[Federal Register Volume 89, Number 34 (Tuesday, February 20, 2024)]
[Proposed Rules]
[Pages 12800-12810]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2024-03191]


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DEPARTMENT OF TRANSPORTATION

Federal Motor Carrier Safety Administration

49 CFR Part 384

[Docket No. FMCSA-2023-0269]
RIN 2126-AC68


Commercial Driver's License (CDL) Standards; Incorporation by 
Reference of a New State Procedures Manual (SPM)

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

ACTION: Notice of proposed rulemaking (NPRM).

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SUMMARY: FMCSA proposes to amend the Federal Motor Carrier Safety 
Regulations (FMCSRs) to incorporate by reference the most recent 
edition of the American Association of Motor Vehicle Administrators, 
Inc. (AAMVA) Commercial Driver's License Information System (CDLIS) 
State Procedures Manual (SPM), Version c.0. This would require all 
State driver's licensing agencies (SDLAs) to use this edition of the 
manual to provide guidance on the information systems procedures of the 
commercial driver's license (CDL) program. Such information includes, 
but is not limited to, CDL standards, State compliance with CDL 
programs, qualifications of drivers, and credentials and security 
threats assessments.

DATES: Comments must be received on or before March 21, 2024.

ADDRESSES: You may submit comments identified by Docket Number FMCSA-
2023-0269 using any of the following methods:
     Federal eRulemaking Portal: Go to https://www.regulations.gov/docket/FMCSA-2023-0269/document. Follow the online 
instructions for submitting comments.
     Mail: Dockets Operations, U.S. Department of 
Transportation, 1200 New Jersey Avenue SE, West Building, Ground Floor, 
Washington, DC 20590-0001.

[[Page 12801]]

     Hand Delivery or Courier: Dockets Operations, U.S. 
Department of Transportation, 1200 New Jersey Avenue SE, West Building, 
Ground Floor, Washington, DC 20590-0001, between 9 a.m. and 5 p.m., 
Monday through Friday, except Federal holidays. To be sure someone is 
there to help you, please call (202) 366-9317 or (202) 366-9826 before 
visiting Dockets Operations.
     Fax: (202) 493-2251.
    Viewing incorporation by reference material: You may inspect the 
material proposed for incorporation by reference at U.S. Department of 
Transportation Library, 1200 New Jersey Avenue SE, Washington, DC 
20590-0001 between 8 a.m. and 5 p.m., Monday through Friday, except 
Federal holidays. The telephone number is (202) 366-1812. Copies of the 
material are available as indicated in the ``Executive Summary'' 
section of this preamble.

FOR FURTHER INFORMATION CONTACT: Ms. Rebecca Rehberg, CDL Division, 
FMCSA, 1200 New Jersey Avenue SE, Washington, DC 20590-0001; (850) 728-
2034, [email protected]. If you have questions on viewing or 
submitting material to the docket, call Dockets Operations at (202) 
366-9826.

SUPPLEMENTARY INFORMATION: FMCSA organizes this NPRM as follows:

I. Public Participation and Request for Comments
    A. Submitting Comments
    B. Viewing Comments and Documents
    C. Privacy
II. Executive Summary
    A. Purpose and Summary of the Regulatory Action
III. Abbreviations
IV. Legal Basis
V. Background
VI. Discussion of Proposed Rulemaking
VII. Severability
VIII. Section-by-Section Analysis
IX. Regulatory Analyses
    A. E.O. 12866 (Regulatory Planning and Review), E.O. 13563 
(Improving Regulation and Regulatory Review), E.O. 14094 
(Modernizing Regulatory Review), and DOT Regulatory Policies and 
Procedures
    B. Congressional Review Act
    C. Regulatory Flexibility Act
    D. Assistance for Small Entities
    E. Unfunded Mandates Reform Act of 1995
    F. Paperwork Reduction Act
    G. E.O. 13132 (Federalism)
    H. Privacy
    I. E.O. 13175 (Indian Tribal Governments)
    J. National Environmental Policy Act of 1969
    K. Rulemaking Summary

I. Public Participation and Request for Comments

A. Submitting Comments

    If you submit a comment, please include the docket number for this 
NPRM (FMCSA-2023-0269), indicate the specific section of this document 
to which your comment applies, and provide a reason for each suggestion 
or recommendation. You may submit your comments and material online or 
by fax, mail, or hand delivery, but please use only one of these means. 
FMCSA recommends that you include your name and a mailing address, an 
email address, or a phone number in the body of your document so FMCSA 
can contact you if there are questions regarding your submission.
    To submit your comment online, go to https://www.regulations.gov/docket/FMCSA-2023-0269/document, click on this NPRM, click ``Comment,'' 
and type your comment into the text box on the following screen.
    If you submit your comments by mail or hand delivery, submit them 
in an unbound format, no larger than 8\1/2\ by 11 inches, suitable for 
copying and electronic filing. FMCSA will consider all comments and 
material received during the comment period.
Confidential Business Information (CBI)
    CBI is commercial or financial information that is both customarily 
and actually treated as private by its owner. Under the Freedom of 
Information Act (5 U.S.C. 552), CBI is exempt from public disclosure. 
If your comments responsive to the NPRM contain commercial or financial 
information that is customarily treated as private, that you actually 
treat as private, and that is relevant or responsive to the NPRM, it is 
important that you clearly designate the submitted comments as CBI. 
Please mark each page of your submission that constitutes CBI as 
``PROPIN'' to indicate it contains proprietary information. FMCSA will 
treat such marked submissions as confidential under the Freedom of 
Information Act, and they will not be placed in the public docket of 
the NPRM. Submissions containing CBI should be sent to Brian Dahlin, 
Chief, Regulatory Evaluation Division, Office of Policy, FMCSA, 1200 
New Jersey Avenue SE, Washington, DC 20590-0001 or via email at 
[email protected]. At this time, you need not send a duplicate 
hardcopy of your electronic CBI submissions to FMCSA headquarters. Any 
comments FMCSA receives not specifically designated as CBI will be 
placed in the public docket for this rulemaking.

B. Viewing Comments and Documents

    To view any documents mentioned as being available in the docket, 
go to https://www.regulations.gov/docket/FMCSA-2023-0269/document and 
choose the document to review. To view comments, click this NPRM, then 
click ``Browse Comments.'' If you do not have access to the internet, 
you may view the docket online by visiting Dockets Operations on the 
ground floor of the DOT West Building, 1200 New Jersey Avenue SE, 
Washington, DC 20590-0001, between 9 a.m. and 5 p.m., Monday through 
Friday, except Federal holidays. To be sure someone is there to help 
you, please call (202) 366-9317 or (202) 366-9826 before visiting 
Dockets Operations.

C. Privacy

    In accordance with 5 U.S.C. 553(c), DOT solicits comments from the 
public to better inform its regulatory process. DOT posts these 
comments, including any personal information the commenter provides, to 
www.regulations.gov as described in the system of records notice DOT/
ALL 14 (Federal Docket Management System (FDMS)), which can be reviewed 
at https://www.transportation.gov/individuals/privacy/privacy-act-system-records-notices. The comments are posted without edit and are 
searchable by the name of the submitter.

II. Executive Summary

A. Purpose and Summary of the Regulatory Action

    In this NPRM, FMCSA proposes to incorporate by reference version 
c.0 of the Commercial Driver's License Information System (CDLIS) State 
Procedures Manual (SPM), which the American Association of Motor 
Vehicle Administrators, Inc. (AAMVA) released in September 2023. In 
2014, FMCSA incorporated by reference version 5.3.2.1 of the CDLIS SPM, 
which AAMVA released in August 2013 (79 FR 59450 (Oct. 14, 2014)). 
Version c.0 of the CDLIS SPM has replaced the 2013 version. The CDLIS 
SPM (version c.0) provides guidance on the information system 
procedures of the CDL program. This change reflects a routine update of 
the referenced SPM (version c.0) to include changes introduced to 
exchange driver history record information (EEE) procedures and drug 
and alcohol clearinghouse (DACH II or Clearinghouse) information 
exclusively electronically. This NPRM discusses all updates to the 
currently incorporated 2013 edition of the SPM (version c.0). FMCSA is 
providing the public an opportunity to comment on the incorporation by 
reference of version c.0 of the SPM.
    The material is available, and will continue to be available, for 
inspection at the Department of Transportation

[[Page 12802]]

Library by the means identified in ADDRESSES. Copies of the SPM 
(version c.0) may also be obtained through AAMVA. Further details and 
contact addresses and telephone numbers are provided in proposed Sec.  
384.107 in the amendatory text of this NPRM. AAMVA plans to update this 
SPM as needed to reflect changing legal requirements and best practices 
in the operations of CDLIS. Incorporating version c.0 by reference, 
however, should ensure that each State complies with the specific 
version required by FMCSA.
    Twenty-six updates distinguish the September 2023 edition of the 
SPM (version c.0) from the August 2013 edition. The incorporation by 
reference of the September 2023 edition does not impose new regulatory 
requirements and consequently would neither impose costs nor result in 
quantifiable benefits.

III. Abbreviations

AAMVA American Association of Motor Vehicle Administrators
AAMVAnet American Association of Motor Vehicle Administrators 
Network
ACD AAMVA Code Dictionary
CBI Confidential Business Information
CDL Commercial Driver's License
CDLIS Commercial Driver's License Information System
CFR Code of Federal Regulations
CLP Commercial Learner's Permit
CMV Commercial Motor Vehicle
CMVSA Commercial Motor Vehicle Safety Act
CS Central Site
CSOR Change of State of Record
CVP Common Validation Processor
DACH Drug and Alcohol Clearinghouse
DGAF Mexican General Directorship of Federal Motor Carrier 
Transportation
DHR Driver History Record
DOT Department of Transportation
EEE Exclusive Electronic Exchange
ELG Eligible
E.O. Executive Order
FHWA Federal Highway Administration
FMCSA Federal Motor Carrier Safety Administration
FMCSRs Federal Motor Carrier Safety Regulations
FR Federal Register
LIC Licensed
MPR Master Pointer Record
NARA National Archives and Records Administration
NPRM Notice of Proposed Rulemaking
OSOR Old State of Record
PDPS Problem Driver Pointer System
RTD Return to Duty
SDLA State Driver's Licensing Agency
SOC State of Conviction
SOI State of Inquiry
SOR State of Record
SOW State of Withdrawal
SPEXS State Pointer Exchange Services
SPM State Procedures Manual
S2S State-to-State
The Secretary The Secretary of Transportation
UMRA Unfunded Mandates Reform Act
U.S.C. United States Code

IV. Legal Basis

    Section 206 of the Motor Carrier Safety Act of 1984 (Pub. L. 98-
554, title II, 98 Stat. 2832, 2834, codified at 49 U.S.C. 31136) 
directed the Secretary of Transportation (the Secretary) to regulate 
commercial motor vehicles (CMVs) and the drivers and motor carriers 
that operate them. The Secretary was also directed to issue regulations 
governing the physical condition of drivers.
    The Commercial Motor Vehicle Safety Act of 1986 (CMVSA) (Pub. L. 
99-570, title XII, 100 Stat. 3207-170, codified at 49 U.S.C. chapter 
313) required the Secretary, after consultation with the States, to 
prescribe regulations on minimum uniform standards for State issuance 
of CDLs. CMVSA also specified information States must include on each 
CDL (49 U.S.C. 31308). Congress delegated the authorities set forth in 
the Motor Carrier Safety Act of 1984 and the CMVSA to FMCSA's 
Administrator (see 49 U.S.C. 113(f)(1); see also section 1.87(e)-(f)).
    FMCSA, in accordance with 49 U.S.C. 31308, has authority to 
prescribe procedures and requirements the States must adhere to in 
issuing CDLs and commercial learner's permits (CLPs). To avoid loss of 
Federal-aid highway funds, 49 U.S.C. 31314 requires each State to 
comply substantially with 49 U.S.C. 31311(a), which prescribes the 
requirements for State participation in the CDL program. To ensure that 
the States are able to exchange information about CDL holders 
efficiently and effectively through CDLIS, as required by 49 U.S.C. 
31311(a)(5) through (9), (15), (18) through (19), and (21), this 
proposal would require States issuing CDLs and CLPs to follow all the 
procedures described in version c.0 of the CDLIS SPM when posting, 
transmitting, and receiving all information on a CDL driver's CDLIS 
driver record.

V. Background

    FMCSA is required by statute to maintain an information system that 
serves as the clearinghouse depository of information about the 
licensing, identification, and disqualification of operators of CMVs 
(49 U.S.C. 31309). CDLIS is the information system that serves that 
function.
    In 1988, the Federal Highway Administration (FHWA) entered into a 
designation agreement with AAMVA's affiliate AAMVAnet,\1\ Inc. 
(AAMVAnet) to create and operate CDLIS. Under that agreement, CDLIS 
must contain all the information required in 49 U.S.C. 31309(b). The 
1988 agreement states that AAMVAnet will ``cooperate fully with FHWA 
with respect to the operation of CDLIS including, but not limited to, 
information content and the development of standards relating to access 
to CDLIS by States and various employers and employees.'' Pursuant to 
section 106(b) of the Motor Carrier Safety Improvement Act of 1999 
(MCSIA) (Pub. L. 106-159, 113 Stat. 1748, 1757, 49 U.S.C. 113 note), 
the 1988 agreement automatically transferred to FMCSA upon the Agency's 
establishment and remained in effect until FMCSA and AAMVA, the party 
that inherited the responsibilities of its affiliate AAMVAnet entered 
into a superseding agreement in 2008, discussed below.
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    \1\ AAMVAnet is the telecommunications network that 
electronically links the following systems: The jurisdictions (motor 
vehicle Agencies or Department of motor vehicles), FMCSA, third-
party service providers (TPSPs), Canadian interprovincial record 
exchange (IRE) Bridge, Mexican Access Node, and the CDLIS central 
site.
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    In August 2005, section 4123 of the Safe, Accountable, Flexible, 
Efficient Transportation Equity Act: A Legacy for Users authorized 
FMCSA to establish a modernization plan for CDLIS (Pub. L. 109-59, 119 
Stat. 1144, 1734, codified in part at 49 U.S.C. 31309(e) et seq.). 
Section 4123 also authorized grants to States or organizations 
representing States for the modernization of CDLIS (49 U.S.C. 
31309(f)).
    On May 2, 2006, FMCSA published the CDLIS Modernization Plan in the 
Federal Register (71 FR 25885). The Plan detailed the statutory 
requirements for modernization, the phases of the modernization plan, 
and the availability of grant funding for AAMVA and the States to 
comply with CDLIS modernization requirements. Since May 2006, AAMVA has 
received grants from FMCSA to complete the tasks enumerated in the 
Modernization Plan.
    On June 9, 2008, FMCSA and AAMVA entered into a new cooperative 
agreement regarding the operation, maintenance, and modernization of 
CDLIS. While FMCSA authorizes AAMVA to maintain and operate CDLIS, 
FMCSA does not own CDLIS, and it is not a Federal system of records. 
FMCSA and AAMVA work closely together to monitor State compliance with 
the CDLIS specifications, as set forth in the 2006 CDLIS Modernization 
Plan, and States' annual grant agreements. FMCSA has awarded AAMVA 
Federal financial assistance grants to maintain an active Help Desk for 
the jurisdictions, conduct regularly occurring CDLIS training courses 
for the

[[Page 12803]]

jurisdictions, and provide States with regular CDLIS transaction and 
error reports to improve their compliance efforts.
    The goals of the 2008 agreement, to which any amendments must be 
made in writing and signed by all parties,\2\ are to provide a 
framework for the ongoing operation, maintenance, administration, 
enhancement, and modernization of CDLIS by AAMVA. The modernization 
will ensure compliance with applicable Federal information technology 
security standards; electronic exchange of all information including 
the posting of convictions; self-auditing features to ensure that data 
are being posted correctly and consistently by the States; and 
integration of an individual's CDL and the medical certificate as 
required in the final rule, Medical Certification Requirements as Part 
of CDL (73 FR 73096, Dec. 1, 2008). Finally, the agreement provides a 
schedule for modernization of the system. The updated version c.0 of 
the SPM implements the CDLIS modernization effort.
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    \2\ The 2008 agreement was amended in 2013, however, the 
amendments did not relate to the CDLIS modernization efforts.
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VI. Discussion of Proposed Rulemaking

    Version c.0 of the CDLIS SPM outlines the standard administrative 
practices required of the fifty States and the District of Columbia, 
known as ``the jurisdictions,'' when participating in CDLIS. The 
thirteen Canadian provinces and territories and the Mexican General 
Directorship of Federal Motor Carrier Transportation (DGAF) will also 
adopt version c.0 of the CDLIS SPM. Version c.0 of the SPM supersedes 
previous versions of the CDLIS SPM.
    The primary audiences for this SPM (version c.0) are the 
jurisdictions involved in CDL programs, and their counterparts in 
Canada and Mexico, including administrative employees involved in 
driver licensing and computer technology staff supporting CDLIS 
transactions. The SPM (version c.0) contains background information 
about the laws mandating CDLIS and discusses types of CDLIS users. The 
SPM (version c.0) also includes descriptions, excerpted from the CDLIS 
System Specifications (version c.0), of the nationwide computerized 
data-exchange transactions used to electronically record and report 
driver information. Further, the SPM (version c.0) provides guidance on 
administrative driver licensing procedures that involve CDLIS, 
including issuing, renewing, transferring, withdrawing, and reinstating 
a driver's license, and posting convictions. The SPM (version c.0) does 
not address CDL or CLP program requirements outside the scope of CDLIS.
    The CDLIS SPM (version c.0) addresses changes that were made as 
part of the modernization effort to make CDLIS more efficient in 
handling the increasing number of driver records and data transactions. 
These changes provide guidance on the information system procedures of 
the CDL program. In addition, version c.0 includes updates to support 
changes made to CDLIS as a result of the DACH II rule, published in 
October 2021 (81 FR 87686), and revises procedures to support changes 
made to CDLIS as a result of the EEE rule, published in July 2023 (86 
FR 38937). Any references in the SPM (version c.0) to the U.S. Code or 
CFR should be confirmed by users.
    The following is a summary of the updates introduced in version c.0 
of the SPM:
    AAMVA released a new version of the CDLIS SPM (version c.0) to 
introduce updates to CDLIS,\3\ as well as new administrative practices 
required by the jurisdictions as a result of the DACH II final rule. 
This new version of the SPM (version c.0) also revised procedural 
updates pertaining to the EEE final rule when a State receives a 
notification \4\ of conviction or withdrawal outside CDLIS after the 
EEE compliance date.\5\
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    \3\ CDLIS is a nationwide network composed of a database that 
stores information about commercial drivers, and the associated 
hardware and software used to manage commercial driver information.
    \4\ A notification is an indicator that a driver's status has 
changed in the Clearinghouse.
    \5\ The EEE rule compliance date is August 22, 2024.
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    The SPM includes multiple versions; however, this proposed rule 
will focus solely on the contents of latest version (c.0), which are 
discussed in more detail below. Twenty-six changes in the 2023 edition 
of the SPM (version c.0) distinguish it from the August 2013 edition. 
Of the 26 updates, 24 stem from the DACH II final rule and 2 stem from 
the EEE final rule.
    The purpose of DACH II is to improve highway safety by ensuring 
that CLP or CDL holders with drug and alcohol program violations do not 
operate a CMV until they complete the return to duty process (RTD) and 
can lawfully resume driving. DACH II also ensures that all SDLAs \6\ 
are able to determine whether CMV drivers licensed in their State are 
subject to FMCSA's CMV driving prohibition. The following updates were 
made pursuant to the DACH II final rule:
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    \6\ SDLAs maintain databases, application programs, and systems 
software to support State-to-State functions.
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    The first through fourth updates are related to the CDLIS system 
and the newly introduced electronic transactions.
    1. An update to the DACH II State Pointer Exchange Services (SPEXS) 
system was introduced to CDLIS-only participants, as well as CDLIS and 
State-to-State (S2S) participants.\7\ The SPEXS system is a platform 
operated by AAMVA, that is utilized to locate driver information in 
CDLIS based on identifiable information provided by the State, to 
ensure that each driver is associated with one license, one identity, 
and one record. The SPM (version c.0) adds a functional release level 
to SPEXS, providing specified sets of system functionality, thereby 
enabling participants to use the SPEXS platform. This helps identify 
and locate a driver's record and prevents the creation of duplicate 
records for the same driver.
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    \7\ The State-to-State (S2S) system allows States to 
electronically check with other participating States if an 
individual holds a CDL or CLP in another State.
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    2. As a result of the SPEXS update described above, two new 
transaction codes (CD40) and (CD41) were added to the CDLIS Solution 
table, which assigns and defines all existing codes in the SPEXS system 
to accomplish a specific business function. Each transaction 
facilitates the exchange of data by sending a message (in the form of a 
one-way transmission) carrying driver information from one CDLIS node 
to another in the AAMVA network. These new transactions will improve 
the functionality of driver record searches in CDLIS. The first 
transaction (CD40) enables information to be communicated from the 
central site (CS) \8\ to the State of record (SOR) via the 
Clearinghouse. The second transaction (CD41) enables information to be 
communicated from the State of inquiry (SOI) \9\ to the Clearinghouse 
via the CS. Both transactions are discussed in more detail below.
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    \8\ The SPEXS central site (CS) facilitates the transmission of 
information from the Clearinghouse system to the States.
    \9\ The SDLA jurisdiction that requests information about the 
driver from the State of record (SOR).
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    3. A new transaction code (CD40) was added to table 2 of the CDLIS 
transactions in the SPEXS system to obtain Clearinghouse driver status 
updates. The driver status update transaction is used to notify the SOR 
of a change in driver status by obtaining information from the 
Clearinghouse records. The SPEXS system facilitates the transmission of 
information in the

[[Page 12804]]

form of notifications \10\ from the Clearinghouse to the States. In 
this transaction, the CS sends a request to the Clearinghouse to get a 
driver status for a jurisdiction. The Clearinghouse sends all driver 
status changes to the CS in response, and the CS then forwards the 
Clearinghouse notification to the requesting State. Finally, the SOR 
sends a receipt to the CS to confirm receipt of the notification. When 
receiving information from the CS, the SOR interprets it to determine 
whether a CDL or CLP needs to be downgraded, upgraded, or reinstated 
based on the Federal minimum requirements and the State's laws and 
policies, as applicable.
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    \10\ This applies to States that opt to receive notifications 
from the Clearinghouse. The Clearinghouse sends notifications to the 
States whenever there is a change of status in the Clearinghouse. 
States may also opt to use CDLIS to receive notifications.
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    In certain cases, an error message is triggered for this type of 
transaction. This may originate from the CS to the Clearinghouse, or 
from the SOR to the CS, if a validation error occurs. An error could be 
triggered if the SOR cannot locate the CDL or CLP record or is no 
longer the current SOR, if the driver in question is reposed or 
deceased, and if the requested driver is not a CDL or CLP holder. The 
SPM (version c.0) also included a diagram (Figure 20) to aid in 
visualizing the driver status update process for the CD40 transaction.
    4. A second transaction code (CD41) was introduced to table 2 of 
the CDLIS transactions in the SPEXS system to enable the SOI to request 
a driver's current status from the Clearinghouse. A change in the 
driver's status is caused either by an unresolved drug and alcohol 
violation or an erroneous violation. In this process, the SOI sends a 
status inquiry to the CS to obtain information on the driver's status. 
The CS then forwards the SOI's request to the Clearinghouse, and the 
latter sends a response to CS. The CS validates and forwards the 
Clearinghouse notification to the SOI. When receiving information from 
the CS, the SOI (if it is the SOR) interprets the information to 
determine whether a CDL or CLP needs to be downgraded, upgraded, or 
reinstated based on the Federal minimum requirements and the State's 
laws and policies, as applicable. If the SOI is not the SOR, the SOR 
interprets the information from the CS to determine if the applicant 
has a Clearinghouse violation, which would prohibit the issuance of a 
CDL or CLP.
    In certain cases, an error message is triggered for this type of 
transaction. This may originate from the CS to the Clearinghouse or 
from the CS to the SOI, if a validation error occurs. An error would be 
triggered if the driver status inquiry message does not pass the 
validations performed by the CS, if the Clearinghouse notification does 
not pass the validations performed by the CS, or if any system errors 
are encountered (such as message delivery errors, timeout, or software 
issues). The SPM (version c.0) incorporated a diagram (Figure 21) to 
aid in visualizing the driver status update process for the CD41 
transaction.
    Items 5 through 24 are related to the processes for the 
jurisdictions to conduct Clearinghouse checks on an individual prior to 
issuing a CDL or CLP and the steps they must follow based on the 
results of those checks.
    5. A new bullet item was added to the ``Procedures for Issuing a 
CDL or CLP'' section of the SPM (version c.0) to establish procedures 
relating to issuing a duplicate CDL or CLP. The purpose of this 
addition is to establish a procedure for SDLAs to adopt when issuing a 
duplicate. This new procedure aims to reduce the risk of fraud by 
requiring that the jurisdiction issuing a duplicate CLP or CDL check 
the driver's image on file when they appear in-person.
    6. A new section (divided into two subsections) was added to 
establish Clearinghouse checks, as a requirement for the jurisdictions 
prior to issuing a CDL or CLP. In the first subsection, a reference to 
Sec.  383.73 was included, which requires Clearinghouse checks be made 
prior to the issuance of a CDL or CLP.
    The second subsection introduced a new column to table 4 titled 
``CDLIS Checks Prior to Issuance'' to ensure a Clearinghouse check to 
confirm the applicant's eligibility is completed prior to the issuance 
of a CDL or CLP. Additionally, Note 3 was added to table 4 regarding 
CDL reinstatement applications. The note specifies that, prior to 
reinstatement, the jurisdictions must have processes in place to ensure 
the driver is not prohibited from operating a CMV due to a 
Clearinghouse violation. It also outlines the ways in which the 
jurisdictions can accomplish this process by providing options to 
either perform a Clearinghouse check or to maintain internal records of 
notifications received from the Clearinghouse.
    7. A new section was added on the Clearinghouse check requirements. 
First, this section describes the purpose of the DACH II final rule and 
references the requirements associated with conducting a Clearinghouse 
check to comply with the rule's provisions. This section also addresses 
the circumstances in which States and the jurisdictions must complete 
checks or obtain a record using the Clearinghouse prior to issuing a 
CDL or CLP.
    This section also addresses the processes for the jurisdictions to 
downgrade the driver's license when notified \11\ by the Clearinghouse, 
or when the Clearinghouse query \12\ indicates that the driver is 
prohibited from operating a CMV. This would be achieved by changing the 
commercial status on the CDLIS driver record from ``LIC'' (licensed) to 
a minimum of ``ELG'' (eligible) for CDL holders, and similarly changing 
the permit status from LIC to ELG for CLP holders. Additionally, the 
SOR may perform an in-State withdrawal for a person with a 
Clearinghouse violation and must follow the procedures outlined in the 
SPM (version c.0) to complete the withdrawal process. This process is 
further explained in update 15 of the SPM (version c.0).
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    \11\ The DACH Driver Status Update transaction is used to notify 
the SOR of a change in driver status via the Clearinghouse.
    \12\ The jurisdictions are required to query the Clearinghouse 
to receive status updates on a given driver prior to issuing, 
renewing, transferring, or upgrading a CDL or CLP starting November 
18, 2024.
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    Lastly, this section includes a note on data records for drivers 
who are in prohibited status due to a Clearinghouse violation starting 
January 6, 2020 (the original compliance date for initial Clearinghouse 
requirements) and directs the jurisdictions to adopt a process to 
retrieve that data. The process provided lists two viable options to 
retrieve data either via the FMCSA web portal or by contacting FMCSA or 
AAMVA directly. The jurisdictions will have 60 days from the compliance 
date \13\ of the DACH II final rule to act on such records.
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    \13\ The DACH II final rule's compliance date is November 18, 
2024.
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    8. A new section was added to describe the procedures for SDLAs to 
connect to the Clearinghouse, as well as brief descriptions for each 
option. The jurisdictions may either choose to connect to the 
Clearinghouse using the FMCSA direct-connect option \14\ (or the FMCSA 
solution), or via the CD40 or CD41 transaction (or the CDLIS solution).
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    \14\ The jurisdictions that opt to use the FMCSA direct-connect 
option must refer to https://clearinghouse.fmcsa.dot.gov/Resource/Page/SDLA-Resources page and must directly contact FMCSA 
([email protected]) for the implementation of this option.
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    9. An update was made to determine eligibility for a CDL or CLP by 
the addition of a Clearinghouse check. A bullet was added to the list 
of eligibility criteria \15\ to prohibit drivers from being

[[Page 12805]]

disqualified again if the driver's prior jurisdiction disqualified and 
subsequently reinstated them. A subsection was also added to introduce 
a requirement that the jurisdictions query the Clearinghouse prior to 
issuing, renewing, transferring, or upgrading a CDL or CLP.
---------------------------------------------------------------------------

    \15\ The list of eligibility criteria include: a CDLIS check, a 
Problem Driver Pointer System (PDPS) check, a 10-year history check, 
a medical qualification check, social security number verification 
and citizenship/lawful permanent residency/legal presence, or a 
Clearinghouse check.
---------------------------------------------------------------------------

    10. A new section was added to clarify the course of action SDLAs 
must take in evaluating the results received from the Clearinghouse on 
a driver's status, or when the jurisdiction queries the Clearinghouse. 
Pursuant to Sec.  383.73, the jurisdictions are required to access and 
use information from the Clearinghouse and to check the driver's status 
by querying the Clearinghouse prior to issuing, renewing, transferring, 
or upgrading a CDL or CLP.
    Five subsections were added to describe a list of reasons why a 
Clearinghouse status may change and how SDLAs evaluate the information 
provided by the Clearinghouse. The five sections include more detail on 
the Clearinghouse data elements, identifying and matching a driver in 
the Clearinghouse, acting on a driver with prohibited status, acting on 
a driver with a not prohibited status, and Clearinghouse downgrade, 
which are explained below.
    11. The Clearinghouse data elements subsection identifies 
information that a jurisdiction must use, including the driver's 
identifying information (such as the driver's full name, date of birth, 
CDL or CLP number, etc.) and status in the Clearinghouse system (if the 
driver is prohibited and, if so, the date that status went into 
effect). A full list of all Clearinghouse elements, their description 
and usage are outlined in table 10 titled ``Clearinghouse Data 
Elements'' in the SPM (version c.0).
    12. The second subsection was added to provide guidelines for the 
jurisdictions to identify a driver's matching record in the 
Clearinghouse, and to compare Clearinghouse information against 
information from other checks (including CDLIS and the Problem Driver 
Pointer System \16\ (PDPS)), to ensure action is being taken on the 
correct driver. States may also use existing guidelines to determine if 
a Clearinghouse notification is needed for the driver in question.
---------------------------------------------------------------------------

    \16\ The Problem Driver Pointer System (PDPS) is a system in 
which SDLAs provide the National Drivers Record with a pointer to a 
problem driver's history when the driver is convicted of a 
Clearinghouse violation.
---------------------------------------------------------------------------

    Additional procedures for States were introduced to evaluate which 
record to act upon when multiple records are found on the same driver. 
For instance, if more than one CDLIS record is found, the SOR must take 
necessary action on the CDLIS record with the most recent issue date. 
If one record is CDLIS and another record is non-CDLIS (kept outside of 
the CDLIS system), the SOR must take necessary action on the CDLIS 
record as applicable. If one or more non-CDLIS records indicating no 
history or record of a prior CDL or CLP are found, the SOR may take 
necessary action on the driver's CDL or CLP status, as applicable. If 
no record exists in the Clearinghouse, no violations will prohibit a 
driver from operating a CMV.
    13. The third subsection addresses actions the jurisdictions must 
take against a driver with a prohibited status after they are alerted 
either via Clearinghouse notification or as a result of a Clearinghouse 
query. This process will prevent prohibited drivers from operating a 
CMV. This subsection lists three options for the jurisdictions to 
follow: denial of the driver's request resulting in non-issuance of a 
CDL or CLP, removal of CDL or CLP privileges from the driver's license, 
or downgrade of the driver's CDL or CLP.
    14. The fourth subsection addresses actions the jurisdictions must 
take when the Clearinghouse indicates a driver is not prohibited from 
operating a CMV. Pursuant to the DACH II final rule, a driver is 
considered ``not prohibited'' when the driver is no longer prohibited 
from operating a CMV. This occurs after the driver completes the RTD 
requirements or if the driver was erroneously identified as prohibited. 
In the latter case, the Clearinghouse notifies the jurisdiction that 
the driver's status was based on erroneous information. After receiving 
a notification, the jurisdiction will not initiate a downgrade process 
if one has not been started. If the jurisdiction has already initiated 
the downgrade process, it must terminate it and clear the driver's 
record of any reference to the erroneously identified violation. 
Finally, if the jurisdiction has already completed the downgrade 
process, the jurisdiction must expeditiously reinstate the driver's 
privileges and expunge the driver's record of any reference to the 
erroneously identified violation. The jurisdictions must follow a 
similar process when a query indicates the driver is not prohibited 
from operating a CMV.
    15. The final subsection addresses additional procedures to 
downgrade the commercial driving privilege due to Clearinghouse 
violations. In this case, the jurisdictions are subject to a Federal 
requirement to change the commercial status of the CDLIS driver record 
from LIC to a minimum of ELG for CDL holders, and similarly change the 
permit status from LIC to a minimum of ELG for CLP holders.
    This subsection also addresses scenarios when a SOR may take 
additional action, such as in-State withdrawal, based on the State's 
laws and/or policies. In this case, the SOR must downgrade the driver's 
status to ``NOT'' (not a CDL or CLP) and use the State's code 
indicating withdrawal. In-State withdrawals must not be transmitted to 
the CDLIS driver history record (DHR), which is maintained on the 
jurisdiction's system.
    The subsection also outlines the process for SDLAs performing in-
State withdrawals to respond to an S2S status request (referred to as 
an SG message), history request (referred to as an SB message) or 
change of record request (referred to as an SD message). Transactions 
for status requests from S2S to the SOR are coded CD30,\17\ CD04,\18\ 
and CD08,\19\ respectively. In all cases, the SOR must respond with the 
current driver status, but must not include any details of 
Clearinghouse in-state withdrawal in the CDLIS DHR.
---------------------------------------------------------------------------

    \17\ This online search inquiry is a transaction which allows 
the jurisdictions to perform inquiries on multiple drivers, instead 
of one driver at a time, to fulfil their requirement. This process 
was developed as an alternative to the CDLIS online search inquiry.
    \18\ The CD04 post requisite determines whether any information 
in the driver's history precludes it from granting a license or 
requires it to conduct additional processing.
    \19\ This describes a change of record transaction by 
transferring a message from the new SOR to the CS.
---------------------------------------------------------------------------

    The first procedure applies to an S2S Status Request (CD03, SG 
message). In the CDLIS S2S Status Request, the SOR must report the 
driver status to the SOI via SG message. This request enables the SOI 
to obtain status information on a CDL holder directly from the SOR 
without inquiring through CDLIS. The typical use of this transaction is 
to obtain the status information for a driver who was one of several 
returned as matches on a search inquiry. Since status requests are not 
sent when a search inquiry results in more than one match, the S2S 
status request gives the inquirer a tool for obtaining the status for 
any or all of the matched drivers. This request may also be used to 
verify the status of a CDL or CLP when an out of State license is 
presented to a jurisdiction. The inquirer may request the status for 
only one driver at a time with this request. Upon receipt, the SOR 
validates the driver's identification

[[Page 12806]]

information, retrieves the status information, and returns the status 
information to the inquirer.
    The second procedure applies to an S2S history request (CD04, SB 
message). In the CDLIS S2S history request the SOR or old State of 
record (OSOR) must report the entire driver history to the SOI or new 
State of record (NSOR). An S2S history request enables an inquirer to 
obtain the DHR on a CDL holder directly from the SOR without inquiring 
through CDLIS. Typically, a jurisdiction uses this transaction when a 
driver is considered for a change if State of record (CSOR). First, the 
inquirer verifies the driver's existence in the CDLIS CS, license 
status, and SOR using search inquiry, verification inquiry,\20\ or 
verification inquiry preceding an S2S history request. The inquirer may 
request the history for only one driver at a time with this request. 
Upon receipt, the SOR validates the driver identification information, 
retrieves the DHR, and returns the driver history information to the 
SOI.
---------------------------------------------------------------------------

    \20\ A verification inquiry (CD02) is a request for a driver's 
Master Pointer Record (MPR) and license status.
---------------------------------------------------------------------------

    The third procedure applies to a CSOR Request (CD08, SD message). 
In the S2S CSOR request processed in CDLIS, the SOR or OSOR must report 
the entire driver history to the SOI or NSOR. The CSOR transaction is 
used to transfer a DHR from an OSOR to a NSOR, and to reflect this 
change in the Master Pointer Record (MPR).\21\ The new jurisdiction 
officially becomes the NSOR when the CSOR request is initiated. 
Simultaneously, the old jurisdiction becomes the OSOR. The new roles 
are reflected in the MPR once CDLIS retrieves and updates the MPR. The 
CSOR transaction is not used when Canadian or Mexican CDL holders move 
to the United States. In these cases, the driver is added as a new 
driver. The previous CDL's jurisdiction code and driver's license 
number combination may be entered in the corresponding primary 
identification data, or ``AKA'' fields. The transaction is also not 
used for United States CDL holders moving to Mexico or Canada. When 
issuing any type of license to a driver, if the driver has a CDLIS MPR 
at the CS, the new licensing jurisdiction must initiate the CSOR and 
accept responsibility of the pointer as the NSOR.
---------------------------------------------------------------------------

    \21\ The Master Pointer Record (MPR) is a pointer to the 
jurisdictions that issued the driver's latest CDL or CLP. In CDLIS 
and SPEXS, the CS keeps a MPR for each driver.
---------------------------------------------------------------------------

    The NSOR sends a CSOR update message to CDLIS upon receipt of the 
CSOR update message, and CDLIS will validate the driver identification 
information in the message. If the NSOR is changing the driver's name, 
date of birth, and/or social security number, CDLIS checks to see if 
any drivers can be considered possible duplicates for the new driver. 
If so, CDLIS issues notifications of possible duplicate driver to all 
SORs affected, including the SOR that submitted the CSOR update 
message. CDLIS retrieves the driver's MPR, updates it by noting the 
initiator of the CSOR transaction as the NSOR and the recipient of the 
CSOR request as the OSOR. After CDLIS returns a confirmation to the 
NSOR, it sends a DHR request to the OSOR. Upon receipt of the DHR 
request, the OSOR: validates the message data, retrieves the DHR, and 
adds the NSOR's jurisdiction code and driver's license number to its 
DHR. This enables the OSOR to respond to status and history requests 
from the NSOR until such time as the CSOR is complete, and to return 
driver history information to the NSOR.
    The CDLIS Common Validation Processor (CVP) is a function of CDLIS 
which performs edits on the history information before forwarding it to 
the NSOR. Upon receipt of the response message from the OSOR via the 
CDLIS CVP, the NSOR performs any required additional validations not 
already performed by the CDLIS CVP. Within 96 hours of receipt of the 
information, the NSOR creates the DHR and posts the history, and sends 
a confirmation to CDLIS. Upon receipt of the confirmation from the 
NSOR, CDLIS validates the information, verifies that the information 
matches the updated MPR, and sends confirmations to both the NSOR and 
OSOR validating the CSOR is complete.
    A process is also set in place for the change of record requests 
from the OSOR to the NSOR. Both SORs have specific responsibilities 
while a CSOR is being processed. The transaction is initiated when the 
OSOR receives an SD message from the CDLIS CS. When the CSOR is 
processing, the OSOR must not respond to status or history requests for 
that driver, except those received from the NSOR. The OSOR must respond 
with an error to all other inquiring the jurisdictions and clearly 
annotate that the driver record is no longer associated with the SOR. 
The OSOR must also annotate the driver's record to indicate the NSOR's 
jurisdiction code and driver license number. After the NSOR receives 
the ``Confirm CSOR in-Progress'' (CG) message, the CDLIS CS sets an 
internal flag that the CSOR is in progress. The NSOR then becomes the 
driver's SOR and must respond to all status and history requests for 
that driver.
    16. New procedures were introduced for the NSOR and OSOR during and 
after the CSOR process outlining the appropriate course of action when 
the OSOR performs an in-State withdrawal due to a Clearinghouse 
violation and a CSOR is taking place. An in-State withdrawal is 
performed when an SDLA initiates a withdrawal of a driver's CDL or CLP 
due to a Clearinghouse violation against a jurisdiction's State laws 
and/or policies.
    The first procedure applies to the OSOR when the following applies 
in the DHR: the driver's commercial status is designated as ``NOT,'' 
the DHR only consists of an open in-State withdrawal due to a 
Clearinghouse violation, and the driver's record does not have any 
other open convictions and/or withdrawals. In this case, the OSOR must 
have in-State procedures in place to reinstate the driver's commercial 
status to ELG upon receipt of the CSOR history request (SD message).
    The second procedure applies to the OSOR when the DHR with the 
driver's commercial status is designated as ``NOT,'' and the DHR 
consists of an open in-State withdrawal along with other convictions 
and/or withdrawals. In this case, the OSOR must have in-State 
procedures in place to reinstate only the Clearinghouse in-State 
withdrawal and follow existing Federal and State guidelines for 
convictions and withdrawals.
    The third update is applicable when the driver has obtained a NSOR. 
In this case, the NSOR must respond to all status and history requests 
for that driver. Procedures are also set in place for the NSOR when a 
Clearinghouse violation is found. In this case, the NSOR must follow 
the procedures described in update 12 to determine whether the driver 
is eligible for a CDL or CLP.
    17. New procedures were added to enable SDLAs to respond to an S2S 
status request, S2S history request, and CSOR request. This procedure 
also requires that the SDLAs must not transmit Clearinghouse 
withdrawals on the CDLIS DHR. In the S2S status request, the SOR must 
report the driver status to the SOI, as specified in CD03. In the S2S 
history request and CSOR requests, the SOR or OSOR must report the 
entire driver history to the SOI or SOR as specified in CD04 and CD08 
transactions. A SOR must send the entire AAMVA Code Dictionary (ACD) 
\22\ history when responding to a CSOR or history request.
---------------------------------------------------------------------------

    \22\ The ACD is a standardized set of three-character codes used 
to identify either a type of conviction or the reason for a 
withdrawal of driving privileges. The ACD provides a single list of 
all codes that all the jurisdictions can understand and removes the 
need for a jurisdiction to map their laws and rules to the laws and 
rules of every other jurisdiction.

---------------------------------------------------------------------------

[[Page 12807]]

    When the SOR receives an S2S SG message for the driver, the SOR 
must respond with the current CDL status and must not include any 
details of Clearinghouse in-State withdrawal in the CDLIS DHR.
    When the SOR receives an S2S SB message, for the driver, the SOR 
must respond with the current CDL status and history but must not 
include any details of Clearinghouse in-State withdrawal in the CDLIS 
DHR.
    When a SOR receives a CSOR request, or SD message for the driver, 
States must refer to the procedures outlining OSOR and NSOR 
responsibilities outlined in update 15.
    18. An update to the procedures set out for SDLAs to follow when a 
driver applies for reinstatement was included in the SPM (version c.0). 
Additionally, AAMVA incorporated FMCSA's guidance requiring SDLAs to 
have a process in place to ensure the driver is not prohibited from 
operating a CMV due to a Clearinghouse violation prior to 
reinstatement. To comply with this requirement, the jurisdictions may 
perform a Clearinghouse check or maintain records of notifications 
received from the Clearinghouse.
    19. Procedures were also added for the jurisdictions to perform a 
Clearinghouse query on the driver prior to issuing, reinstating, 
renewing, upgrading, or transferring a CDL or CLP. When an individual 
applies for a CDL or CLP, the jurisdictions must initiate a search 
inquiry in CDLIS, the National Driver Registry,\23\ and the 
Clearinghouse no earlier than 24 hours prior to issuance. This search 
process confirms that no matches already exist for an individual, and 
whether a violation has been recorded. The jurisdictions must also 
initiate a 10-year history check for a new CLP or CDL applicant. The 
PDPS State Procedures Manual provides more detail on conducting and 
recording the 10-year history check.
---------------------------------------------------------------------------

    \23\ The National Driver Registry is a central repository for 
collecting, maintaining, and distributing information of all drivers 
whose driving privileges were suspended, revoked, or denied by a 
State due to a Clearinghouse violation.
---------------------------------------------------------------------------

    Additional procedures also apply to when a driver applies for 
reinstatement of a CDL or CLP. This may occur when a SOR withdraws the 
driver's CDL or CLP and the driver applies for reinstatement at the end 
of the withdrawal period. After being reinstated, the driver needs to 
apply for a new license, and the jurisdiction must follow procedures to 
complete a search inquiry (as described above) and refer to the added 
documentation (the PDPS State Procedures Manual) for more detail about 
conducting the 10-year history check.
    The jurisdictions must also conduct a check following the same 
procedures when a driver applies for a renewal of their CDL or CLP, 
using the additional PDPS documentation to conduct and record the 10-
year history check. The same process applies to drivers changing the 
jurisdictions if they have not completed the 10-year history check.
    Additional procedures were updated to establish rules for managing 
and maintaining driver records in the MPR and DHR. In accordance with 
Federal regulations, a DHR and associated MPR are required for three 
types of U.S. drivers. The first type of driver is a current CDL or CLP 
holder, the second is an individual who has previously held (but no 
longer holds) a CDL or CLP (and data retention requirements \24\ have 
not been met), and the third is a non CDL or CLP holder who has been 
convicted of a violation (and data retention requirements have not been 
met). The SOR is responsible for maintaining the MPR and DHR for each 
of its drivers and ensuring the records are complete and accurate. The 
SOR cannot delete the MPR of a former or non-CDL or CLP holder until:
---------------------------------------------------------------------------

    \24\ Retention requirements are the time periods that a 
jurisdiction must keep specific types of data, such as conviction 
data.
---------------------------------------------------------------------------

    1--1 year has passed since CDL or CLP expiration;
    2--The driver is reported deceased or the driver's license has been 
downgraded to non-commercial; or
    3--All DHR retention requirements are met.
    The SOR will delete a MPR based on whichever period is greater. The 
ACD provides additional detail on retention requirements for 
convictions \25\ and withdrawals, as well as retention requirement 
details. The SOR may also use this SPM (version c.0) to reevaluate 
whether to continue maintaining the record of a deceased driver after 
10 years or more have passed since the driver was reported deceased.
---------------------------------------------------------------------------

    \25\ The ``ACD conviction'' is an adjudication of guilt for a 
traffic-safety or Federally mandated violation, as defined by FMCSA. 
The ACD is available on the internet at https://www.aamva.org/technology/technology-standards/acd.
---------------------------------------------------------------------------

    20. Procedures were added for performing a Clearinghouse query when 
a driver applies for the initial issuance or renewal of a hazardous 
materials endorsement. In such cases, the jurisdictions must submit 
search requests and are provided with the latest version of the SPEXS 
System Specification document as a guide to aid them in conducting a 
verification query using the CDLIS CS. The jurisdictions are also 
provided guidance on how to proceed based on the driver's search 
results in the Clearinghouse, as described in the previous SPM (version 
c.0) updates.
    21. Procedures were added for the jurisdictions to perform a 
Clearinghouse check to determine the driver's eligibility prior to 
transferring a CDL. This includes conducting a search inquiry on a 
driver and determining a course of action based on the results of the 
Clearinghouse check, as described in the previous SPM (version c.0) 
updates. The SPEXS System Specification manual provides additional 
information on conducting a search in CDLIS.
    22. A new section was added to include procedures to evaluate if 
matching records exist for an applicant in the Clearinghouse, and 
whether those are in fact associated with the applicant. If a 
Clearinghouse query ``returns a record,'' this indicates a violation 
prohibiting the driver from operating a CMV may or may not be found. If 
a record is found, the CDL or CLP applicant is considered a ``match.'' 
In this case, the jurisdictions must follow guidance for evaluating 
Clearinghouse results, as described in previous SPM (version c.0) 
updates. Additionally, the jurisdictions must confirm that the record 
is associated with the applicant. The jurisdictions are also provided 
guidance for maintaining the driver's record if the individual moves to 
another jurisdiction. If a record is not found, the applicant is ``not 
returned as a match.''
    23. An update was also added for the jurisdictions when no match is 
found for a driver in the Clearinghouse, CDLIS, or PDPS. If a violation 
record is not found in the Clearinghouse, the applicant is ``not 
returned as a match.'' In that case, a jurisdiction can issue a CDL. In 
addition, the jurisdiction must add the driver to CDLIS within a 10-day 
period beginning the date of license issuance, per Sec. Sec.  383.73(h) 
and 384.207(a). The jurisdictions are provided guidance on using the 
SPEXS system to aid in utilizing CDLIS.
    If no matches are returned form the verification inquiry in CDLIS, 
there is no error in CDLIS. The fact that the driver is requesting 
renewal indicates the driver should have an MPR on the CDLIS CS. The 
jurisdictions must contact the AAMVA operations help desk for 
assistance in determining why this situation occurred. No matches from 
PDPS indicates there are no

[[Page 12808]]

problems with the driver. A no match from the Clearinghouse for a 
driver indicates there are no Clearinghouse violations that prohibit 
the driver from operating a CMV.
    If the search inquiry or verification inquiry transactions return 
no matches from CDLIS for the driver, there is an error in CDLIS. The 
fact that the driver is requesting a CSOR indicates that the driver 
should have an MPR on the CDLIS CS. The jurisdictions must contact 
AAMVA operations help desk for assistance in resolving this situation.
    24. Procedures were added for SDLAs to follow when a State performs 
an in-State withdrawal due to a Clearinghouse violation based on lack 
of compliance with the State's law or policies. This section includes 
three main procedures. The first procedure applies to the OSOR when the 
DHR only consists of an open-state withdrawal due to a Clearinghouse 
violation. The second procedure applies to the OSOR when the DHR 
includes an open in-State withdrawal due to a Clearinghouse violation 
along with other open convictions and/or withdrawals. The final 
procedure applies to the NSOR if a Clearinghouse violation is found.
    In the third instance mentioned above, the SOR must use a State 
native code, which is only used for State violations, to perform the 
Clearinghouse in-State withdrawal. This type of withdrawal must not be 
transmitted in the CDLIS DHR. The jurisdictions performing these 
withdrawals must downgrade the CDL by removing the commercial driving 
privilege by changing the commercial status on the CDLIS driver record 
from LIC to a minimum of ELG for CDL holders, and similarly changing 
the permit status from LIC to a minimum to ELG for CLP holders.
    The items below describing updates number 25 and 26 were made 
pursuant to the EEE final rule and will take effect beginning August 
22, 2024. The EEE final rule codifies the statutory requirement for 
SDLAs to implement a system and practices for the exclusively 
electronic exchange of DHR information through CDLIS. This includes the 
posting of convictions, withdrawals, and disqualifications.
    25. Updates were made to the procedures requiring the State of 
conviction (SOC) \26\ or State of withdrawal (SOW) \27\ to work with 
the SOR to ensure the timely posting of convictions and withdrawals 
when received outside CDLIS. In all cases, the jurisdictions must 
ensure convictions are reported to the SOR within time frames set out 
in Sec. Sec.  384.208 and 384.209. The SOC must report convictions for 
out-of-State drivers, including failures of out-of-State drivers to 
appear, pay, or comply, within 10 days of the conviction date. The SOR 
has 10 days from the receipt date of an out-of-State conviction to post 
the conviction to the driver's record. The SOR has 10 days from the 
conviction date to post an in-State conviction. With the exception of 
``W00'' \28\ withdrawals, the SOR must record all withdrawals received 
from another jurisdiction on the CDLIS DHR. Additionally, the 
jurisdictions have the ability to contact the AAMVA help desk for 
assistance.
---------------------------------------------------------------------------

    \26\ The SDLA jurisdiction which convicts a driver and maintains 
the original record of the conviction.
    \27\ The SDLA jurisdiction which withdraws a driver and 
maintains the original record of the withdrawal.
    \28\ W000 is the code used to indicate a withdrawal.
---------------------------------------------------------------------------

    26. The procedures requiring the OSOR to work with the NSOR to 
ensure the timely posing of convictions and withdrawals when received 
outside CDLIS were updated within the 10-day timeframe described above. 
If an OSOR receives an out-of-State conviction or withdrawal \29\ 
outside of CDLIS for a driver with a CDLIS driver record, the OSOR and 
SOR or SOW must work together to ensure the conviction or withdrawal is 
posted promptly on the CDLIS driver record. A second update directs 
either the OSOR, NSOR, SOC, or SOW to request assistance from AAMVA's 
help desk, if necessary.
---------------------------------------------------------------------------

    \29\ Out-of-State convictions and withdrawals include the fifty 
States and the District of Columbia.
---------------------------------------------------------------------------

VII. Severability

    Section 206 of MCSA (Pub. L. 98-554, title II, 98 Stat. 2832, 2834, 
codified at 49 U.S.C. 31136) directed the Secretary to regulate CMVs 
and the drivers and motor carriers that operate them. FMCSA is further 
required by statute to maintain an information system that serves as 
the clearinghouse and depository of information about the licensing, 
identification, and disqualification of operators of CMVs (49 U.S.C. 
31309). CDLIS is the information system that serves that function.
    The purpose of this rulemaking is to incorporate by reference 
version c.0 of the AAMVA SPM outlining guidance on the use of CDLIS. 
The provisions within the SPM (version c.0) are intended to operate 
holistically in addressing a range of issues necessary to ensure 
compliance with the information system procedures of the commercial 
driver's license program. However, FMCSA recognizes that certain 
provisions focus on unique topics. FMCSA finds that the various 
provisions within the SPM (version c.0) would be severable and able to 
operate functionally if one or more provisions were rendered null or 
otherwise eliminated. The remaining provision or provisions within the 
SPM (version c.0) would continue to operate functionally if any one or 
more provisions were invalidated and any other provision(s) remained. 
In the event a court were to invalidate one or more of the SPM's unique 
provisions, the remaining provisions should stand.

VIII. Section-by-Section Analysis

Part 384

    Section 384.107. The Agency would revise paragraph (b) to 
incorporate by reference version c.0 of the CDLIS SPM.
    Section 384.301. The Agency would add, as a conforming amendment, a 
new paragraph (p) specifying that the State must comply with the 
requirements of this rule by August 22, 2024.

IX. Regulatory Analyses

A. Executive Order (E.O.) 12866 (Regulatory Planning and Review), E.O. 
13563 (Improving Regulation and Regulatory Review), E.O. 14094 
(Modernizing Regulatory Review), and DOT Regulatory Policies and 
Procedures

    FMCSA has considered the impact of this NPRM under E.O. 12866 (58 
FR 51735, Oct. 4, 1993), Regulatory Planning and Review, E.O. 13563 (76 
FR 3821, Jan. 21, 2011), Improving Regulation and Regulatory Review, 
and E.O. 14094 (88 FR 21879, Apr. 11, 2023) Modernizing Regulatory 
Review. The Office of Information and Regulatory Affairs within the 
Office of Management and Budget (OMB) determined that this NPRM is not 
a significant regulatory action under section 3(f) of E.O. 12866, as 
supplemented by E.O. 13563 and amended by E.O. 14094 and does not 
require an assessment of potential costs and benefits under section 
6(a)(3) of that order. Accordingly, OMB has not reviewed it under that 
E.O.
    This proposed rule updates the ``American Association of Motor 
Vehicle Administrators, Inc. Commercial Driver's License Information 
System State Procedures Manual, Version c.0'' manual. Specifically, it 
includes changes introduced to the FMCSRs as a result of the EEE and 
DACH II final rules. The proposed rule solely defines processes and 
procedures which ensure that other regulations are uniformly 
implemented and imposes no new regulatory requirements. The rule would 
impose no new costs, and any benefits that

[[Page 12809]]

would result from it are expected to be de minimis.

B. Congressional Review Act

    This rulemaking is not a major rule as defined under the 
Congressional Review Act (5 U.S.C. 801-808).\30\
---------------------------------------------------------------------------

    \30\ A major rule means any rule that the OMB finds has resulted 
in or is likely to result in (a) an annual effect on the economy of 
$100 million or more; (b) a major increase in costs or prices for 
consumers, individual industries, geographic regions, Federal, 
State, or local government agencies; or (c) significant adverse 
effects on competition, employment, investment, productivity, 
innovation, or on the ability of United States-based enterprises to 
compete with foreign-based enterprises in domestic and export 
markets (5 U.S.C. 802(4)).
---------------------------------------------------------------------------

C. Regulatory Flexibility Act

    The Regulatory Flexibility Act (5 U.S.C. 601 et seq.), as amended 
by the Small Business Regulatory Enforcement Fairness Act of 1996,\31\ 
requires Federal agencies to consider the effects of the regulatory 
action on small business and other small entities and to minimize any 
significant economic impact. The term small entities comprise small 
businesses and not-for-profit organizations that are independently 
owned and operated and are not dominant in their fields, and 
governmental jurisdictions with populations of less than 50,000 (5 
U.S.C. 601(6)). Accordingly, DOT policy requires an analysis of the 
impact of all regulations on small entities, and mandates that agencies 
strive to lessen any adverse effects on these businesses.
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    \31\ Public Law 104-121, 110 Stat. 857, (Mar. 29, 1996).
---------------------------------------------------------------------------

    When an Agency issues a proposed rule, the RFA requires the Agency 
to ``prepare an initial regulatory flexibility analysis'' that will 
describe the impact of the proposed rule on small entities (5 U.S.C. 
604(a)). Section 605 of the RFA allows an agency to certify a rule, 
instead of preparing an analysis, if the rule is not expected to have a 
significant impact on a substantial number of small entities. This 
rulemaking incorporates by reference the September 2023 edition of the 
AAMVA CDLIS SPM (version c.0). The changes to the 2023 edition of the 
AAMVA CDLIS SPM (version c.0) from the 2013 edition are intended to 
ensure clarity in the presentation of the SDLA conditions and are 
generally editorial or ministerial. As noted above, FMCSA does not 
expect the changes made in the 2023 edition of the AAMVA CDLIS SPM 
(version c.0) to impose new costs or to result in quantifiable 
benefits, as it imposes no new regulatory requirements. The editorial 
and ministerial changes that would result from this proposed rule apply 
to SDLA processes and procedures; SDLAs are not small entities. 
Consequently, I certify that this proposed rule will not have a 
significant economic impact on a substantial number of small entities.

D. Assistance for Small Entities

    In accordance with section 213(a) of the Small Business Regulatory 
Enforcement Fairness Act of 1996 (Pub. L. 104-121, 110 Stat. 857), 
FMCSA wants to assist small entities in understanding this proposed 
rule so they can better evaluate its effects on themselves and 
participate in the rulemaking initiative. If the proposed rule would 
affect your small business, organization, or governmental jurisdiction 
and you have questions concerning its provisions or options for 
compliance, please consult the person listed under FOR FURTHER 
INFORMATION CONTACT.
    Small businesses may send comments on the actions of Federal 
employees who enforce or otherwise determine compliance with Federal 
regulations to the Small Business Administration's Small Business and 
Agriculture Regulatory Enforcement Ombudsman (Office of the National 
Ombudsman, see https://www.sba.gov/about-sba/oversight-advocacy/office-national-ombudsman) and the Regional Small Business Regulatory Fairness 
Boards. The Ombudsman evaluates these actions annually and rates each 
agency's responsiveness to small business. If you wish to comment on 
actions by employees of FMCSA, call 1-888-REG-FAIR (1-888-734-3247). 
DOT has a policy regarding the rights of small entities to regulatory 
enforcement fairness and an explicit policy against retaliation for 
exercising these rights.

E. Unfunded Mandates Reform Act of 1995

    The Unfunded Mandates Reform Act of 1995 (2 U.S.C. 1531-1538) 
(UMRA) requires Federal agencies to assess the effects of their 
discretionary regulatory actions. The Act addresses actions that may 
result in the expenditure by a State, local, or Tribal government, in 
the aggregate, or by the private sector of $192 million (which is the 
value equivalent of $100 million in 1995, adjusted for inflation to 
2022 levels) or more in any 1 year. Though this NPRM would not result 
in such an expenditure, and the analytical requirements of UMRA do not 
apply as a result.

F. Paperwork Reduction Act

    This proposed rule contains no new information collection 
requirements under the Paperwork Reduction Act of 1995 (44 U.S.C. 3501-
3520).

G. E.O. 13132 (Federalism)

    A rule has implications for federalism under section 1(a) of E.O. 
13132 if it has ``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.''
    FMCSA has determined that this rulemaking would not have 
substantial direct costs on or for States, nor would it limit the 
policymaking discretion of States. Nothing in this document preempts 
any State law or regulation. Therefore, this rulemaking does not have 
sufficient federalism implications to warrant the preparation of a 
Federalism Impact Statement.

H. Privacy

    The Consolidated Appropriations Act, 2005,\32\ requires the Agency 
to assess the privacy impact of a regulation that will affect the 
privacy of individuals. This NPRM would not require the collection of 
personally identifiable information (PII).
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    \32\ Public Law 108-447, 118 Stat. 2809, 3268, note following 5 
U.S.C. 552a (Dec. 4, 2014).
---------------------------------------------------------------------------

    The Privacy Act (5 U.S.C. 552a) applies only to Federal agencies 
and any non-Federal agency that receives records contained in a system 
of records from a Federal agency for use in a matching program.
    The E-Government Act of 2002,\33\ requires Federal agencies to 
conduct a PIA for new or substantially changed technology that 
collects, maintains, or disseminates information in an identifiable 
form. No new or substantially changed technology would collect, 
maintain, or disseminate information as a result of this rulemaking. 
Accordingly, FMCSA has not conducted a PIA.
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    \33\ Public Law 107-347, sec. 208, 116 Stat. 2899, 2921 (Dec. 
17, 2002).
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    In addition, the Agency submitted a Privacy Threshold Assessment 
(PTA) to evaluate the risks and effects the proposed rulemaking might 
have on collecting, storing, and sharing personally identifiable 
information. The PTA was adjudicated by DOT's Chief Privacy Officer on 
Jan. 4, 2024.

I. E.O. 13175 (Indian Tribal Governments)

    This rulemaking does not have Tribal implications under E.O. 13175, 
Consultation and Coordination with Indian Tribal Governments, because 
it does not have a substantial direct effect on one or more Indian 
Tribes, on the relationship between the Federal Government and Indian 
Tribes, or on

[[Page 12810]]

the distribution of power and responsibilities between the Federal 
Government and Indian Tribes.

J. National Environmental Policy Act of 1969

    FMCSA analyzed this proposed rule pursuant to the National 
Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321 et seq.) and 
determined this action is categorically excluded from further analysis 
and documentation in an environmental assessment or environmental 
impact statement under FMCSA Order 5610.1 (69 FR 9680), Appendix 2, 
paragraphs 6(s) and (t) of the order (69 FR 9703). The categorical 
exclusions in paragraphs 6(s) and (t) cover regulations regarding the 
CDL and related activities to assure CDL information is exchanged 
between States. The proposed requirements in this rule are covered by 
these CEs.

K. Rulemaking Summary

    As required by 5 U.S.C. 553(b)(4), a summary of this rulemaking can 
be found in the Abstract section of the Department's Unified Agenda 
entry for this rulemaking at https://www.reginfo.gov/public/do/eAgendaMain.

List of Subjects in 49 CFR Part 384

    Administrative practice and procedure, Alcohol abuse, Drug Abuse, 
Highway safety, Incorporation by reference, and Motor carriers.

    In consideration of the foregoing, FMCSA proposes to amend 49 CFR 
part 384 as follows:

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

0
1. The authority citation for part 384 continues 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. 1748, 1753, 1767; sec. 32934 
of Pub. L. 112-141, 126 Stat. 405, 830; sec. 5524 of Pub. L. 114-94, 
129 Stat. 1312, 1560; and 49 CFR 1.87.

0
2. Revise Sec.  384.107 to read as follows:


Sec.  384.107  Matter incorporated by reference.

    (a) Incorporation by reference. Certain material is incorporated by 
reference into this part with the approval of the Director of the 
Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. All approved 
incorporation by reference (IBR) material is available for inspection 
at FMCSA and at the National Archives and Records Administration 
(NARA). Contact FMCSA at the Department of Transportation Library, 1200 
New Jersey Ave. SE, Washington, DC 20590-0001; (202) 366-0746 . For 
information on the availability of this material at NARA, visit 
www.archives.gov/federal-register/cfr/ibr-locations or email 
[email protected]. The material may be obtained from the sources 
in the following paragraph of this section.
    (b) The American Association of Motor Vehicle Administrators 
(AAMVA), 4401 Wilson Boulevard, Suite 700, Arlington, VA 22203; (703) 
522-1300; www.aamva.org.
    (1) ``Commercial Driver's License Information System (CDLIS) State 
Procedures Manual,'' Version c.0, September 2023; approved for 
Sec. Sec.  384.225(f) and 384.231(d).
    (2) [Reserved]
0
3. Amend Sec.  384.301 by adding paragraph (p) to read as follows:


Sec.  384.301  Substantial compliance--general requirements.

* * * * *
    (p) A State must come into substantial compliance with the 
requirements of subpart B of this part, which is effective as of 
[EFFECTIVE DATE OF FINAL RULE], as soon as practicable, but not later 
than August 22, 2024.

    Issued under authority delegated in 49 CFR 1.87.
Sue Lawless,
Acting Deputy Administrator.
[FR Doc. 2024-03191 Filed 2-16-24; 8:45 am]
BILLING CODE 4910-EX-P