[Federal Register Volume 87, Number 177 (Wednesday, September 14, 2022)]
[Notices]
[Pages 56485-56491]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2022-19779]


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DEPARTMENT OF TRANSPORTATION

Office of the Secretary

[Docket No. DOT-OST-2022-0029]


Privacy Act of 1974; Department of Transportation (DOT), Federal 
Motor Carrier Safety Administration (FMCSA); DOT/FMCSA 010--Drug and 
Alcohol Clearinghouse (Clearinghouse)

AGENCY: Federal Motor Carrier Safety Administration, Department of 
Transportation

ACTION: Notice of a modified system of records notice.

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SUMMARY: In accordance with the Privacy Act of 1974, the Department of 
Transportation (DOT), Federal Motor Carrier Safety Administration 
(FMCSA) proposes to modify and reissue an existing system of records 
notice titled ``DOT/FMCSA 010, Drug and Alcohol Clearinghouse 
(Clearinghouse)''. This system of records allows FMCSA to collect and 
maintain records on commercial motor vehicle (CMV) drivers subject to 
the commercial driver's license (CDL) and commercial learner's permit 
(CLP) regulations who have received verified positive DOT drug or 
alcohol test results, refuse such testing, or otherwise violate FMCSA's 
drug and alcohol use prohibitions. The Clearinghouse also collects and 
maintains records on the completion of substance abuse programs as part 
of the return-to-duty process, as well as forms evidencing drivers' 
consent to the release of information. In addition, the Clearinghouse 
collects and maintains records of queries of the system conducted by 
employers, or service agents acting on their behalf, and State Driver 
Licensing Agencies (SDLAs). The information in this system is used to 
enhance compliance with drug and alcohol use and testing regulations by 
identifying drivers who have committed drug and alcohol violations that 
render them ineligible to operate a CMV.

DATES: Written comments should be submitted on or before October 14, 
2022. The Department may publish an amended SORN in light of any 
comments received. This new system will be effective October 14, 2022.

ADDRESSES: You may submit comments, identified by docket number 2022-
0029 by one of the following methods:
     Federal e-Rulemaking Portal: https://www.regulations.gov. 
Follow the instructions for submitting comments.
     Mail: Department of Transportation Docket Management, Room 
W12-140, 1200 New Jersey Ave. SE, Washington, DC 20590.

[[Page 56486]]

     Hand Delivery or Courier: West Building Ground Floor, Room 
W12-140, 1200 New Jersey Ave. SE, between 9 a.m. and 5 p.m. ET, Monday 
through Friday, except Federal holidays.
     Instructions: You must include the agency name and docket 
number 2022-0029. All comments received will be posted without change 
to https://www.regulations.gov, including any personal information 
provided. In order to facilitate comment tracking and response, we 
encourage commenters to provide their name, or the name of their 
organization; however, submission of names is completely optional. 
Whether or not commenters identify themselves, all timely comments will 
be fully considered. If you wish to provide comments containing 
proprietary or confidential information, please contact the agency for 
alternate submission instructions.
    Privacy Act: Anyone is able to search the electronic form of all 
comments received in 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 the 
DOT's complete Privacy Act Statement in the Federal Register published 
on January 17, 2008, (73 FR 3316-3317).
    Docket: For access to the docket to read background documents or 
comments received, go to http://www.regulations.gov or to the street 
address listed above. Follow the online instructions for accessing the 
docket.

FOR FURTHER INFORMATION CONTACT: For system-related questions please 
contact Bryan Price, Chief, Drug and Alcohol Programs Division, Office 
of Safety Programs, Federal Motor Carrier Safety Administration, Email: 
[email protected], Tel. (202) 366-0928. For privacy questions, 
please contact Karyn Gorman, Acting Departmental Chief Privacy Officer, 
Department of Transportation, S-83, Washington, DC 20590, Email: 
[email protected], Tel. (202) 366-3140.

SUPPLEMENTARY INFORMATION: 

Notice Updates

    This Notice includes both substantive changes and non-substantive 
changes to the previously published Notice.\1\ The substantive changes 
have been made to the authority, contesting record procedures, and 
routine uses. The non-substantive changes have been made to background, 
system manager, purposes, categories of individuals, categories of 
records, record source categories, policies and practices for retrieval 
of records sections, as well as revisions to align with the 
requirements of the Office of Management and Budget (OMB) Circular No. 
A-108 and ensure consistency with other Notices issued by the 
Department of Transportation.
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    \1\ 84 FR 56521 (Oct. 22, 2019).
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    This modified system will be included in the DOT inventory of 
record systems.

I. Background

    In accordance with the Privacy Act of 1974, FMCSA is modifying and 
reissuing a system of records titled ``DOT/FMCSA 010--Drug and Alcohol 
Clearinghouse (Clearinghouse).'' This system collects information 
related to violations of the Agency's drug and alcohol testing program 
regulations committed by CMV operators subject to the CDL and CLP 
regulations set forth in 49 CFR part 383. FMCSA published the initial 
system of records notice for the Clearinghouse on October 22, 2019 (84 
FR 56521). The records are collected and maintained for the purposes 
of:
     informing current and prospective employers of CMV drivers 
whether the driver is prohibited from operating a CMV due to drug and 
alcohol program violations;
     informing SDLAs and Motor Carrier Safety Assistance 
Program (MCSAP) enforcement officers whether the driver is prohibited 
from operating a CMV due to drug and alcohol program violations;
     providing drug and alcohol program violation information, 
upon request from the National Transportation Safety Board (NTSB), 
about a driver involved in a crash under investigation by the NTSB.
    The Clearinghouse is a tool FMCSA, employers, prospective 
employers, and SDLAs use to identify drivers who are prohibited from 
operating a CMV, based on DOT drug and alcohol program violations, and 
ensure that such drivers receive the required substance abuse 
evaluation and treatment before operating a CMV on public roads. The 
requirements and procedures for use of the Clearinghouse by employers, 
drivers and specified service agents are set forth in 49 CFR part 382, 
subpart G.
    Employers or their designated service agents (Consortia/Third-Party 
Administrators (C/TPA)) are required to query the Clearinghouse using 
the CDL number of the driver to search for any drug and alcohol program 
violations before hiring a prospective driver, and at least annually 
for all currently employed drivers. Queries of the Clearinghouse fall 
into one of two categories: limited or full. Both limited and full 
queries require a driver's consent before any information can be 
released about that driver. A limited query of the Clearinghouse will 
inform the employer or C/TPA whether any violation-related information 
about the driver exists; however, a limited query does not result in 
the release of any detailed violation information. To view detailed 
violation information contained in the Clearinghouse, the employer or 
C/TPA must perform a full query. Once a driver's specific consent is 
obtained, a full query returns the following information about the 
driver:

 Driver details
 Information about the driver's employer who ordered the test 
or reported a violation to the Clearinghouse
 Test details, including the type of test, violation details, 
and test result
 Information about who entered the test result
 Return-to-duty (RTD) activity information

    When an employer queries the driver as a pre-employment check, a 
full query must be conducted. In accordance with 49 CFR 382.701(c), if 
additional information is entered on the driver within 30 days of the 
pre-employment query, the Clearinghouse sends an electronic 
notification to the employer or C/TPA indicating additional information 
has been added to a previously queried record. The employer must log in 
to the Clearinghouse and obtain specific consent from the driver before 
the details of this newly reported information are disclosed. An annual 
query may be conducted as either a limited query or a full query.
    A limited query requires a driver's general consent, which may be 
effective for an indefinite period (e.g., the duration of employment) 
and for an unlimited number of queries. Once the employer obtains 
general consent, the employer will submit the query and receive a 
notification from the Clearinghouse indicating whether the 
Clearinghouse contains drug or alcohol violation-related information on 
the queried driver. If the limited query indicates that the 
Clearinghouse contains information on the driver, the employer or C/TPA 
must conduct a full query.
    When conducting a full query, the employer or C/TPA must obtain 
specific consent from the driver by logging into the Clearinghouse and 
requesting that the driver provide consent to release full query 
results. To grant or decline specific consent, the driver must register 
in the Clearinghouse to establish an account. If the driver provides 
consent, the employer will receive notification of

[[Page 56487]]

the consent via email. The employer logs into their account to view the 
detailed information for the queried driver.
    In accordance with the Clearinghouse regulations if an employer is 
unable to obtain either general consent from a driver for a limited 
query, or specific consent for a full query, the employer must remove 
the driver from performing safety-sensitive functions, including 
operating a CMV, as described below.
    On October 7, 2021, FMCSA published a final rule entitled 
``Controlled Substances and Alcohol Testing: State Driver's Licensing 
Agency Non-Issuance/Downgrade of Commercial's Driver's License'' (86 FR 
55718) (2021 final rule). The rule requires SDLAs, prior to completing 
a commercial licensing transaction, to access and use driver-specific 
information from the Clearinghouse to determine whether, pursuant to 49 
CFR 382.501(a), a driver is prohibited from operating a CMV due to drug 
and alcohol program violations. The requirements and procedures for 
SDLAs' use of the Clearinghouse are set forth in 49 CFR part 383. If 
the applicant is prohibited from operating, the SDLA must not complete 
the licensing transaction, resulting in non-issuance of the CLP or CDL. 
The rule also requires that SDLAs downgrade the CLP or CDL of any 
driver prohibited from operating a CMV and revises how reports of 
actual knowledge of drug or alcohol use, based on the issuance of a 
citation for DUI in CMV, will be maintained in the system. Under then-
current regulations, drivers could request the removal of an employer's 
report of actual knowledge of use, based on a traffic citation for 
driving a CMV under the influence of controlled substances or alcohol, 
if the citation did not result in the driver's conviction. The 2021 
final rule amended 49 CFR 382.717 so that drivers can no longer request 
removal of the citation but may add documentary evidence of non-
conviction to their Clearinghouse record.
    The following substantive changes have been made to this Notice:
    1. Authority: This Notice updates the authorities to add sections 
31305(a), 31308, and 31311 of title 49, United States Code, on which 
FMCSA relies to implement requirements pertaining to the SDLAs' use of 
the Clearinghouse, and to add the regulatory authorities authorizing 
access to and uses of the Clearinghouse as set forth in 49 CFR part 
382, subpart G, and 49 CFR part 383.
    2. Contesting Record Procedures: This Notice updates contesting 
record procedures to conform with the following regulatory change to 49 
CFR 382.717: Drivers may no longer request removal of an actual 
knowledge violation based on the issuance of a citation for DUI in a 
CMV when the citation does not result in a conviction, but they can 
request that documentary evidence of non-conviction be added to their 
Clearinghouse record.
    3. Routine Uses: This Notice updates routine uses to add four 
system-specific routine uses, as described below.
    In this Notice, FMCSA adds four new system-specific routine uses to 
support enforcement of drug and alcohol use and testing regulations and 
to implement regulatory requirements pertaining to States (SDLAs).
    The first new routine use allows SDLAs to receive notification from 
FMCSA of a CMV driver's operating status (i.e., prohibited or not 
prohibited). This routine use enables the SDLA to initiate a downgrade 
of the CLP or CDL of any driver prohibited from operating a CMV due to 
drug and alcohol program violations, as required by 49 CFR 383.73(q). 
It will also enable the SDLA to restore the commercial driving 
privilege to the driver's license following the driver's completion of 
the return-to-duty process or to correct an error, as required by 49 
CFR 383.73(q)(2) and (3), respectively.
    The second new routine use allows notification to employers when 
new information has been added to the Clearinghouse record of a CMV 
driver about whom the employer has either queried the Clearinghouse, or 
reported information to the Clearinghouse, in the past 12 months (i.e., 
since the preemployment query or last annual query). This routine use 
alerts employers that new information about a driver they may employ 
was reported to Clearinghouse by another employer or prospective 
employer. If the driver is still employed, the employer must log in to 
the Clearinghouse and obtain specific consent from the driver before 
the details of this newly reported information will be disclosed.
    The third new routine use allows employers, confirmed by FMCSA to 
currently employ CMV drivers prohibited under 49 CFR 382.501(a) from 
operating a CMV due to drug and alcohol program violations reported to 
the Clearinghouse by another employer or prospective employer, to be 
notified of the driver's prohibited operating status. The employer must 
log in to the Clearinghouse and obtain specific consent from the driver 
before details of this newly reported violation will be disclosed. 
However, upon receiving notification that the driver is prohibited from 
operating a CMV, the employer must not allow the driver to perform 
safety-sensitive functions, in accordance with 49 CFR 382.501(b).
    The fourth new routine use allows employers who are notified by 
FMCSA of a driver's disqualification under 49 CFR 391.41(b)(12) for 
prohibited controlled substances use to receive details of the positive 
test result violation from the Clearinghouse. Under this routine use, 
FMCSA will provide the required employer notification of the driver's 
disqualification under 49 CFR 391.41(b)(12) for CDL or CLP holders who 
continue to operate a CMV in violation of 49 CFR 382.501(a).
    The new routine uses are compatible with the purpose for which the 
information was collected, directly furthering the goals of 49 U.S.C. 
31306a, to improve roadway safety and enhance compliance with drug and 
alcohol use and testing regulations.
    The following non-substantive changes have been made to the 
background, system manager, purposes, categories of individuals covered 
by the system, categories of records in the system, record source 
categories, and policies and practices for retrieval, to improve the 
readability and transparency of this Notice:
    1. Background: This Notice updates background to add information 
about FMCSA's recent amendments to 49 CFR parts 382 and 383. This 
Notice also updates the background to eliminate redundancies in the 
description of the limited and full query processes as set forth in the 
previous Notice and to conform the description of CMV drivers subject 
to FMCSA's drug and alcohol use and testing regulations to existing 
regulatory text in 49 CFR 382.103(a). These updates are made to improve 
clarity and do not reflect any change in either the Clearinghouse query 
processes or the population of CMV drivers about whom information is 
maintained in the System.
    2. System Manager: This Notice updates the system manager to 
include contact information for FMCSA's Drug and Alcohol Programs 
Division, Office of Safety Programs and to delete contact information 
for the Compliance Division, Office of Enforcement and Compliance. This 
change reflects a reorganization within FMCSA and is compatible with 
the purpose of this system of records.
    3. Purposes: This Notice updates the purposes to add specific 
references to FMCSA's MCSAP partners and to SDLAs to improve the 
clarity of the description. In addition, this Notice updates the 
purposes to conform the description of CMV drivers subject to FMCSA's 
drug and alcohol use and

[[Page 56488]]

testing regulations to existing regulatory text in 49 CFR 382.103(a). 
The previous Notice described the CMV drivers as ``CLP and CDL 
holders''; this Notice changes that reference to ``CMV drivers who are 
subject to the CDL and CLP requirements of 49 CFR part 383.'' FMCSA 
makes this update to improve clarity; it does not reflect any change in 
the population of CMV drivers about whom information is maintained in 
this System.
    4. Categories of Individuals: This Notice updates categories of 
individuals to conform the description of CMV drivers subject to 
FMCSA's drug and alcohol use and testing regulations to existing 
regulatory text in 49 CFR 382.103(a). The previous Notice described the 
CMV drivers as ``CLP and CDL holders''; this Notice changes that 
reference to ``CMV drivers who are subject to the CDL and CLP 
requirements of 49 CFR part 383.'' FMCSA makes this update to improve 
clarity; it does not reflect any change in the population of CMV 
drivers about whom information is maintained in this System.
    5. Categories of Records: This Notice updates categories of records 
to conform the description of CMV drivers subject to FMCSA's drug and 
alcohol use and testing regulations with existing regulatory text in 49 
CFR 382.103(a). The previous Notice described the CMV drivers as ``CLP 
and CDL holders''; this Notice changes that reference to ``CMV drivers 
who are subject to the CDL and CLP requirements of 49 CFR part 383.'' 
FMCSA makes this update to improve clarity; it does not reflect any 
change in the population of CMV drivers about whom information is 
maintained in this System.
    6. Record Source Categories: This Notice updates record source 
categories to conform the description of CMV drivers subject to FMCSA's 
drug and alcohol use and testing regulations with existing regulatory 
text in 49 CFR 382.103(a). The previous Notice described the CMV 
drivers as ``CLP and CDL holders''; this Notice changes that reference 
to ``CMV drivers who are subject to the CDL and CLP requirements of 49 
CFR part 383.'' FMCSA makes this update to improve clarity; it does not 
reflect any change in the population of CMV drivers about whom 
information is maintained in this system.
    7. Policies and Practices for Retrieval: To improve clarity, this 
Notice updates policies and practices to replace ``CDL holder'' with 
``CMV driver'' and to specify that State issuance pertains to CDLs and 
CLPs.

II. Privacy Act

    The Privacy Act governs the means by which the Federal Government 
agencies collect, maintain, use, and disseminate individuals' records. 
The Privacy Act applies to information that is maintained in a ``system 
of records.'' A ``system of records'' is a group of any records under 
the control of an agency from which information is retrieved by the 
name of an individual or by some identifying number, symbol, or other 
identifying particular assigned to the individual. The Privacy Act 
extends rights and protections to individuals who are U.S. citizens and 
lawful permanent residents. Additionally, the Judicial Redress Act 
(JRA) provides a covered person with a statutory right to make requests 
for access and amendment to covered records, as defined by the JRA, 
along with judicial review for denials of such requests. In addition, 
the JRA prohibits disclosures of covered records, except as otherwise 
permitted by the Privacy Act. 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.
    Below is the description of the Clearinghouse System of Records. In 
accordance with 5 U.S.C. 552a(r), DOT has provided a report of this 
modified system of records to the OMB and to Congress.

SYSTEM NAME AND NUMBER:
    DOT/FMCSA 010- Commercial Driver's License Drug and Alcohol 
Clearinghouse (Clearinghouse).

SECURITY CLASSIFICATION:
    Unclassified.

SYSTEM LOCATION:
    Records are maintained in a FedRAMP-certified third-party cloud 
environment. The contracts are maintained by DOT at 1200 New Jersey 
Avenue SE, Washington, DC 20590.

SYSTEM MANAGER(S):
    Chief, Drug and Alcohol Programs Division, Office of Safety 
Programs, FMCSA, U.S. DOT, 1200 New Jersey Avenue SE, Washington, DC 
20590; [email protected].

AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
    49 U.S.C. 31305(a), 31306, 31306a(a)(1), 31308, and 31311; CFR part 
382 subpart G; and 49 CFR part 383.

PURPOSE(S) OF THE SYSTEM:
    The purpose of the Clearinghouse is to: (1) improve compliance with 
the DOT's controlled substances and alcohol testing program applicable 
to CMV drivers who are subject to the CDL and CLP requirements of 49 
CFR part 383; and (2) enhance the safety of U.S. roadways by reducing 
crashes and injuries involving drivers violating alcohol or controlled 
substances regulations (49 U.S.C. 31306a(a)(2)). FMCSA and its MCSAP 
partners, motor carrier employers, and State Driver Licensing Agencies 
use information in the Clearinghouse records to identify drivers who 
are prohibited from operating a CMV and must receive the required 
evaluation and treatment before resuming safety-sensitive functions. 
Safety-sensitive functions are defined in 49 CFR 382.107 as the time 
from when a driver begins to work or is required to be in readiness to 
work until the time he/she is relieved from work and all responsibility 
for performing work. Safety-sensitive functions include driving a CMV 
on public roads.

CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
    Categories of individuals within this system include: CMV drivers 
subject to the CDL and CLP requirements of 49 CFR part 383, Medical 
Review Officers (MRO), Substance Abuse Professionals (SAP), employers, 
and Consortia/Third-Party Administrators (C/TPA).

CATEGORIES OF RECORDS IN THE SYSTEM:
    Categories of records in the system include:
    The following information about CMV drivers is subject to the CDL 
and CLP requirements of 49 CFR part 383:
     Name.
     Contact Information including physical address, phone 
number(s) and email address.
     Date of birth.
     Current and previous CLP or CDL license number, state of 
issuance, and expiration date.
     Drug or alcohol test results and violation information 
including employer name, address, and USDOT#, as applicable.
     CMV driving eligibility status.
     Driver Substance Abuse Professional (SAP) selection 
including SAP name, address and phone number, as applicable.
     Actual Knowledge Report Information, including violation 
details, documentation to support the allegation and certificate of 
service to the employee, as applicable.
     Failure to appear and refusal to test detail information, 
including documentation regarding notification of test requirement, 
documentation of termination or resignation and certificate of service 
to the employee, as applicable.

[[Page 56489]]

     Return to duty (RTD) eligibility date and negative test 
result. A negative RTD test result allows the driver to resume 
operation of a CMV and other safety-sensitive functions.
     Follow-up testing plan completion information.
     Query information including who requested the query and 
when the query was conducted.
     Query consent information including the driver's approval 
or refusal.
    Information about MROs and SAPs as specified in 49 CFR 382.711(c) 
to include:
     Contact information including name, email address, phone 
number(s), office location addresses and applicable qualifications as 
per 49 CFR part 40.
    Information about employers, designated agents and C/TPAs as 
specified in Sec.  382.711(b) and Sec.  382.711(d) to include:
     Contact information including name, email address, phone 
number(s), office location addresses.
     USDOT #, as applicable.

RECORD SOURCE CATEGORIES:
    Records are obtained from MROs for CMV drivers subject to the CDL 
and CLP requirements of 49 CFR part 383 who have confirmed positive 
tests or test refusals. Motor carrier employers will report actual 
knowledge of use, alcohol confirmation test results, or test refusals. 
Records regarding completion of required RTD processes are obtained 
from SAPs and employers. Records are obtained from employers who 
request full query consent of drivers and the approval or rejection of 
the consent from the drivers. Registration information records are 
obtained from CMV drivers subject to the CDL and CLP requirements of 49 
CFR part 383, MROs, SAPs, employers, and their designated agents when 
an authorized user registers for the Clearinghouse and creates a new 
account or when updating previous account information.

ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES 
OF USERS AND 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 contained in this system may be disclosed outside DOT as a 
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows:
System Specific Routine Uses
    1. To Motor Carrier Safety Assistance Program (MCSAP) partner 
agencies, for use during investigations, roadside inspections and 
safety audits of motor carriers. This routine use enables the MCSAP 
agencies to enforce the current prohibition against operating a CMV, or 
performing other safety-sensitive functions, due to drug and alcohol 
program violations.
    2. To State Driver's Licensing Agencies for the purpose of 
verifying a driver's qualification to operate a CMV prior to completing 
any licensing transactions, including issuance, renewal, transfer, or 
upgrade of any a CLP or CDL (as mandated by 49 U.S.C. 31311(a)(24) and 
31306a(h)(2)).
    3. To the NTSB, upon request, when a driver is involved in a crash 
under investigation by the NTSB (as mandated by 49 U.S.C. 31306a(i)).
    4. To State Driver Licensing Agencies, for the purpose of 
initiating a downgrade of the CLP or CDL of any driver prohibited from 
operating a CMV due to drug and alcohol program violations or 
reinstating the CLP or CDL when the driver is no longer prohibited from 
operating, as required by 49 CFR 383.73(q).
    5. To employers who have either queried the Clearinghouse, or 
reported information to the Clearinghouse, about a CMV driver in the 
past 12 months, when new information about the driver has been added to 
the Clearinghouse by another employer. This routine use enables 
employers to comply with the current prohibition against allowing a 
driver to operate a CMV, or perform other safety-sensitive functions, 
due to drug and alcohol program violations.
    6. To employers who currently employ a CMV driver prohibited from 
operating a CMV due to a drug and alcohol program violation reported to 
the Clearinghouse by another employer. This routine use enables current 
employers to comply with the prohibition against allowing a driver to 
operate a CMV, or perform other safety-sensitive functions, due to drug 
and alcohol program violations.
    7. To employers notified by FMCSA that a CDL or CLP holder is 
disqualified under 49 CFR 391.41(b)(12) for prohibited controlled 
substances use. Under this routine use, FMCSA will provide the required 
employer notification of the driver's disqualification under 49 CFR 
391.41(b)(12) for CDL or CLP holders who continue to operate a CMV in 
violation of 49 CFR 382.501(a).
Department General Routine Uses
    8. In the event that a system of records maintained by DOT to carry 
out its functions indicates a violation or potential violation of law, 
whether civil, criminal or regulatory in nature, and whether arising by 
general statute or particular program pursuant thereto, the relevant 
records in the system of records may be referred, as a routine use, to 
the appropriate agency, whether Federal, State, local or foreign, 
charged with the responsibility of investigating or prosecuting such 
violation or charged with enforcing or implementing the statute, or 
rule, regulation, or order issued pursuant thereto.
    9a. Routine Use for Disclosure for Use in Litigation. It shall be a 
routine use of the records in this system of records to disclose them 
to the Department of Justice or other Federal agency conducting 
litigation when--(a) DOT, or any agency thereof, or (b) Any employee of 
DOT or any agency thereof, in his/her official capacity, or (c) Any 
employee of DOT or any agency thereof, in his/her individual capacity 
where the Department of Justice has agreed to represent the employee, 
or (d) The United States or any agency thereof, where DOT determines 
that litigation is likely to affect the United States, is a party to 
litigation or has an interest in such litigation, and the use of such 
records by the Department of Justice or other Federal agency conducting 
the litigation is deemed by DOT to be relevant and necessary in the 
litigation, provided, however, that in each case, DOT determines that 
disclosure of the records in the litigation is a use of the information 
contained in the records that is compatible with the purpose for which 
the records were collected.
    9b. Routine Use for Agency Disclosure in Other Proceedings. It 
shall be a routine use of records in this system to disclose them in 
proceedings before any court or adjudicative or administrative body 
before which DOT or any agency thereof, appears, when-- (a) DOT, or any 
agency thereof, or (b) Any employee of DOT or any agency thereof in 
his/her official capacity, or (c) Any employee of DOT or any agency 
thereof in his/her individual capacity where DOT has agreed to 
represent the employee, or (d) The United States or any agency thereof, 
where DOT determines that the proceeding is likely to affect the United 
States, is a party to the proceeding or has an interest in such 
proceeding, and DOT determines that use of such records is relevant and 
necessary in the proceeding, provided, however, that in each case, DOT 
determines that disclosure of the records in the proceeding is a use of 
the information contained in the records that is compatible with the 
purpose for which the records were collected.
    10. Disclosure may be made to a Congressional office from the 
record of an individual in response to an inquiry

[[Page 56490]]

from the Congressional office made at the request of that individual. 
In such cases, however, the Congressional office does not have greater 
rights to records than the individual. Thus, the disclosure may be 
withheld from delivery to the individual where the file contains 
investigative or actual information or other materials which are being 
used, or are expected to be used, to support prosecution or fines 
against the individual for violations of a statute, or of regulations 
of the Department based on statutory authority. No such limitations 
apply to records requested for Congressional oversight or legislative 
purposes; release is authorized under 49 CFR 10.35(9).
    11. One or more records from a system of records may be disclosed 
routinely to the National Archives and Records Administration (NARA) in 
records management inspections being conducted under the authority of 
44 U.S.C. 2904 and 2906.
    12. DOT may make available to another agency or instrumentality of 
any government jurisdiction, including State and local governments, 
listings of names from any system of records in DOT for use in law 
enforcement activities, either civil or criminal, or to expose 
fraudulent claims, regardless of the stated purpose for the collection 
of the information in the system of records. These enforcement 
activities are generally referred to as matching programs because two 
lists of names are checked for match using automated assistance. This 
routine use is advisory in nature and does not offer unrestricted 
access to systems of records for such law enforcement and related 
antifraud activities. Each request will be considered on the basis of 
its purpose, merits, cost effectiveness and alternatives using 
Instructions on reporting computer matching programs to the Office of 
Management and Budget, OMB, Congress, and the public, published by the 
Director, OMB, dated September 20, 1989.
    13. DOT may disclose records from the system, as a routine use to 
appropriate agencies, entities, and persons when (1) DOT suspects or 
has confirmed that there has been a breach of the system of records, 
(2) DOT has determined that as a result of the suspected or confirmed 
breach there is a risk of harm to individuals, DOT (including its 
information systems, programs, and operations), the Federal Government, 
or national security; and (3) the disclosure made to such agencies, 
entities, and persons is reasonably necessary to assist in connection 
with DOT's efforts to respond to the suspected or confirmed breach or 
to prevent, minimize, or remedy such harm.
    14. DOT may disclose records from this system, as a routine use, to 
the Office of Government Information Services for the purpose of (a) 
resolving disputes between FOIA requesters and Federal agencies and (b) 
reviewing agencies' policies, procedures, and compliance in order to 
recommend policy changes to Congress and the President.
    15. DOT may disclose records from the system, as a routine use, to 
contractors and their agents, experts, consultants, and others 
performing or working on a contract, service, cooperative agreement, or 
other assignment for DOT, when necessary to accomplish an agency 
function related to this system of records.
    16. DOT may disclose records from this system, as a routine use, to 
an agency, organization, or individual for the purpose of performing 
audit or oversight operations related to this system of records, but 
only such records as are necessary and relevant to the audit or 
oversight activity. This routine use does not apply to intra-agency 
sharing authorized under Section (b)(1) of the Privacy Act.
    17. A record from this system of records may be disclosed, as a 
routine use, to a Federal, State, or local agency maintaining civil, 
criminal, or other relevant enforcement information or other pertinent 
information, such as current licenses, if necessary to obtain 
information relevant to a DOT decision concerning the hiring or 
retention of an employee, the issuance of a security clearance, the 
letting of a contract, or the issuance of a license, grant or other 
benefit.
    18. A record from this system of records may be disclosed, as a 
routine use, to a Federal agency, in response to its request, in 
connection with the hiring or retention of an employee, the issuance of 
a security clearance, the reporting of an investigation of an employee, 
the letting of a contract, or the issuance of a license, grant, or 
other benefit by the requesting agency, to the extent that the 
information is relevant and necessary to the requesting agency's 
decision on the matter.
    19. DOT may disclose records from the system, as a routine use to 
another Federal agency or Federal entity, when DOT determines that 
information from this system of records is reasonably necessary to 
assist the recipient agency or entity in (1) responding to a suspected 
or confirmed breach or (2) preventing, minimizing, or remedying the 
risk of harm to individuals, the recipient agency or entity (including 
its information systems, programs, and operations), the Federal 
Government, or national security, resulting from a suspected or 
confirmed breach.

POLICIES AND PRACTICES FOR STORAGE OF RECORDS:
    Records in this system are stored electronically on a contractor-
maintained cloud storage service.

POLICIES AND PRACTICES FOR RETRIEVAL OF RECORDS:
    Records may be retrieved by the following data elements: CMV 
driver's name, date of birth, license number, and State of issuance of 
the CLP or CDL.

POLICIES AND PRACTICES FOR RETENTION AND DISPOSAL OF RECORDS:
    Records will be retained and disposed of in accordance with the 
records control schedule titled, ``Commercial Driver's License Drug and 
Alcohol Clearinghouse'' approved by the NARA on July 23, 2019. The 
record schedule requires retention for 5 years if the violation is 
resolved and RTD is completed; after 5 years the records will be 
transferred to a separate location for archiving for 6 years and then 
the records will be destroyed. For records that have not had the RTD 
process successfully completed, they will remain active in the 
Clearinghouse for 70 years.

ADMINISTRATIVE, TECHNICAL, AND PHYSICAL SAFEGUARDS:
    Records in this system are safeguarded in accordance with 
applicable rules and policies, including all applicable DOT automated 
systems security and access policies. Appropriate controls have been 
imposed to minimize the risk of compromising the information that is 
being stored and ensuring confidentiality of communications using tools 
such as encryption, authentication of sending parties, and 
compartmentalizing databases; and employing auditing software. 
Clearinghouse data is encrypted at rest and in transit. In addition, 
the connection between the database and the server is encrypted. Access 
to 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 or permissions. All 
personnel with access to data are screened through background 
investigations commensurate with the level of access required to 
perform their duties.

[[Page 56491]]

RECORD ACCESS PROCEDURES:
    Individuals seeking notification of and access to any record 
contained in this system of records, or seeking to contest its content, 
may submit a request to the System Manager in writing to the address 
provided, or to the email provided, under ``System Manager and 
Address.'' Individuals may also search the public docket at 
www.regulations.gov by their name.
    When seeking records about yourself from this system of records or 
any other Departmental system of records your request must conform with 
the Privacy Act regulations set forth in 49 CFR part 10. You must sign 
your request, and your signature must either be notarized or submitted 
under 28 U.S.C. 1746, a law that permits statements to be made under 
penalty of perjury as a substitute for notarization. While no specific 
form is required, you should provide the following:
     An explanation of why you believe the Department would 
have information on you;
     Identify which component(s) of the Department you believe 
may have the information about you;
     Specify when you believe the records would have been 
created;
     Provide any other information that will help the FOIA 
staff determine which DOT component agency may have responsive records; 
and
    If your request is seeking records pertaining to another living 
individual, you must include a statement from that individual 
certifying his/her agreement for you to access his/her records. Without 
this bulleted information, the component(s) may not be able to conduct 
an effective search, and your request may be denied due to lack of 
specificity or lack of compliance with applicable regulations.

CONTESTING RECORD PROCEDURES:
    Individuals seeking to contest the content of any record pertaining 
to him or her in the system may contact the System Manager following 
the Privacy Act procedures in 49 CFR part 10, subpart E, Correction of 
Records.
    Drivers may request corrections of administrative errors in their 
Clearinghouse record using procedures set forth in 49 CFR 382.717. 
Under these procedures, request for correction are limited to 
incorrectly reported information, not the accuracy of test results or 
refusals. Drivers may also request that the following information be 
removed from their Clearinghouse record: an employer's report of actual 
knowledge of use, if the employer's report does not comply with 
applicable documentation and notice requirements; or an employer's 
report of a failure to appear test refusal, if the employer's report 
does not comply with applicable documentation and notice requirements. 
Drivers may submit their request for correction or removal under 49 CFR 
382.717 electronically through the Clearinghouse or in writing to 
FMCSA.
    Requests for correction under the Privacy Act must conform with 
regulations set forth in 49 CFR part 10. Your request must either be 
notarized or submitted under 28 U.S.C. 1746, a law that permits 
statements to be made under penalty of perjury as a substitute for 
notarization.

NOTIFICATION PROCEDURES:
    Individuals seeking to contest the content of any record pertaining 
to him or her in the system may contact the System Manager following 
the procedures described in ``Record Access Procedures'' above.

EXEMPTIONS PROMULGATED FOR THE SYSTEM:
    None.

HISTORY:
    A full notice of this system of records, DOT/FMCSA 010--Drug and 
Alcohol Clearinghouse, was published in the Federal Register on October 
22, 2019 (84 FR 56521)

    Issued in Washington, DC.
Karyn Gorman,
Acting Departmental Chief Privacy Officer.
[FR Doc. 2022-19779 Filed 9-13-22; 8:45 am]
BILLING CODE 4910-9X-P