delivery Organization. Once certified, an ME
will be listed on FMCSA's public Web site and their contact information
and National Registry Number will be made available to assist CMV
drivers in contacting locating FMCSA certified MEs.
FMCSA requires MEs to take a certification test at selected Testing
Delivery Organization, affiliated Test Center facility, or by means of
on-line testing. A Testing Delivery Organization may apply to FMCSA for
approval by providing documentation of compliance with FMCSA policies
and procedures. Once FMCSA has approved a Testing Delivery Organization
as eligible to deliver certification tests, the organization and
affiliated Test Centers will be listed on the National Registry and
made available to the public through the FMCSA Web site. The Testing
Delivery Organization and affiliated Test Centers are not covered by
this system of records notice.
The Testing Delivery Organization/Test Center is responsible for
administering the FMCSA ME certification test according to FMCSA
specifications, scoring and storing test results, and transferring each
ME's certification test results to the National Registry. The test
results will include the ME's National Registry number, test form used,
all test answers, score, and grade for the ME. FMCSA will use automated
and manual processes to determine if the ME's state medical license is
valid before confirming the ME's certification eligibility. Once FMCSA
makes a final eligibility determination, FMCSA will notify the ME of
the certification decision. Test Developers will analyze the
certification exam test results to identify future improvements and
modifications to the test questions. They will also analyze the test
questions and answers to identify potential patterns of fraud and abuse
in the testing process.
Once certified, the ME may perform CMV driver exams on CMV drivers
who are required to receive a physical exam once every two years. Every
month, the FMCSA Certified Medical Examiner or his or her designated
administrative personnel are required to transmit to the National
Registry at least monthly the results of CMV driver medical
examinations that they have performed. FMCSA will use the CMV driver
medical exam information to monitor ME competence and performance in
evaluating the CMV driver health and fitness and to detect
irregularities in examination procedures. Certified Medical Examiners
and their administrative personnel have the option to register with
FMCSA in order to allow them to view previously submitted CMV driver
medical exam summary data, upload driver medical examination summary
data to FMCSA and edit their medical examiner's contact information.
II. The Privacy Act
The Privacy Act (5 U.S.C. 552a) governs the means by which the
Federal Government collects, maintains, and uses personally
identifiable information (PII) in a System of Records. A ``System
[[Page 24249]]
of Records'' is a group of any records under the control of a federal
agency from which information about individuals is retrieved by name or
other personal identifier. The Privacy Act requires each agency to
publish in the Federal Register a System of Records notice (SORN)
identifying and describing each System of Records the agency maintains,
including the purposes for which the agency uses PII in the system, the
routine uses for which the agency discloses such information outside
the agency, and how individuals to whom a Privacy Act record pertains
can exercise their rights under the Privacy Act (e.g., to determine if
the system contains information about them and to contest inaccurate
information).
FMCSA has published a Privacy Impact Assessment (PIA) for the
National Registry program and publication of this SORN. In accordance
with 5 U.S.C. 552a(r), DOT has provided a report of this system of
records to the Office of Management and Budget and to Congress.
SYSTEM NUMBER:
DOT/FMCSA 009
SYSTEM NAME:
National Registry of Certified Medical Examiners (National
Registry).
SECURITY CLASSIFICATION:
Unclassified, Sensitive.
SYSTEM LOCATION:
Records are maintained at the Volpe National Transportation Systems
Center (Volpe Center), U.S. Department of Transportation, Cambridge, MA
02142. Records may also be maintained at authorized Test Delivery
Organizations, addresses for which may be found on the FMCSA National
Registry Web site.
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
Categories of individuals covered by this include:
Medical Examiners (MEs) applying for FMCSA ME
Certification.
Certified MEs' administrative personnel who have
registered on the National Registry.
Commercial Motor Vehicle (CMV) Drivers examined by FMCSA
Certified MEs.
CATEGORIES OF RECORDS COVERED BY THE SYSTEM:
The National Registry of Certified Medical Examiners system
collects, processes, transmits, and stores the following types of
information:
(1) Information on Medical Examiners:
Identity Verification
Full name (first, last, middle initial)*
Type of ME photographic identification document
Expiration date of ME photographic identification
document
National Registry Number created by FMCSA*
Contact Information/Place of Business (physical location
where ME will perform licensed CMV driver medical exams)
Business name*
Business address
Business telephone number
Business email address
Business Web site link information
Medical Credential
State Medical License Number*
Medical License State of Issue
State medical license expiration date
Medical profession*
Employer Contact (Health care provider that employs the
ME)
Name
Address
Telephone number
Email address
Training Information
Training received/completed
Provider name
Training provider address
Training completion date
Certification Test Information
Test Delivery Organization/Test Center name
Date of certification test
Certification test questions
Certification test answers
Test score (numeric)
Test results (pass/fail)
Certification Decision/Status
Data elements marked with an asterisk ``*'' are collectively
referred to as ``National Registry Identity'' information.
(2) MEs' Administrative Personnel:
Identity Verification Information
Full name (first, last, middle initial)
ME Business Relationship
Business address
Business telephone number
Business email address
Business Web site link information
Name of ME for whom the individual is acting as
administrative personnel
Certified ME National Registry number of ME for whom the
individual is acting as administrative personnel
(3) Commercial Motor Vehicle Drivers' Information:
Identity Verification
[cir] Full name
[cir] Date of birth
State Driver's License
License number
License issuing State
Commercial Driver License (CDL) status
CDL Interstate status
Medical Examination
Certificate expiration date
Name of ME conducting Medical Exam
Medical qualification decision
Driver restrictions/variances
Driver waiver/exemption type
Supporting medical documentation for medical
qualification decision making (collected only in event of FMCSA
oversight/audit activity)
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
SAFETEA-LU sections 4116(a) (codified as amended at 49 U.S.C.
31149) and 4116(b) (codified as amended at 49 U.S.C. 31136(a)(3)).
PURPOSE(S):
FMCSA will use the ME contact information, medical credentials,
training, certification test and identification information to evaluate
the ME's eligibility for certification. FMCSA may request and review ME
supporting documentation for eligibility of certification. FMCSA will
compare the ME's identity verification, contact and medical licensing
information to the State's medical licensing data provided by the ME
during registration in order to ensure the data provided by the ME is
valid. FMCSA reviews the ME test responses in order to validate the
test grade and score provided by the Test Center and to ensure that the
Test Center properly graded and scored the test. FMCSA will use the ME
contact and ME employer information to list eligible FMCSA certified
MEs on the publically available Web site for the general public to
search for MEs.
FMCSA will use the FMCSA ME contact information including that of
their business and/or employer and/or their designated ME
administrative personnel (if identified), to communicate with the ME
regarding the ME's application and certification status.
FMCSA will use the CMV driver medical exam information to monitor
the ME competence and performance in evaluating the CMV driver's health
and to detect irregularities in examination procedures.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
In addition to those disclosures generally permitted under 5 U.S.C.
552a(b) of the Privacy Act, all or a portion of the records or
information
[[Page 24250]]
contained in this system may be disclosed outside DOT as a routine use
pursuant to 5 U.S.C. 552a(b)(3) as follows:
To the Test Centers verify the ME's identity and
eligibility to take the ME Certification test, to make changes to ME
information (at the direction of the ME) in the National Registry at
the time Certification test, and to transfer Certification test
information to the National Registry.
To Test Development Contractors who will use the ME
Certification test results, ME profession, and geographic location to
analyze the certification test results to identify future improvements
and modifications to the test questions and to identify potential
patterns of fraud and abuse in the testing process by individual
medical examiner candidates, testing organizations, testing centers, or
proctors.
To FMCSA Certified MEs or their Administrative Personnel
to search for CMV drivers for whom they have performed medical
examinations and submit/update CMV driver medical exam summary data to
FMCSA.
To the general public to perform searches of the
publically available portion of the National registry for the purpose
of identifying FMCSA Certified MEs and the location of medical
examination facilities.
To an agency, organization, or individual for the purpose
of performing audit or oversight operations as authorized by law, but
only such information as is necessary and relevant to such audit or
oversight function.
To contractors, consultants, and others performing or
working on a contract, cooperative agreement, grant, or other
assignment for DOT, when necessary to accomplish an agency function
related to this system of records. Individuals provided information
under this routine use are subject to the same Privacy Act requirements
and limitations on disclosure as are applicable to FMCSA employees.
To State Medical Boards for the purposes of verifying ME
license information and status. (State Medical Boards are the
authoritative repositories for ME license information and, as such,
already have access to ME licensing information and the verification of
the same by the Department does not constitute a disclosure under the
Privacy Act. This Routine Use is included in this Notice in an effort
by the Department to be transparent to the public regarding the way it
which it will use personal information maintained in the National
Registry system of records.)
In addition to those disclosures permitted under 5 U.S.C.
552a(b) of the Privacy Act of 1974, additional disclosures may be made
in accordance with the U.S. Department of Transportation (DOT)
Prefatory Statement of General Routine Uses published in the Federal
Register on December 29, 2010 (75 FR 82132).
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
Storage:
Records in this system are stored electronically in the National
Registry system. The records are also stored on backup tapes and sent
off-site weekly to a secure storage facility.
Retrievability:
FMCSA may retrieve ME information based on ME name, business name,
employer address, medical profession, and/or National Registry number.
FMCSA may retrieve information on CMV drivers based on: driver's last
name, and exam start and end date range. MEs may access information on
CMV drivers for whom they have submitted exam results using the
following criteria: driver's last name, or exam start and end date
range. Testing Delivery Organizations/Test Centers may access ME
information for the purposes of verifying ME identity and certification
eligibility using the ME Name, address and/or National Registry number
to verify the ME's eligibility and identification.
Accessibility (Including Safeguards):
Records in this system are safeguarded in accordance with
applicable rules and policies, including all applicable Federal and DOT
automated systems security and access policies. Strict controls have
been imposed to minimize the risk of compromising the information that
is being stored. Access to the computer system containing the records
in this system is limited to those individuals who have a need to know
the information for the performance of their official duties and who
have appropriate clearances and permissions.
Retention and Disposal:
The DOT/FMCSA records schedule for the National Registry program
records is currently pending approval at the National Archives and
Records Administration (NARA) under Job Number N1-557-11-2. All records
maintained in this system of records will be treated as permanent
records until the schedule is approved by NARA. The proposed schedule
includes the following retention periods for records containing PII:
National Registry Identity Information for all MEs granted National
Registry status shall be retained for 60 years from the date that
certification was granted. Records other than National Registry
Identity information of MEs who are certified will be retained for 16
years (the duration of the certificate's effectiveness, which is ten
(10) years, plus an additional six (6) years to allow employers and
investigators to verify the validity of CMV drivers' medical
certification and to allow FMCSA to process ME removals and
Administrative Reviews of removals).
National Registry applications of MEs who do not complete the
certification process will be maintained for one year from initial
application submission.
National Registry applications of MEs who fail the qualification
test or are deemed ineligible for certification by DOT will be
maintained for one year from the date of the certification decision.
Records of MEs who voluntarily request removal from the National
Registry will be maintained for three years from the date the removal
is finalized by DOT.
National Registry Identity Information for all MEs involuntarily
removed from the National Registry shall be retained for 60 years from
the date that certification was granted. All other records related to
these MEs shall be retained for 16 years (the duration of the
certificate's effectiveness, which is ten (10) years, plus an
additional six (6) years to allow employers and investigators to verify
the validity of CMV drivers' medical certification and to allow FMCSA
to process ME removals and Administrative Reviews of removals).
Records of individual CMV Drivers will be maintained concurrently
with the records of the ME who performed the driver's medical
examination.
Records of the ME's administrative personnel will be maintained
concurrently with the records of the ME for whom they provide services
or for one year from the date that the Department is notified that the
individual is no longer authorized to perform duties in the system on
behalf the ME, whichever is shorter.
System Manager and Address:
Elaine Papp, Division Chief, Division of Medical Programs, Office
of Carrier, Driver and Vehicle Safety, Federal Motor Carrier Safety
Administration,
[[Page 24251]]
U.S. Department of Transportation, 1200 New Jersey Avenue SE.,
Washington, DC 20590.
Notification Procedure:
Individuals wishing to know if their records appear in this system
may make a request in writing to the System Manager. The request must
include the requester's name, mailing address, telephone number, and/or
email address; a description and the location of the records requested;
and verification of identity (such as a statement, under penalty of
perjury), that the requester is the individual who he or she claims to
be. Requests must conform to the Privacy Act regulations set forth in
49 CFR part 10. You must verify your identity by providing either a
notarized statement or a statement signed under penalty of perjury
stating that you are the person that you say you are. You may fulfill
this requirement by: (1) Having your signature on your request letter
witnessed by a notary; or (2) including the following statement
immediately above the signature on your request letter: ``I declare
under penalty of perjury that the foregoing is true and correct.
Executed on [date].'' If you request information about yourself and do
not follow one of these procedures, your request cannot be processed.
Requests not following these procedures will not processed.
Record Access Procedures:
Same as indicated under ``Notification Procedure''.
Procedure to Contest Records:
Same as indicated under ``Notification Procedure''.
Record Source Categories:
ME information is obtained from application submissions provided by
the medical examiner. CMV driver information is provided by the driver
at the time of medical examination to the ME for submission to FMCSA.
Exemptions Claimed for the System:
None.
Dated: April 17, 2012.
Claire W. Barrett,
Departmental Chief Privacy Officer, Department of Transportation.
[FR Doc. 2012-9624 Filed 4-20-12; 8:45 am]
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