[Federal Register: November 16, 2006 (Volume 71, Number 221)]
[Proposed Rules]
[Page 66723-66748]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr16no06-33]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
Federal Motor Carrier Safety Administration
49 CFR Parts 383, 384, 390, and 391
[Docket No. FMCSA-1997-2210]
RIN 2126-AA10
Medical Certification Requirements as Part of the CDL
AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.
ACTION: Notice of proposed rulemaking (NPRM); request for comments.
-----------------------------------------------------------------------
SUMMARY: FMCSA proposes to amend the Federal Motor Carrier Safety
Regulations (FMCSRs) to merge information from the medical certificate
into the Commercial Driver's License (CDL) process as required by
section 215 of the Motor Carrier Safety Improvement Act of 1999
(MCSIA). This NPRM would implement section 215 by requiring interstate
CDL holders subject to the physical qualification requirements of the
FMCSRs to provide a current original or copy of their medical
examiner's certificates to their State Driver Licensing Agency (SDLA).
It would also require the SDLA to record on the Commercial Driver
License Information System (CDLIS) driver record the certification the
driver made regarding applicability of 49 CFR part 391, and, for
drivers subject to part 391, the medical status information proposed in
this NPRM. The driver's certification as to the applicability of part
391 and the specified medical certification status information would be
made available to personnel authorized in 49 CFR part 384 via CDLIS and
National Law Enforcement Telecommunication System (NLETS) electronic
inquiries, and on the CDLIS motor vehicle record (CDLIS MVR) obtained
by employers and drivers. CDL drivers would no longer be required to
carry the medical examiner's certificate, because their certification
status would be verified electronically.
DATES: Comments must be received by February 14, 2007.
ADDRESSES: You may submit comments identified by DOT DMS Docket Number
FMCSA-1997-2210 by any of the following methods:
Web site: http://dms.dot.gov. Follow the instructions for
submitting comments on the DOT electronic site.
Fax: 1-202-493-2251.
Mail: Docket Management Facility; U.S. Department of
Transportation, 400 Seventh Street, SW., Nassif Building, Room PL-401,
Washington, DC 20590-0001.
Hand Delivery: Room PL-401 on the plaza level of the
Nassif Building, 400 Seventh Street, SW., Washington, DC, between 9
a.m. and 5 p.m., Monday through Friday, except Federal holidays.
Federal eRulemaking Portal: Go to http://www.regulations.gov.
Follow the online instructions for submitting
comments.
Instructions: All submissions must include the Agency name and
docket number or Regulatory Identification Number (RIN) for this
rulemaking (RIN 2126-AA10). Note that all comments received will be
posted without change to http://dms.dot.gov,
including any personal information provided. Please refer to the Privacy Act heading for
FURTHER INFORMATION CONTACT.
Docket: For access to the docket to read background documents or
comments received, go to http://dms.dot.gov
at any time or to Room PL-401 on the plaza level of the Nassif Building, 400 Seventh Street, SW.,
Washington, DC, between 9 a.m. and 5 p.m., Monday through Friday,
except Federal holidays.
Privacy Act: Anyone is able to search the electronic form of all
comments received into any of our dockets by the name of the individual
submitting the comment (or signing the comment, if submitted on behalf
of an association, business, labor union, etc.). You may review DOT's
complete Privacy Act Statement in the Federal Register published on
April 11, 2000 (65 FR 19477) or you may visit
http://dms.dot.gov.
Comments received after the comment closing date will be included
in the docket and we will consider late comments to the extent
practicable. FMCSA may, however, issue a final rule at any time after
the close of the comment period.
FOR FURTHER INFORMATION CONTACT: Dr. Mary D. Gunnels, Chief, Physical
Qualifications Division, Federal Motor Carrier Safety Administration,
400 Seventh Street, SW., Room 8301, Washington, DC 20591; Telephone:
(202) 366-4001; E-mail address: Maggi.Gunnels@dot.gov.
SUPPLEMENTARY INFORMATION:
Outline of the NPRM
A. Legal Basis
1. Authority Over Drivers Affected
2. Authority To Regulate State CDL Programs
B. Background
1. Current CDL Information and Recordkeeping Systems
2. Medical Certification of CDL Drivers Subject to Part 391
3. Current CDL Requirements Regarding Physical Qualifications
4. State Feasibility Pilot Tests
5. Advance Notice of Proposed Rulemaking
6. Negotiated Rulemaking Advisory Committee
C. Rulemaking Proposal
1. Highlights of Proposed New CDL Licensing Process
2. Potential Impacts on States
3. Potential Impacts on Motor Carriers Employing CDL Drivers
4. Potential Impacts on Drivers
D. Implementation Date
E. Section-by-Section Explanation of Changes
F. Summary Cost Benefit Analysis
G. Rulemaking Analyses
[[Page 66724]]
List of Subjects
A. Legal Basis
Section 215 of MCSIA (Pub. L. 106-159, 113 Stat. 1767 (Dec. 9,
1999)) (set out as a note to 49 U.S.C. 31305) provides that: ``The
Secretary shall initiate a rulemaking to provide for a Federal medical
qualification certificate to be made a part of commercial driver's
licenses.'' The population of drivers required to obtain a CDL is
different from the population of drivers required to obtain a medical
certificate. For that reason, in order to implement this congressional
mandate, the proposed rule reconciles the differences between the scope
of the Agency's authority to regulate the physical qualifications of
drivers of commercial motor vehicles (CMVs) and its authority to
establish requirements for the issuance of commercial driver's
licenses. The proposed rule would place requirements on only those
drivers required to obtain a CDL from a State who are also required to
obtain a certificate from a medical examiner indicating that they are
physically qualified to operate a commercial motor vehicle in
interstate commerce. The proposed rule would also establish
requirements to be implemented by States that issue CDLs to such
drivers. These requirements would ensure that accurate and timely
information about the medical examiner's certificate would be contained
in the electronic CDLIS driver record maintained in compliance with the
CDL regulations. Finally, the proposed rule would require States to
take certain actions against CDL holders if such information is not
kept accurate and up-to-date in a timely manner.
1. Authority Over Drivers Affected
a. Drivers Required To Obtain a Medical Certificate. FMCSA is
required by statute to establish standards for the physical
qualifications of drivers who operate CMVs in interstate commerce. (49
U.S.C. 31136(a)(3) and 31502(b)) For this purpose, CMVs are defined in
49 U.S.C. 31132(1) and 49 CFR 390.5. There are four basic categories of
vehicles covered by this definition:
Those with a gross vehicle weight rating (GVWR) or
gross combination weight rating (GCWR), or gross vehicle weight
(GVW) or gross combination weight (GCW), whichever is greater, of at
least 10,001 pounds;
Those designed or used to transport for compensation
more than 8 passengers, including the driver;
Those designed or used to transport not for
compensation more than 15 passengers, including the driver; or
Those used to transport hazardous materials that
require a placard on the vehicle under 49 CFR subtitle B, chapter I,
subchapter C.
In addition, the vehicles in these categories must be ``used on the
highways in interstate commerce to transport passengers or property.''
(Id.) Interstate commerce, for purposes of this provision, is based on
the definitional provisions of 49 U.S.C. 31132(4) and 31502(a) and
long-standing administrative and judicial interpretations of those
sections (and their predecessors), and defined in 49 CFR 390.5 as
follows:
Interstate commerce means trade, traffic, or transportation in
the United States--
(1) Between a place in a State and a place outside of such State
(including a place outside of the United States);
(2) Between two places in a State through another State or a
place outside of the United States; or
(3) Between two places in a State as part of trade, traffic, or
transportation originating or terminating outside the State or the
United States.
With certain limited exceptions,\1\ FMCSA has fulfilled the
statutory mandate of 49 U.S.C. 31136(a)(3) by establishing physical
qualification standards for all drivers covered by these provisions.
(49 CFR 391.11(b)(4)). Such drivers must also obtain from a medical
examiner a certification indicating that the driver is physically
qualified to drive a CMV. (49 CFR 391.41(a), 391.43(g) and (h)). The
proposed rule would not make any change in the requirements for
obtaining a medical certificate. But, on the basis of this
authority, it would require drivers subject to the medical
examiner's certificate requirement who are also required to obtain a
CDL, to furnish the original or a copy of the certificate to the
licensing State. As explained in the Summary Cost Benefit Analysis
in this Notice, the proposed rule should improve compliance by CMV
operators with the physical qualification standards in the FMCSRs.
By doing so, the proposed rule would aid the Agency in ensuring that
the physical condition of CMV operators is adequate to enable them
to operate safely and that such operation does not have a
deleterious effect on their health, as required by section
31136(a)(3) and (4). The other minimum requirements of section
31136, set out in subsections (a)(1) and (2), are not applicable to
the proposed rule, because it does not involve either the safety of
CMV equipment or the operational activities of the operators.
---------------------------------------------------------------------------
\1\ See 49 CFR 390.3(f) and 391.2.
---------------------------------------------------------------------------
b. Drivers Required To Obtain a CDL. The authority for FMCSA to
require an operator of a CMV to obtain a CDL rests on different
statutory provisions than those authorizing the promulgation of
physical and medical qualifications for such operators; the
authority is found in 49 U.S.C. 31302. The requirement to obtain a
CDL is applicable to drivers of specified CMV categories that are
different from the categories specified in 49 U.S.C. 31132(1) and
the implementing regulations, as discussed in the preceding section.
The four categories of CMVs for which an operator is required to
have a CDL, as defined in 49 U.S.C. 31301(4) and specified in 49 CFR
383.5, are:
Those with a gross combination weight rating or gross
combination weight, of at least 26,001 pounds, including towed units
with gross vehicle weight rating or gross combination weight of more
than 10,000 pounds;
Those with a gross vehicle weight rating or gross
vehicle weight of at least 26,001 pounds;
Those designed to transport at least 16 passengers,
including the driver; or
Those of any size used to transport either hazardous
materials that require a placard on the vehicle under 49 CFR part
172, subpart F, or any quantity of a material listed as a select
agent or toxin under 42 CFR part 73.
In addition, the vehicles involved must be used ``in commerce to
transport passengers or property.'' (49 U.S.C. 31301(4)). The term
``commerce'' is defined for the purpose of the CDL statutes and
regulations as:
trade, traffic, and transportation--
(A) in the jurisdiction of the United States between a place in
a State and a place outside that State (including a place outside
the United States); or
(B) in the United States that affects trade, traffic, and
transportation described in subclause (A) of this clause. (49 U.S.C.
31301(2). See also 49 CFR 383.5.)
However, the statutory provisions governing CDLs also contain a
limitation on the scope of the authority granted to FMCSA. The
provision at 49 U.S.C. 31305(a)(7) states that:
The Secretary of Transportation shall prescribe regulations on
minimum standards for testing and ensuring the fitness of an
individual operating a commercial motor vehicle. The regulations--
* * * * *
(7) shall ensure that an individual taking the tests is
qualified to operate a commercial motor vehicle under regulations
prescribed by the Secretary and contained in title 49, Code of
Federal Regulations, to the extent the regulations apply to the
individual; (Emphasis added).
The current CDL provisions require each CDL driver either to
certify that he/she meets the qualification requirements contained in
49 CFR part 391 or, if the driver expects to operate entirely in
intrastate commerce and is not subject to part 391 but is subject to
State driver qualification requirements, to certify that he/she is not
subject to part 391. (49 CFR 383.71(a)(1)).
Therefore, reading all of these statutory provisions as a whole,
FMCSA interprets section 215 of MCSIA to be applicable only to CDL
holders or applicants operating or intending to operate in interstate
commerce, as
[[Page 66725]]
defined in 49 CFR 390.5. The proposed rule would require CDL holders
and applicants operating in interstate commerce to furnish evidence of
their physical qualifications (in addition to certifying), by providing
the required medical certificate to the State issuing the CDL.
2. Authority To Regulate State CDL Programs
FMCSA, in accordance with 49 U.S.C. 31311 and 31314, has authority
to prescribe procedures and requirements for the States to observe in
order to issue CDLs. (See, generally, 49 CFR part 384.) In particular,
under section 31314, in order to avoid loss of funds apportioned from
the highway trust fund, each State shall comply with the following
requirement:
(1) The State shall adopt and carry out a program for testing
and ensuring the fitness of individuals to operate commercial motor
vehicles consistent with the minimum standards prescribed by [FMCSA]
under section 31305(a) of [Title 49 U.S.C.]. (49 U.S.C. 31311(a)(1).
See also 49 CFR 384.201.).
If a State does not comply with these requirements, it is also
subject to possible loss of grant funds under the Motor Carrier Safety
Assistance Program (MCSAP). (See 49 CFR 350.217.).
On the basis of this authority, the proposed rule would require
States issuing CDLs to drivers operating or intending to operate in
interstate commerce, to obtain all information on the required medical
examiner's certificate for entry into the CDLIS driver record. The
proposed rule would also require the States to take certain specified
actions if such information is not provided by the CDL applicant or
holder.
B. Background
1. Current CDL Information and Recordkeeping Systems
The Commercial Driver's License Information System or CDLIS is the
existing information system that serves as a clearinghouse and
depository of all information about the licensing, identification, and
disqualification of CDL operators of commercial motor vehicles. This
NPRM uses the term ``CDLIS driver record'' as the name of the
electronic record containing a CDL driver's status and history located
in the database of the driver's State-of-Record.\2\ The motor vehicle
record (MVR) is the term, that by convention and usage, generally
describes the driver history information provided from the driver
record to the driver or employer by a SDLA, usually for a fee.
Historically the FMCSRs have used a variety of terms such as driver
record or driving record in the context of various requirements for
motor carriers to investigate and obtain the driving history and status
of all operators of commercial motor vehicles, both CDL and non-CDL.
This NPRM proposes to standardize usage of the terms CDLIS driver
record for CDL drivers, and driver record for non-CDL drivers to refer
to the computer record stored by the SDLA. It further proposes to
standardize usage of the terms CDLIS motor vehicle record (CDLIS MVR)
for CDL drivers and motor vehicle record (MVR) for non-CDL drivers, to
mean the driver history information provided to the driver or employer
by the SDLA from the driver record.
---------------------------------------------------------------------------
\2\ ``State of Record'' is the jurisdiction that maintains the
CDLIS driver record for every CDL driver licensed within its
jurisdiction. See 49 CFR 384.107 and AAMVA, Inc.'s ``Commercial
Driver License Information System (CDLIS) State Procedures Manual.''
---------------------------------------------------------------------------
Different methods are used for obtaining responses from the CDLIS
driver record by different user groups. Federal and State MCSAP
personnel largely use the FMCSA CDLIS-Access software developed and
operated by FMCSA, and provided to these personnel. State and local
police performing traffic enforcement as part of MCSAP or other
operations, predominantly use the National Law Enforcement
Telecommunications System to obtain whatever form of the driver status
and/or history information the SDLA provides from the CDLIS driver
record. Drivers and motor carriers have access to CDLIS driver record
information by purchasing the MVR from the SDLA, subject to the
limitations in 49 CFR 384.225(e).
2. Medical Certification of CDL Drivers Subject to Part 391
With limited exceptions, all drivers who operate CMVs, as defined
in 49 CFR 390.5, in interstate commerce must comply with the
qualification requirements of 49 CFR part 391 (49 CFR 391.1). This
includes CDL drivers operating in interstate commerce (49 U.S.C.
31305(a)(7)).
There are exceptions from the medical certification requirement
provided under 49 CFR 390.3(f) including, for example, drivers engaged
in transportation performed by Federal, State or local governments, and
school bus drivers providing school to home and home to school
transportation. Additional exceptions are also provided under 49 CFR
391.2 and include drivers engaged in certain custom farm operations,
the seasonal transportation of bees using CMVs controlled and operated
by a beekeeper, and the operation of certain farm vehicles.
Each driver subject to the physical qualification requirements must
be examined and certified by a medical examiner, as defined in 49 CFR
390.5, at least once every 2 years. For certain drivers, such as those
with severe cases of hypertension or other acute medical conditions,
more frequent medical reexamination may be required by medical
examiners to determine whether the driver can still be certified.
Medical examiners document the results of the examination on a
medical examination report (also referred to as the ``long form''). If
the medical examiner determines that a driver is physically qualified
in accordance with 49 CFR 391.41(b), the examiner certifies the driver
meets the physical qualification standards by completing a form
substantially in accordance with the medical examiner's certificate
contained in 49 CFR 391.43. The certificate also contains check boxes
indicating whether the driver is subject to any restrictions while
operating a CMV, such as wearing corrective lenses or a hearing aid, or
whether the driver was granted a medical variance and thus the
certificate must be accompanied by a medical exemption document or a
skill performance evaluation (SPE) certificate.
A driver granted an exemption or SPE certificate must carry an
original or copy of the accompanying documentation, e.g., exemption
document or SPE certificate, at all times while operating a CMV in
interstate commerce. See, e.g., 49 CFR 391.49(j)(1). The driver must
also provide an original or copy of the Medical Examiner's certificate
to the employing motor carrier who must retain it in the driver's
qualification file (sections 391.51(b)(7) and 391.51(d)(4)).
3. Current CDL Requirements Regarding Physical Qualifications
Before the enactment of section 215 of MCSIA, the Commercial Motor
Vehicle Safety Act (CMVSA) provided that FMCSA ``may require issuance
of a certification of fitness to operate a commercial motor vehicle to
an individual passing the tests * * *'' (49 U.S.C. 31305(a)(8)).
Because the authority is permissive, not mandatory, the current
regulations that implement the CDL program only require the States to
obtain a certification from the driver that either the driver
qualification provisions of 49 CFR part 391 apply, or that the driver
operates entirely in intrastate commerce. Most States meet this
requirement by providing an appropriate box on the CDL application form
for the driver to check.
[[Page 66726]]
Drivers are not currently required by the CDL regulations to
provide an original or copy of the medical examiner's certificate to
the SDLA as proof of the driver's physical qualification to operate a
CMV in interstate commerce. Likewise, there are no CDL compliance
regulations that require the SDLA to ensure that: (1) The driver's
medical certification is accurate; (2) the driver who self certifies he
or she is subject to part 391 has a current medical certification; or
(3) the medical examiner's certificate for the driver does not expire
during the course of the licensing period. Diagram 1, ``Existing
System,'' illustrates the current way CDL drivers meet these
requirements, and highlights that there is a lack of integration
currently between the existing medical certification and CDL licensing
processes. The purpose of this NPRM is to address this situation.
BILLING CODE 4910-EX-P
[GRAPHIC] [TIFF OMITTED] TP16NO06.000
[[Page 66727]]
4. State Feasibility Pilot Tests
In September 1990, the Federal Highway Administration (FHWA)
(predecessor Agency to FMCSA) entered into a contract with the
Association for the Advancement of Automotive Medicine (AAAM) and the
American Association of Motor Vehicle Administrators (AAMVA) to assess
the feasibility of integrating the medical certification and CDL
issuance and renewal processes. AAAM and AAMVA worked with FHWA to help
select States to participate in six pilot tests, and determine whether
States could assume some level of responsibility for ensuring CDL
drivers are certified as physically qualified before a CDL is issued or
renewed.
The States selected to test various approaches for merging the
medical certification and CDL processes were Alabama, Arizona, Indiana,
Missouri, North Carolina and Utah. During the study, each pilot State
had to address a variety of budgeting, operational and technical
challenges. All six States achieved at least 1 full year of operations
data and demonstrated it would be feasible for SDLAs to take a more
active role in verifying that a CDL applicant has obtained medical
certification such as that being proposed in this rule. For purposes of
this NPRM, we briefly discuss the results of the tests. However, more
details about the individual concepts tested by each State are in the
final report. The final report for the study, entitled ``Prototype
State Medical Review Program,'' dated January 31, 1995, is included in
the rulemaking docket.
Two States wanted to test the possibility of placing the driver's
medical certification status on the CDLIS driver record. Each was
successful in demonstrating this could be operationally implemented.
During the pilot test, these two States placed information about the
medical certification status on the CDLIS driver record and made this
information electronically available to the SDLA and, ultimately, to
Federal and State enforcement personnel who could use it as part of
roadside inspections or traffic enforcement. The other four States
explored methods for verifying medical certification as part of issuing
the CDL that did not include recording the medical certification status
on the driver record. As such, they are not germane to the MCSIA
section 215 requirement to make the certificate part of the CDL.
5. Advance Notice of Proposed Rulemaking
In 1994, FHWA issued an advance notice of proposed rulemaking
(ANPRM) (59 FR 36338, July 15, 1994) titled ``Commercial Driver
Physical Qualifications as Part of the Commercial Driver's License
Process.'' The ANPRM requested comments on the concept of requiring the
States to verify the medical certification of CMV drivers and include
documentation within the States' CDL information systems. The ANPRM
indicated the Agency was considering a rulemaking to require State
licensing agencies to review and verify the accuracy of the medical
examination report (long form), and record documentation of the medical
certification status on CDLIS driver record, prior to issuing or
renewing a CDL. States would thus ensure that all applicants seeking a
CDL for the purpose of operating CMVs in interstate commerce were in
compliance with the medical certification standards before issuing the
CDL. Medical examination reports would be sent to the SDLA for review
and evaluation by a State Medical Review Board to achieve better
quality control over the medical certifications issued, before the
State could issue a CDL. FHWA prepared a report summarizing all the
public comments to the ANPRM, entitled ``Summary of Comments to the
ANPRM: CDL Medical Fitness.'' A copy of the report is included in the
docket.
6. Negotiated Rulemaking Advisory Committee
After evaluating the public comments received in response to the
ANPRM, FHWA announced its intention to form a Negotiated Rulemaking
Advisory Committee (Committee) to develop an NPRM for merging the
medical certification and CDL issuance and renewal processes. A notice
of intent to form the Committee was published in the Federal Register
on April 29, 1996 (61 FR 18713). The Agency invited interested parties
to comment on the proposal to establish the Committee, and to submit
applications or nominations for Committee membership. The notice
provided a preliminary list of entities identified as interested
parties that should be included in the negotiated rulemaking process,
either directly as members of the Committee or as part of a broader
caucus of similar or related interests.
On July 23, 1996, FHWA published a notice in the Federal Register
(61 FR 38133) announcing the first meeting of the Committee, the
membership, and major issues the Committee would consider. Twenty-five
organizations and FHWA were represented on the Committee. The charter
for the Committee was approved by the Secretary on July 12, 1996, with
an expiration date of July 12, 1998. The Committee held several
meetings between August 7, 1996, and November 20, 1997.
Commercial Driver Physical Qualifications Negotiated Rulemaking
Advisory Committee
Membership List (Approved by Secretary Pe[ntilde]a 7/10/96)
1. Federal Highway Administration
2. American Association of Motor Vehicle Administrators
3. New York (State commercial driver licensing agency)
4. Utah (State commercial driver licensing agency)
5. Wisconsin (State commercial driver licensing agency)
6. Montana (State commercial driver licensing agency)
7. Commercial Vehicle Safety Alliance
8. International Association of Chiefs of Police
9. American Trucking Associations
10. National Private Truck Council
11. National School Transportation Association
12. United Motor Coach Association & American Bus Association (sharing
one seat on the committee)
13. Owner-Operator Independent Drivers Association
14. Independent Truckers and Drivers Association
15. Teamsters Union
16. Amalgamated Transit Union
17. Lancer Insurance
18. AI Transport
19. American Insurance Association
20. National Association of Independent Insurers
21. Advocates for Highway and Auto Safety
22. Farmland Industries
23. American College of Occupational and Environmental Medicine
24. Association for Advancement of Automotive Medicine
25. American Academy of Occupational Health Nurses
26. American Academy of Physicians' Assistants
Although the Committee did not reach consensus concerning the major
issues considered (and listed in the July 23, 1996, notice), the
Committee supported moving forward with a rulemaking proposal focused
on improving the availability of information about driver physical
qualifications, and recording medical
[[Page 66728]]
certification information on the CDLIS driver record. Copies of the
Committee's report and all documents considered by the Committee are
available in the public docket for this rulemaking.
C. Rulemaking Proposal
1. Highlights of Proposed New CDL Licensing Processes
This rulemaking would apply to all CDL holders who: (1) Operate
CMVs as defined in 49 CFR 383.5; and (2) are subject to the driver
qualification requirements under 49 CFR part 391. FMCSA proposes in
this NPRM to add a requirement that CDL holders to whom 49 CFR part 391
applies must begin providing an original or copy (at the option of the
SDLA) of their medical examiner's certificate to their SDLA for
recording of information specified in this NPRM on the CDLIS driver
record. The States would be provided the flexibility to establish their
own processes for receiving this information from drivers. SDLAs would
also be required to downgrade a CDL if the driver's medical
certification is no longer valid. A ``CDL downgrade'' means the State
either: (1) Restricts a previously unrestricted CDL to intrastate
transportation or to interstate transportation excepted from part 391
as provided in 49 CFR 390.3(f) or 391.2; or (2) The State removes the
CDL privilege entirely from the driver's license.
Diagram 2, Proposed System, illustrates how the CDL and medical
certification processes would be integrated. The process begins with
obtaining medical certification. The new requirements are for recording
the medical examiner's certificate information on the CDLIS driver
record, and making the medical certification information available to
FMCSA and State licensing and enforcement agencies as part of CDLIS
inquiries.
BILLING CODE 4910-EX-P
[GRAPHIC] [TIFF OMITTED] TP16NO06.001
The proposal is to clarify which CDL drivers are subject to part
391 and to require the SDLA to record the driver's certification
regarding applicability of part 391 on the CDLIS driver record. For
those drivers subject to part 391, they
[[Page 66729]]
would be required to provide a current original or copy of their
medical examiner's certificate to their SDLA. The SDLA would be
required to record the proposed medical certification status
information on the CDLIS driver record. Additionally the SDLA would be
required to provide the medical certification status information to all
authorized personnel specified in 49 CFR 384.225(e) via the established
access methods. These methods include CDLIS electronic inquiries, NLETS
electronic inquiries for CDL drivers, and on the CDLIS MVR (as
specifically defined in proposed 49 CFR 384.105) that all States sell
to employers and drivers.
As a result of these CDL recordkeeping and information collection
provision proposals, any future actions by the Agency that enhance the
quality of the medical examination process would flow directly into the
CDLIS driver record and thus would be available for use by all persons
who are authorized to access this information. This NPRM, along with
planned future rulemaking actions, would reduce the likelihood of
States and employing motor carriers receiving improper or false medical
certification documents from drivers.
Anticipated future actions include establishing a National Registry
of Medical Examiners required by 49 U.S.C. 31149(d). The creation of
the National Registry was authorized by section 4116 of the Safe,
Accountable, Flexible, Efficient Transportation Equity Act: A Legacy
for Users (SAFETEA-LU) (Pub. L. 109-59, 119 Stat. 1144, 1726 (Aug. 10,
2005)). By that provision, Congress indicated FMCSA should implement a
capability to accept as valid only medical examiner's certificates
issued by medical examiners on the National Registry. FMCSA anticipates
the required action to establish the National Registry would include
standards to ensure that medical examiners on the Registry fully
understand the physical qualification requirements applicable to
drivers subject to part 391, and that enough examiners are certified.
2. Potential Impacts on States
a. General. States would continue to require each driver to certify
what type of driving they do, either: (1) Subject to the qualification
requirements of part 391; or (2) not subject to those requirements. The
SDLA in each State would be required to modify its procedures, e.g.,
forms or computer systems, to make the certification for type of
driving electronically accessible from the CDLIS driver record. This
includes status and history responses to CDLIS and NLETS inquiries, and
on the CDLIS MVR responses generated from the CDLIS driver record and
provided to the driver or employer by the SDLA.
The States would also be required to establish procedures for
receiving the medical examiner's certificates from drivers subject to
part 391. The process would include date stamping the certificate when
received by the State; recording, within 2 business days, all required
information proposed by this NPRM from the medical examiner's
certificate onto the CDLIS driver record for all CDL drivers subject to
part 391; and retaining the certificate or an image of the certificate
for 6 months. Drivers, employers and enforcement personnel would be
depending on the timely posting of the medical examiner's certificate
information. The Agency is seeking comments on whether the number of
days allowed for posting the medical certification data should be
longer than 2 business days, and whether the retention period should be
longer than 6 months.
Additionally, the States would be required to verify whether the
driver is subject to part 391, and if so that the current medical
certification status is designated as ``qualified'' before taking any
action to issue, renew, transfer or upgrade that driver's CDL. Further,
the States would be required to update the medical certification status
of the CDLIS driver record within 2 business days if the certification
expires, to show the driver as ``not-qualified.'' The State must then
complete a downgrade of the CDL within 60 days of the driver becoming
not-qualified. Additionally, the States would be required to notify
drivers of any possible CDL downgrade actions resulting from expired
medical certification information. (See section ``d. Notification of
Drivers,'' below.) The Agency is seeking comments about whether the
proposed 2 business days for updating the medical certification status
and the proposed 60 days for downgrading the CDL are reasonable and
appropriate.
The States would further be required to make the driver's medical
certification status information, and if applicable, medical examiner's
certificate information, electronically accessible as part of the
information obtained from the CDLIS driver record by authorized users,
including the FMCSA, State licensing and enforcement agencies, drivers,
and employers. Enforcement personnel would obtain this data
electronically via CDLIS or NLETS. Employing motor carriers and drivers
would obtain it on the CDLIS MVR. The States would have to modify their
programs that provide the following responses: CDLIS, CDLIS equivalent
for NLETS and CDLIS MVR to include the medical certification status
information.
States such as California and Indiana already have programs that
require drivers to provide copies of the Medical Examination Report
(long form) to the State as part of the State's CDL program. This rule
does not propose submission of the long form. Those States already are
denying a new or renewal of a CDL or taking action against an existing
CDL if the State does not receive an updated certification by the time
the previous one expires. They are also placing information about the
current medical certification status on the driver record.
FMCSA is also seeking comments on how drivers could verify that the
data regarding their medical certification status information is timely
and properly recorded on their CDLIS driver record. The normal process
for verification and correction of information on the CDLIS driver
record is for drivers to go to an SDLA office in their licensing State
and obtain a copy of their CDLIS MVR. Because of the ongoing
operational nature of updates of medical certification status
information, FMCSA requests comments on whether there is a more
efficient method by which CDL drivers could accomplish this data
quality review of their medical certification status information.
b. States Would Record Additional Specified Data if the Driver Is
Subject to Part 391. This proposal builds on the proposal developed by
the negotiated rulemaking advisory committee. The SDLAs would become
the keepers of the record for the medical examiner's certification
information. The SDLA would then become the primary source for
verification of medical certification status. It is therefore critical
that the States record enough information to enable enforcement
officials to trace the medical examiner's certificate back to the
medical examiner in cases where investigations occur and find there are
problems with the driver's certification.
FMCSA would require States to modify their information systems to
add new data fields to the CDLIS driver record. One data field would
record which of the two possible certifications the driver made
regarding the applicability of part 391.
If the driver certifies he or she is subject to part 391, then
FMCSA would require the State to record on the CDLIS driver record the
following information:
[cir] Medical examiner's name.
[cir] Medical examiner's license or certificate number and the
State that issued it.
[[Page 66730]]
[cir] Medical examiner's National Registry identification number
(if the National Registry of Medical Examiners, required by 49 U.S.C.
31149(d), as added by section 4116(a) of SAFETEA-LU requires one).\3\
---------------------------------------------------------------------------
\3\ Section 31149(d) becomes effective August 10, 2006. See
section 4116(f) of SAFETEA-LU. FMCSA plans to implement regulations
establishing the National Registry of Medical Examiners in the
future. In order to minimize the number of times States have to
update their information systems, States may want to make provisions
in the CDLIS driver record to accept this information should it be
required.
---------------------------------------------------------------------------
[cir] Date of physical examination/issuance of the medical
examiner's certificate to the driver.
[cir] Medical certification status determination (receipt of a
current medical examiner's certificate means ``qualified.'')
[cir] Expiration date of medical examiner's certificate (this can
vary, depending on CDL driver's medical condition, from 3 months to 2
years).
[cir] Information from FMCSA that a medical variance was issued to
the driver.
[cir] Any restriction (e.g., corrective lenses, hearing aid, etc.).
[cir] Date the information is entered on CDLIS driver record.
States would be required to keep a copy or an electronic image,
including the time stamp, of the medical examiner's certificate
received from the driver for 6 months so that FMCSA may request access
to these certificates to verify States are inputting information in an
accurate and timely manner as part of a State CDL compliance review.
c. State Input of Data for Medical Variances. FMCSA proposes adding
information about the existence of medical variances, for example, the
existence of a vision exemption or SPE certificate, to the CDLIS driver
record maintained by the SDLA. Enforcement personnel could obtain both
the current medical certification status, ascertain whether the driver
has a medical variance, and determine the identity of the medical
examiner, all by an electronic inquiry to CDLIS.
Interstate drivers (both CDL and non-CDL) granted an exemption from
one or more of the FMCSRs are required by its terms and conditions to
carry the exemption document or legible copy in their possession while
driving. Drivers who are granted a SPE certificate are required by
regulation to carry the SPE certificate or a legible copy. (49 CFR
391.49(j)). It is important for enforcement personnel to know about the
existence of medical variances that require the driver to carry such
additional supporting information. Enforcement personnel are directed
to ask such drivers to show them the required additional documentation
the driver is required to carry as a condition of that medical
variance. This requirement to include information about existing
medical variances on the CDLIS driver record thus ensures that
enforcement personnel can verify whether the driver is in compliance
with the conditions for the issuance.
d. Notification of Drivers. Currently, most States notify drivers
when an action is going to be taken against their driver license
privilege. In this NPRM, FMCSA proposes that States notify interstate
CDL drivers when they plan to downgrade the driver's license based on
the lack of a valid medical certificate. FMCSA believes each State
already has an automated system that generates notices for drivers who
are identified for suspension action. The Agency further believes that
these State systems could be modified to identify and notify drivers
whose medical certification status has expired, and whose CDLs thus
must be downgraded.
FMCSA included the cost of adding CDL drivers subject to part 391
to these State notification systems, as part of the developmental costs
for the proposed rule during years one through three. The ongoing major
cost of the notification system would be operational, at an estimated
cost of $0.40 per driver notified. For calculating the maximum possible
impact on the States, FMCSA used the worst case scenario that would
show all drivers receiving a notice of a CDL downgrade, for a total
national cost of $1.29 million per year, which is included in the total
estimated State costs discussed later in the preamble's Summary Cost
Benefit Analysis section. (See section F. ``Summary Cost Benefit
Analysis.''). FMCSA is seeking comment concerning the number of
notifications the States would need to mail to CDL drivers receiving
notice of a downgrade.
e. Costs. FMCSA estimates that the requirements set forth in this
NPRM would cost the States $18.3 million over the first 3 years of
implementation and would decrease to $4.0 million per year in the
fourth year and afterward. For further detail on the cost issue, see
section F. ``Summary Cost Benefit Analysis,'' contained below in this
NPRM, or the more detailed stand alone Regulatory Evaluation document
contained in the docket. FMCSA is seeking comments about whether these
evaluations of the cost impacts are accurate.
3. Potential Impacts on Motor Carriers Employing CDL Drivers
a. Carrier Would Request a Copy of the CDLIS Motor Vehicle Record
from the Current State of Licensure Before Allowing the Driver to
Operate a CMV in Interstate Commerce. Under the proposed rule, the
motor carrier that employs a CDL driver subject to part 391 to operate
a CMV would need to obtain the driver's CDLIS MVR, verify the driver
has a medical certification status of qualified, and place that CDLIS
MVR in the driver qualification (DQ) file, (thereby documenting medical
certification for such CDL drivers) before allowing the driver to
operate a CMV for the motor carrier.
Under FMCSA's current regulation, the motor carrier has up to 30
days to obtain the driver's MVR (for both CDL and non-CDL drivers) and
place it in the DQ file (49 CFR 391.23(b)). The driver is immediately
permitted to begin operating a CMV pending completion of the driver
record check. However, the proposed rule would change this current
practice by requiring the motor carrier to obtain and place a copy of
the driver's CDLIS MVR in the DQ file before allowing an interstate CDL
driver to operate a CMV. FMCSA believes the 30-day timeframe specified
in Sec. 391.23(b) is a hold-over from years ago when this process was
accomplished via regular U.S. mail. Now States offer driver's MVRs
electronically, and numerous companies sell a service to assist motor
carriers to obtain MVRs. FMCSA believes many motor carriers are already
obtaining MVRs electronically, generally before making an offer to hire
the driver. For this reason, this NPRM would not impose any significant
additional burden on motor carriers except those that are letting newly
hired drivers operate a CMV before verifying the driver holds a valid
CDL. There would be no change in the current 30 days allowed to obtain
a motor vehicle record for non-CDL drivers who must also provide a copy
of their medical examiner's certificate.
Under this proposed rule, motor carriers would no longer be
required to place a copy of a current medical examiner's certificate in
the DQ file for CDL drivers subject to part 391. Information about the
current medical certification status for those drivers would be on the
CDLIS MVR the motor carrier is already required to obtain and place in
the DQ file. However, the motor carrier would be required, under the
proposed rule, to obtain and file a copy of any medical exemption
granted to a CMV driver (both CDL and non-CDL). Carriers are already
required to obtain a
[[Page 66731]]
copy of an SPE certificate. (49 CFR 391.49(j)(1))
b. Costs. FMCSA believes the net cost impact on motor carriers
would at worst be neutral, and more likely is a modest cost saving.
Carriers would be relieved of obtaining or making a copy of the medical
examiner's certificate and placing a copy of it in the DQ file for CDL
drivers subject to part 391. This proposal would expand an existing
requirement for the motor carrier to obtain or make a copy of any
medical variance, e.g., Medical Exemption document or SPE certificate,
granted to a CMV driver and place it in the driver qualification file
for the small number of drivers with such a medical variance. However,
motor carriers would also be required to obtain the CDLIS MVR before
allowing CDL drivers to operate a CMV.
4. Potential Impacts on Drivers.
a. Privacy Rights. FMCSA does not believe the proposed rule would
have an adverse effect on drivers' privacy for the following reasons.
First, none of the driver's confidential medical information (i.e.
specific details from the ``long form'' or the actual medical records
maintained by medical examiners) would be placed on the CDLIS driver
record--the SDLA would post the FMCSA-specified status information
regarding whether the driver is currently medically certified, which
does not include confidential information. A status of not-qualified
does not violate any privacy right, as it does not provide any detail
as to the reason for being not-qualified. In other words, a status of
not-qualified could just as well mean the driver decided not to take a
physical examination because he or she is not currently working as a
CDL driver. Second, information about the issuance of medical variances
is already public. Information about the granting of any exemptions,
e.g., vision, diabetes, is published in the Federal Register (49 U.S.C.
31315(b)). Alternatively, if a driver has a medical examiner's
certificate based on having an SPE certificate, the medical examiner's
certificate has the box checked saying it is only valid when
accompanied by an SPE certificate. Thus, any enforcement personnel or
potential employer would or should know about the condition requiring
the driver to have in his or her possession an SPE certificate or a
legible copy whenever operating a CMV. (49 CFR 391.49(j)(1). Finally,
access to the data on the CDLIS driver record is restricted to only
FMCSA, States, motor carrier employers for authorized use and the
driver. (49 CFR 384.225(e)). Enforcement personnel accessing this
information via NLETS are similarly restricted to official use. The
Driver Privacy Protection Act (18 U.S.C. 2721-2725) provides additional
restrictions on access to the driver record. However, FMCSA is seeking
comments about whether there would be any issues under the Privacy Act
(5 U.S.C. 552a) regarding access to CDL drivers' medical examiner's
certificate information arising from the provisions set forth in this
proposal.
b. Impact if a Driver Is Found Operating a CMV with a Medical
Certification Status of ``Not-qualified'' or No CDL Privilege Because
of a Downgrade of the CDL.
This rulemaking proposal would require the appropriate medical
certification status information to be placed on the CDLIS driver
record for all CDL holders, and would remove the requirement for CDL
drivers subject to part 391 to carry the medical examiner's
certificate. However, the proposal would also establish that the
medical certification status information be made available to
enforcement personnel as well as to drivers and employing motor
carriers. This is expected to become an increasingly valuable
enforcement tool, particularly in conjunction with anticipated future
rulemakings dealing with driver physical qualifications, such as
establishment of the Congressionally-mandated National Registry of
Medical Examiners. Nonetheless, nothing in this proposed rule prevents
a CDL driver subject to the requirements of part 391 from retaining a
copy of the medical examiner's certificate for his or her own records,
particularly in the event an SDLA fails or delays in entering the
information onto the CDLIS driver record. All non-CDL drivers would
continue to provide a copy or original of the medical examiner's
certificate to their employing motor carrier, a requirement not changed
by this proposed rule.
This NPRM proposes a new requirement that a CDL driver subject to
part 391 would have his or her CDL downgraded within 60 days of the
medical certification status expiring, i.e., the status becoming ``not-
qualified.'' Under 49 CFR part 383 after such a downgrade, a driver
found operating a CMV in interstate commerce without a valid CDL, when
the regulations require the driver to hold one, could receive a traffic
offense citation for violating Sec. 383.51(c)(6). Thus the downgrade
proposed in this NPRM could lead to a traffic conviction requiring a
60-day CDL disqualification on the CDLIS driver record for the first
offense. This conviction would be retained and considered in any future
licensing action, including intrastate CDL eligibility.
This proposed downgrade within 60 days would provide safety
benefits by significantly enhancing incentives for drivers to comply
with the medical certification standards. Drivers could be placed out-
of-service as part of a roadside inspection or traffic enforcement
stop, if a driver is found operating a CMV in interstate commerce with
a downgraded CDL that resulted from the medical certification status
becoming not-qualified because the driver failed to obtain the required
new medical examiner's certificate. Currently, the driver could be
cited and possibly fined for operating a CMV without a valid medical
certification, but generally the driver would be allowed to continue to
drive. Additionally, unless this violation results in a carrier
compliance review or other enforcement action, it has little impact on
the motor carrier. (See 49 CFR 391.41(a)). By linking the medical
certification status to the eventual status of the CDL, this proposed
rule would provide greater enforcement tools to address driver
qualification issues.
If a driver's medical status becomes not-qualified, but the CDL has
not yet been downgraded, the driver can be cited under current Sec.
390.37 for not keeping his/her medical status current. In addition,
while not proposed in this NPRM, FMCSA has the option of adding a
similar, new disqualifying offense for a serious traffic violation
under Table 2 of 49 CFR 383.51(c). This disqualifying offense would be
applicable if a driver operates a commercial motor vehicle requiring a
CDL in interstate commerce during the proposed 60-day window of having
received a medical certification status of ``not-qualified,'' but the
CDL has not yet been downgraded. If such a disqualifying offense were
established, then any CDL driver operating in interstate commerce not
excepted from part 391 who does not have a current medical examiner's
certificate on file with their SDLA could receive a traffic citation
for this serious traffic violation. FMCSA seeks comments about whether
FMCSA should add such a disqualifying offense to Table 2 of Sec.
383.51(c) for operating a CMV without the required medical
certification.
c. Provision of Documentation to Motor Carrier for Medical
Variance. All drivers who operate CMVs in interstate commerce pursuant
to a medical variance, such as an Medical Exemption or SPE certificate,
would be required to provide their employing motor carrier with a copy
of the medical variance document. The employing motor carrier
[[Page 66732]]
would be required to place it in the DQ file.
d. Provision Requiring CDL Drivers to Provide Medical Certificate
to SDLA. Under the proposed rule, a CDL would not be issued, renewed,
upgraded or transferred by the SDLA to a driver subject to 49 CFR part
391 qualification requirements, unless the State has on record a
current medical examiner's certificate. Initially, drivers would not
need to obtain a new medical examiner's certificate. Beginning 3 years
after the effective date, drivers would be required to provide a copy
or an original, as determined by the SDLA, of either their existing
medical examiner's certificate or a new one, to their SDLA before any
licensing action, including a renewal. Drivers would also be required
to provide a copy or original of each new medical examiner's
certificate to their SDLA. The information from these certificates,
including their expiration dates, would be added to the CDLIS driver
record by the SDLA. If the driver has not provided a current medical
examiner's certificate within 5 years after the effective date of a
final rule on this subject, or the certification expires, the CDL
medical certification status would be marked as ``not-qualified,'' and
the SDLA would be required to initiate a downgrade of the driver's CDL.
The driver would be notified by the SDLA that the CDL would be
downgraded.
e. Number of Drivers Subject to the Proposed Process. The group of
CDL drivers that would be most impacted by this rulemaking would be
those not actively driving, are subject to 49 CFR part 391, but who are
retaining their CDL without maintaining their medical certification. To
estimate the number of possible drivers affected, FMCSA performed the
following analysis.
As of August of 2005, there were approximately 12.2 million CDL
index or pointer records in the CDLIS central site index. The Agency
estimates 10 percent of the CDLIS driver records associated with these
index pointers are inactive. Based on an analysis of the split of
inter- and intrastate drivers from the annual Drug and Alcohol Testing
survey conducted by FMCSA, the Agency estimates about 74 percent of the
estimated active 10.98 million CDLIS driver records are for interstate
drivers, or about 8.13 million. For purposes of this analysis, it is
assumed none of these are operating in excepted interstate commerce,
i.e., all of them are subject to part 391. If all of these CDL drivers,
who had self-certified they were qualified to operate in interstate
commerce, wish to retain their CDL, they would be required to present a
copy or original of a current medical examiner's certificate to their
SDLA, either at the time of the next issuance (as defined in 49 CFR
384.105(b)) of their CDL or when the medical certificate expires,
whichever occurs first. Thereafter, they would have to provide the
medical certificate every time it expired. Two years after the States
would be required to be in compliance with this proposal (no later than
5 years after the effective date of a final rule on this subject), all
of these drivers would not be allowed to continue operating CMVs in
interstate commerce unless their CDLIS driver record includes the
information that they have submitted a current medical examiner's
certificate, prepared by a medical examiner, as defined in 49 CFR
390.5, to their SDLA demonstrating they are physically qualified under
part 391.
FMCSA estimates from its annual Drug and Alcohol Testing survey
that 3.1 million CDL drivers of the estimated 8.13 million CDLs who
self certified they are subject to part 391, are ``actively'' driving
for a living. Therefore, the Agency estimates 5.03 million of these CDL
drivers who certified that part 391 applies to them are not actively
driving. The Agency further estimates that 2.26 million of these 5.03
million drivers would elect to obtain medical certification and retain
their CDLs, while the remaining 2.77 million would have their CDL
downgraded. This would leave a pool of 5.36 million medically certified
CDL drivers (2.26 million + 3.1 million). Refer to the separate
Regulatory Evaluation in the docket for this rulemaking for a more
detailed discussion of the number of drivers likely to be affected by
this proposal. (Note. This analysis does not include any attempt to
estimate the number of CDL drivers who operate in excepted service,
i.e., who operate in interstate commerce but are excepted from part 391
and do not need medical certification to retain their CDL.)
f. Impact of the New Code ``W'' on Drivers Domiciled in Canada,
Mexico, and the United States. Drivers of commercial motor vehicles who
are domiciled in and licensed by, Canada or Mexico are subject to the
requirements of U.S. law while operating a CMV in the United States.
(49 U.S.C. 31132(4), 31502(a) and 31301(2)). These drivers must meet
the FMCSA physical qualifications and must possess a license issued by
their country of domicile that the U.S. has recognized as comparable to
a U.S. CDL.
FMCSA previously determined that the Canadian Provinces and
Territories have medical and physical qualification requirements
comparable to those applicable in the United States, with certain
exceptions (49 CFR 391.41, note, as added by 67 FR 61818, October 2,
2002) The Canadian equivalent to CDLIS contains documentation of driver
physical qualification, although the program requirements vary by
Province and Territory.
FMCSA also determined that the Licencias Federales de Conductor
issued by the United Mexican States is itself evidence that the
operator has met physical qualification standards required by the
United States. (Commercial Driver's License Reciprocity with Mexico,
(57 FR. 31454, July 16, 1992).) Proof of compliance with the medical
certification requirements is recorded within the Mexican Licencias
Federales de Conductor information system, as well as marked on the
license document. Drivers must renew both their medical certification
and Licencia Federal together every 2 years.
FMCSA considers both licenses issued by Canadian Provinces and
Territories in conformity with the Canadian National Safety Code and
the Licencias Federales de Conductor issued by the United Mexican
States, to satisfy the CDL requirements of 49 CFR part 383 (49 CFR
383.23(b)(1), note 1) and to be compatible with the U.S. CDLs.
As indicated in the footnote to 49 CFR 391.41, Canada and the
United States have entered into a reciprocity agreement that Canadian
drivers who do not meet the physical qualification requirements
specified in the Canadian National Safety Code, but are issued a
Provincial or Territorial waiver/exemption, will be excluded from
operating a CMV in the United States. Similarly, U.S. CDL drivers
granted a medical variance will be excluded from operating a CMV in
Canada. At a technical level, it was jointly determined by AAMVA and
Canadian Council of Motor Transport Administrators (CCMTA) that a code
of ``W'' would be placed on the commercial driver's license document to
identify those drivers who are issued a waiver/exemption or variance to
exclude them from operating in the other country.
This NPRM proposes to establish a new restriction code by revising
section 383.95 to specify a new restriction code ``W'' to be placed on
the CDL document to identify U.S. CDL holders subject to part 391 who
have obtained a medical examiner's certificate with a medical variance
in order to operate CMVs in the United States. If implemented, this
restriction will allow U.S. enforcement
[[Page 66733]]
personnel to identify drivers who are required to carry the
documentation supporting the medical variance, and Canadian authorities
to identify U.S. CDL drivers who therefore are prohibited by Canadian
jurisdictions from operating a CMV in Canada. Similarly, implementation
of a ``W'' restriction on Canadian licenses would allow the United
States to identify Canadian drivers who do not meet U.S. physical
qualification standards.
The U.S. has not yet discussed with Mexico the proposed creation or
use of a ``W'' restriction on the CDLs issued in the United States.
Therefore, the Agency is unable to assess the potential impact this
restriction could have on U.S. drivers who intend to operate CMVs in
Mexico.
g. Costs. FMCSA estimates that the requirements set forth in this
NPRM would cost drivers a total of $3.22 million per year beginning in
the fourth year after the effective date of a final rule on the subject
and every year thereafter. For more detail on the cost issue, see
section F. ``Summary Cost Benefit Analyses,'' below in this NPRM, or
the more detailed stand alone Regulatory Evaluation document contained
in the docket.
D. Implementation Date
FMCSA proposes to begin enforcement of the requirements set forth
in this NPRM 3 years after the effective date of a final rule on the
subject. The Agency believes the standard 3-year phase-in period would
provide the States with sufficient time to pass required State
implementing legislation, to modify their information systems to begin
recording the medical examiner's certificate information onto the CDLIS
driver record, and to begin making that information available from the
CDLIS driver record. Also, the proposed 3-year phase-in period would
ensure employing motor carriers and drivers have an opportunity to
familiarize themselves with the new requirements and that CDL drivers
are prepared to provide a valid medical examiner's certificate to their
SDLA as required by this NPRM.
The Agency will also be working with the States to modernize CDLIS,
as required by section 4123 of SAFETEA-LU. The CDLIS modernization plan
will include a date by which all States must use the new version of
CDLIS. Both the CDLIS modernization effort and inclusion of the medical
examiner's certificate information on the CDLIS driver record will
require States to update their CDLIS computer programs. The Agency
requests comments about the importance of having the implementation
schedule for this rule coincide with the implementation date for CDLIS
modernization.
The Agency is seeking comments about how many States will require
passage of legislation to authorize them to carry out the proposals in
this rulemaking, and whether the proposed three-year implementation
period is sufficient.
E. Section-by-Section Explanation of Changes
Part 383
Conforming amendments. Throughout parts 383, 384, and 391 terms
used referring to a driver record or driver history have been revised
for clarity. The term ``CDLIS driver record'' refers to the electronic
record of driver information and history stored by the State-of-Record
as part of CDLIS. The Agency's use of the term ``motor vehicle record''
refers to the information provided to a driver or employer about the
status and history of a driver. The term ``CDLIS MVR'' refers to the
information provided to a driver or employer about the status and
history of a driver that holds a CDL.
Section 383.5. FMCSA proposes to add definitions for ``CDLIS driver
record'' and ``CDL downgrade.''
Section 383.71(a). FMCSA proposes to revise the certification
requirement in the CDL application process to clarify how applicants
should certify if they operate in interstate commerce, but are excepted
from part 391.
Section 383.71(g). FMCSA proposes to add a new requirement that
applicants who are subject to part 391 must begin providing their SDLA
an original or a copy (at the State's option) of each medical
examiner's certificate they obtain.
Section 383.73(a)(5). FMCSA proposes to have the SDLA enter on the
CDLIS driver record the certification made according to Sec.
383.71(a)(1) and, if the driver is required to have a medical
certificate, record the information from the certificate in the CDLIS
driver record.
Section 383.73(b)(6). FMCSA proposes to add a requirement for the
SDLA, when a driver applies for a license transfer, to verify whether
the driver is subject to part 391, and if so, whether the medical
certification status is designated as ``qualified'' before taking any
licensing action. To accommodate the period of time between the
implementation date and when all drivers are required to submit medical
certification information to the SDLA, FMCSA also proposes to allow
drivers to provide SDLAs with their existing medical examiner's
certificates. Those certificates must be issued with a date that is
prior to 3 years after the effective date of the final rule on this
subject, until the certificate expires, as evidence of current medical
certification.
Section 383.73(c)(5). FMCSA proposes to add the same requirement as
Sec. 383.73(b)(6) for the license renewal process.
Section 383.73(d)(3). FMCSA proposes to add the same requirement as
Sec. 383.73(b)(6) to the license upgrade process.
Section 383.73(j). FMCSA proposes to add a new CDLIS recordkeeping
requirement for medical certification status information. A number of
items displayed on the medical examiner's certificate would be recorded
on the CDLIS driver record. The medical certification status
information must be updated within 2 business days of receiving a new
medical examiner's certificate, or a current certification expiring. If
a driver's medical certification expires, the SDLA must initiate a
downgrade of the CDL. The SDLA must accept and record within 2 business
days on the CDLIS driver record any medical variance issued by FMCSA to
a driver.
Section 383.95. FMCSA proposes to add a second restriction and to
rename the section. The new restriction would be coded as ``W'' and
would indicate the driver has received a medical variance.
Part 384
Section 384.105. FMCSA proposes to add a definition for CDLIS Motor
Vehicle Record. The basic term of motor vehicle record was adopted from
the existing usage. FMCSA solicits comments on whether some other
descriptive title should be used instead, such as CDLIS driver history,
or CDLIS driver and employer report.
Section 384.107. The Agency would revise paragraph (b) to
incorporate by reference the most recent version of the CDLIS State
Procedures Manual as of the final rule.
Section 384.206(a). FMCSA proposes to revise this compliance
requirement to include performing the record checks specified in Sec.
383.73.
Section 384.206(b)(3). The Agency would revise Sec. 384.206(b) by
adding a third required action to the two existing ones. This change
would mean that a CDL for a driver subject to part 391 must be
downgraded if the medical certification expires and no new medical
examiner's certificate is provided.
Section 384.225. The Agency would revise all paragraphs under (e)
to refer
[[Page 66734]]
to the CDLIS driver record, and clarify in paragraphs (e)(3) and (4)
that drivers and motor carriers obtain this information according to
State procedures on the CDLIS MVR. The Agency would also add a new
paragraph (f) to require States to provide the medical certificate
information on the CDLIS, CDLIS MVR and CDL NLETS status and history
responses. The title of the section would be changed from ``Record of
violations'' to ``CDLIS driver recordkeeping'' to more accurately
describe its contents.
Section 384.231. The Agency would update the reference to the CDLIS
State Procedures manual to be to the most recent version incorporated
by reference into Sec. 384.107(b).
Section 384.234. The Agency would add a new compliance requirement
to the existing State requirements in part 384 to comply with the State
provisions specified in the proposed new Sec. 383.73(j).
Part 390
Section 390.5. FMCSA proposes to add a new definition for ``medical
variance'' as an inclusive term for all Federal programs dealing with
physical qualification, including exemptions, and skill performance
evaluation certificates. This definition does not cover waivers issued
under subpart B of part 381. These waivers are issued for short periods
of time and any waivers will be addressed through program documentation
and not the driver's licensing systems.
FMCSA also proposes to add a definition for ``motor vehicle
record.''
Part 391
Section 391.2. In Sec. 391.2, FMCSA proposes to change the section
name from ``General exemptions'' to ``General exceptions.'' This
proposed change would establish consistency with the term ``exception''
as used in Sec. 390.3(f) and to remove confusion with the different
meaning of the word ``exemption'' as used in 49 CFR 381, Subpart C and
49 CFR 391.62.
Section 391.23(m). FMCSA proposes to add a new paragraph (m) to
explicitly specify what the employer must do with regard to CDL drivers
subject to part 391 to comply with the long-existing requirement in
Sec. 391.41(a). This paragraph makes it explicit that substituting the
driver's CDLIS MVR for the medical examiner's certificate has an impact
on the timing of when the motor carrier must obtain and place the MVR
in the DQ file as part of the hiring process. All non-CDL drivers would
continue to be required to provide a copy or original of the medical
examiner's certificate to their employing motor carrier.
Section 391.41(a). The Agency proposes to amend Sec. 391.41(a) to
delete the existing exception reference to Sec. 391.67, and to add an
exception that CDL drivers subject to part 391 would be excluded from
the requirement to carry the medical examiner's certificate because
their current medical certification status information would be on the
electronic CDLIS driver record, and could be verified via CDLIS or
NLETS inquiries, and on the CDLIS MVR for drivers and employers. Again,
all non-CDL drivers would continue to be required to provide a copy or
original of the medical examiner's certificate to their employing motor
carrier.
Section 391.43(g). The Agency proposes to amend Sec. 391.43(g) to
remove the requirement for the medical examiner to provide a copy of
the medical examiner's certificate to the employing motor carrier, and
to add a requirement that the examiner should retain a copy of all
certificates for the duration of the certificate.
Section 391.51. FMCSA proposes to update the requirements for what
must be contained in the driver qualification (DQ) file regarding
medical certification for CDL drivers subject to part 391. These CDL
drivers would no longer need to carry a medical examiner's certificate
because the current status of their certification would be
electronically available from CDLIS. Employers would satisfy the
documentation requirement by obtaining the copy of the driver's CDLIS
MVR they are already required to obtain from the SDLA and to place it
in the DQ file.
F. Summary Cost Benefit Analysis
The regulatory evaluation describes and evaluates the proposal
contained in this NPRM, as well as two other alternatives that were
considered by the Agency. No changes are proposed in the physical
qualification standards or medical advisory criteria for determining
whether a driver may be medically certified as physically qualified to
operate a CMV. A number of provisions are proposed to modify the
procedures used to document a driver's current medical certification
status as a condition for obtaining or retaining a CDL, and to enable
motor carriers and enforcement personnel to verify the driver's medical
certification status.
Currently, CDL drivers subject to part 391 must certify that they
meet the driver qualifications in 49 CFR part 391, in order to operate
CMVs in interstate commerce. These drivers are required to carry a
current medical examiner's certificate while driving, and motor
carriers must keep a copy of the medical examiner's certificates of all
such drivers they employ on file. The purpose of these certificates is
to prove that the driver is physically qualified to operate a CMV in
interstate commerce. Under current regulations, no information about
the driver's self-certification regarding applicability of part 391 or
any medical certification status information is required to be placed
on the CDLIS driver record, and the driver does not need to show the
medical examiner's certificate to State officials when applying for,
renewing, upgrading, or transferring a CDL in most States.
Alternative 1
This alternative would require medical certification status to be
listed on the physical driver's license document of any driver holding
a CDL who intends to operate a CMV in interstate commerce. In
conducting this analysis, the Agency has assumed that in order to
implement this alternative, the expiration periods for CDLs (average
period of 5 years) and medical examiner's certificates (maximum period
of 2 years) would need to be synchronized. While it is possible that
States could list two separate expirations on a license, one for the
license renewal and one for medical certification, SDLAs would still
have to issue a new CDL each time the medical certification expired. As
a result, listing two dates would not be likely to reduce processing
costs. This alternative would require all States to renew both CDLs and
medical certifications every time a medical certification was issued,
and would therefore require them to process a much higher volume of
CDLs. Drivers would also have to pay CDL renewal fees much more
frequently. Currently, CDL renewal fees average $45 per renewal.
This alternative, like the others listed below, would also require
that States: (1) Receive from the driver a medical examiner's
certificate, and (2) post specified information from it on the
electronic CDLIS driver record prior to issuing, renewing, upgrading or
transferring that driver's CDL. Implementing this proposal would
require SDLAs to modify their driver licensing computer systems to
accommodate this new information. In addition, States would need to
establish methods for receiving medical examiner's certificates from
drivers either via mail or fax, or by having drivers present the
medical examiner's certificate in-person at a SDLA office.
[[Page 66735]]
Table 1 below provides an itemized list by year of the costs
incurred under this alternative. Costs in years 6 and later are
identical to those for year 5 and are aggregated in the table. The net
present value of the costs of this alternative over 10 years, assuming
a 7 percent discount rate, is $526 million.
Table 1.--Total Cost of Alternative 1
[Thousands of dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Year 1 Year 2 Year 3 Year 4 Year 5 Years 6-10 Total
--------------------------------------------------------------------------------------------------------------------------------------------------------
Licensing Costs *............................................ $0 $0 $0 $97,000 $97,000 $485,000 $679,000
Mailing Costs *.............................................. 0 0 0 4,500 4,500 22,500 31,500
Planning and Design **....................................... 1,785 1,785 0 0 0 0 3,570
State Compliance Reviews ***................................. 0 0 0 1,700 1,700 8,500 11,900
State Training Costs **...................................... 425 425 425 0 0 0 1,275
State Computer Systems Development **........................ 4,250 4,250 4,250 0 0 0 12,750
State Computer Operations **................................. 0 0 0 510 510 2,550 3,570
Data Entry Costs **.......................................... 0 0 0 4,400 4,400 22,000 30,800
CDLIS Testing Costs **....................................... 250 250 250 0 0 0 750
======================================================================
Total costs.................................................. 6,710 6,710 4,925 108,110 108,110 540,550 775,115
Total Costs (7 percent discount rate)........................ 6,710 6,271 4,302 88,250 82,477 338,170 526,180
Total Costs (3 percent discount rate)........................ 6,710 6,515 4,642 98,936 96,054 439,901 652,758
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Cost to be borne by drivers.
** Cost to be borne by States.
*** Cost to be borne by Federal Government.
Alternative 2
Under this alternative, States would be responsible for receiving,
recording and providing data from a medical examiner's certificate
received from the driver prior to the State issuing, renewing, updating
or transferring a CDL for a driver who operates in interstate commerce.
The State would be responsible for including the medical certification
status information on all reports provided to persons authorized to
access information from the CDLIS driver record. This includes those
using CDLIS and NLETS to make the inquiry, and drivers and employing
motor carrier requesting a CDLIS MVR. The SDLA would also be required
to downgrade a CDL if the medical certification expires. It is
anticipated States would prefer mail delivery of certifications from
drivers rather than in-person delivery, because this is expected to be
less costly to both States and drivers. The SDLA would then record the
specified certificate information on the electronic CDLIS driver
record. Implementing this change would enable enforcement personnel to
gain electronic access to verify CDL drivers have a medical
certification status of ``qualified'' during roadside inspections or
traffic stops.
The changes proposed under this alternative would ensure that all
CDL drivers operating in interstate commerce who are not excepted from
the driver qualification requirements of part 391 would have a medical
certification status of ``qualified'' prior to the State issuing,
renewing, upgrading or transferring a CDL. In addition, if a driver
fails to obtain a new medical examiner's certificate before the old one
expires, the State would be required to: (1) Update the status of that
driver's medical certification status to ``not-qualified,'' and (2)
begin taking action to downgrade that driver's commercial driving
privileges unless a new, valid medical examiner's certificate is
obtained by the driver. Table 2 below presents an itemized list of the
costs associated with this alternative. The 10-year costs of this
alternative are $59 million when discounted at 7 percent.
Table 2.--Total Cost of Alternative 2
[Thousands of dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Year 1 Year 2 Year 3 Year 4 Year 5 Years 6-10 Total
--------------------------------------------------------------------------------------------------------------------------------------------------------
Planning and Design**........................................ $1,785 $1,785 $0 $0 $0 $0 $3,570
State Compliance Reviews***.................................. 0 0 0 1,700 1,700 8,500 11,900
State Computer Systems Development**......................... 4,250 4,250 4,250 0 0 0 12,750
State Computer Operations**.................................. 0 0 0 510 510 2,550 3,570
Training**................................................... 425 425 425 0 0 0 1,275
SDLA Data Entry Extra Time/Staffing**........................ 0 0 0 2,200 2,200 11,000 15,400
CDLIS Testing Costs**........................................ 250 250 250 0 0 0 750
Mailing Costs*............................................... 0 0 0 4,500 4,500 22,500 31,500
------------------------------------------------------------------------------------------
Total.................................................... 6,710 6,710 4,925 8,910 8,910 44,550 80,715
======================================================================
Present Value (Disc. at 7%).................................. 6,710 6,271 4,302 7,273 6,797 27,871 59,224
Present Value (Disc. at 3%).................................. 6,710 6,515 4,642 8,154 7,916 36,255 70,192
--------------------------------------------------------------------------------------------------------------------------------------------------------
* Cost to be borne by drivers.
** Cost to be borne by States.
*** Cost to be borne by Federal Government.
[[Page 66736]]
Alternative 3
This alternative is similar to Alternative 2, with the exception
that FMCSA would receive medical examiner's certificates through the
mail or facsimile transmission from drivers, rather than having drivers
submit the form directly to their licensing State. FMCSA would then
enter the data and electronically route it directly to the licensing
State as a CDLIS transaction, so that the information would be recorded
on the driver's electronic CDLIS driver record.
This alternative would require States to develop the capacity to
receive medical certification information on drivers electronically.
State CDL computer systems already have a similar capacity to receive
traffic convictions that occur in other States, transmitted
electronically from these States, so developing this capacity is
possible. This alternative would also require FMCSA to develop the
recordkeeping capacity to receive and record medical examiner's
certificates for all CDL licensed interstate drivers. Table 3 below
presents the costs associated with this alternative. The net present
value of the total cost of this proposed rule after 10 years is $63
million when discounted at 7 percent.
Table 3.--Total Cost of Alternative 3
[Thousands of dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Year 1 Year 2 Year 3 Year 4 Year 5 Years 6-10 Total
--------------------------------------------------------------------------------------------------------------------------------------------------------
Planning and Design **....................................... $1,785 $1,785 $0 $0 $0 $0 $3,570
State Compliance Reviews ***................................. 0 0 0 1,700 1,700 8,500 11,900
State Computer Systems Development **........................ 5,500 5,500 5,500 0 0 0 16,500
State Computer Operations **................................. 0 0 0 510 510 2,550 3,570
Federal Computer Start Up ***................................ 150 125 0 0 0 0 275
Federal Computer Maintenance................................. 0 0 0 12 12 60 84
Training **.................................................. 425 425 425 0 0 0 1,275
Data Entry Extra Time / Staffing ***......................... 0 0 0 2,200 2,200 11,000 15,400
Mailing Costs **............................................. 0 0 0 4,500 4,500 22,500 31,500
CDLIS Testing Costs **................................... 300 300 300 0 0 0 900
------------------------------------------------------------------------------------------
Total........................................................ 8,160 8,135 6,225 8,922 8,922 44,610 84,974
======================================================================
Present Value (Disc. At 7%).................................. 8,160 7,603 5,437 7,283 6,807 27,908 63,198
Present Value (Disc. At 3%).................................. 8,160 7,898 5,868 8,165 7,927 36,304 74,322
--------------------------------------------------------------------------------------------------------------------------------------------------------
*Cost to be borne by driver.
**Cost to be borne by State.
***Cost to be borne by Federal Government.
Alternative 2 is the least expensive of the 3 alternatives,
although Alternative 3 is fairly cost competitive. Alternative 1 is by
far the most expensive of the three alternatives. Its higher costs are
due mainly to the need to synchronize the CDL renewal and medical
certification renewal periods. Alternative 1 would entail a much higher
volume of CDL renewals at SDLAs and, as a result, States would incur
more costs and drivers would have to pay renewal fees much more
frequently.
The costs to the various entities under Alternative 2 are
summarized in Table 4 below. These costs are undiscounted. States would
bear costs in the range of $4-$6.7 million per year under this
alternative for the first three years, and drivers would bear costs of
slightly more than $3 million per year once they begin submitting their
medical certificates to the States after year 3.
Table 4.--Summary of Costs to Various Drivers/Entities, Alternative 2 Undiscounted
[Thousands of dollars]
----------------------------------------------------------------------------------------------------------------
Year 1 Year 2 Year 3 Later years
----------------------------------------------------------------------------------------------------------------
State Costs............................................. $6,710 $6,710 $4,925 $3,998
Driver Costs............................................ 0 0 0 3,212
Federal Costs........................................... 0 0 0 1,700
-------------------------------------------------------
Total............................................... ............ ............ ............ 8,910
----------------------------------------------------------------------------------------------------------------
Benefits
The Agency believes all three alternatives would offer comparable
safety benefits. These benefits would result from preventing a limited
percentage of physically not-qualified drivers from obtaining a CDL to
operate CMVs in interstate commerce. FMCSA believes such not-qualified
drivers are more likely to be involved in crashes than those who are
qualified. The Agency estimates the proposed changes could result in
the prevention of as many as 10 percent of the crashes attributable to
physically not-qualified drivers. These benefits are expected to stem
from a deterrent effect because the drivers would be providing their
medical examiner's certificate to a government official, rather than a
motor carrier, and may be less likely to engage in forgery. In
addition, having easy electronic access to tracking information from
the driver's medical certificate should facilitate any desired
investigations of fraud in the medical certification system at the
State and Federal level, and is likely to assist in exposing drivers
that engage in untruthful statements about their medical certification
status. Thus, certain types of fraud might be deterred.
This proposed rule would also provide safety benefits by providing
drivers with a greater incentive to renew their medical certifications
on time.
[[Page 66737]]
Currently, there are only minor penalties for driving with an expired
medical certification. In addition, this violation is only caught if
the driver is targeted for a roadside inspection or stopped for
violating traffic laws. Since penalties are so light and there is a
good probability of escaping detection, many drivers put off renewing
their medical certifications until well after their old ones have
expired. Once the medical certification becomes part of the CDLIS
driver record, detection of expired medical certifications will become
automated. In addition, States would have to send the drivers notice
that action is being taken to downgrade their CDL unless a new medical
certificate is submitted. As a result of this enhanced enforcement,
drivers are more likely to renew their medical certifications in a
timely manner.
FMCSA believes that this more timely renewal by CDL drivers of
medical certifications is likely to provide enhanced safety benefits
for the entire motor carrier industry. During the 2-year renewal period
between medical examinations some percentage of drivers will develop
physical problems that make them physically unqualified to drive. For
instance, a driver may have experienced a decline in eyesight,
developed high blood pressure, kidney problems, or heart problems. If
these drivers put off obtaining a new medical examination, they would
remain an increased safety risk. However, if they are medically
examined on schedule, the medical problems that have developed in the
interim can be discovered and treated effectively. Effective treatment
of the physical problem would reduce the safety risk the driver poses,
and hence will yield safety benefits to the public in the form of fewer
crashes involving physically unqualified drivers. The Agency
acknowledges the fact that the level of the safety benefits that would
accrue from the proposed changes in this NPRM are to some extent
uncertain, and therefore has conducted a sensitivity analysis using two
different levels of assumed safety benefits.
If this proposed rule resulted in the avoidance of 10 percent of
the crashes attributable to physically unqualified drivers, it would
prevent approximately 268 crashes per year. The Agency estimates that
the average cost of a truck or bus crash with a CDL driver is $69,439.
Avoiding 268 crashes would therefore result in approximately $18.6
million in annual undiscounted crash avoidance benefits. At this
possible level of benefit, Alternative 2 would be cost beneficial, with
an estimated 10-year net benefit of $20.7 million, assuming a 7 percent
discount rate. Alternative 2 would also be cost beneficial if it
resulted in avoiding only 4 fatal truck or bus crashes per year. These
figures are summarized in Table 5 below. Alternative 3 would also be
cost beneficial at this level of crash avoidance, with a slightly lower
total net benefit of $16.8 million. Alternative 1 would not be cost-
beneficial at this level of benefit.
Table 5.--10-Year Benefit Cost Comparison--All Crashes 7 Percent Discount Rate
[Thousands of dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Year 1 Year 2 Year 3 Year 4 Year 5 Years 6-10 Total
--------------------------------------------------------------------------------------------------------------------------------------------------------
Discounted Crash Avoidance Benefits.......................... $0 $0 $0 $7,596 $14,197 $58,211 $80,004
Discounted Total Costs....................................... 6,710 6,271 4,302 7,273 6,797 27,871 59,224
Discounted Net Benefits...................................... -6,710 -6,271 -4,302 322 7,400 30,341 20,780
--------------------------------------------------------------------------------------------------------------------------------------------------------
An alternative benefit-cost comparison for Alternative 2 based on
an assumption of only a 5 percent reduction in crashes attributable to
preventing physically not-qualified drivers from obtaining a CDL to
operate CMVs is presented in Table 6 below. The proposed rule would not
be cost beneficial at this level of crash prevention. The net present
value of net costs under this level of benefits is $19 million. At this
level of benefit, none of the alternatives would be cost beneficial.
Were this proposed rule to result in no safety benefits, its total 10-
year cost would be $59 million.
Table 6.--10-Year Benefit Cost Comparison, Alternative 2 with Reduced Crash Avoidance 7 Percent Discount Rate
[Thousands of dollars]
--------------------------------------------------------------------------------------------------------------------------------------------------------
Year 1 Year 2 Year 3 Year 4 Year 5 Years 6-10 Total
--------------------------------------------------------------------------------------------------------------------------------------------------------
Discounted Crash Avoidance Benefits.......................... $0 $0 $0 $3,798 $7,099 $29,106 $40,003
Discounted Total Costs....................................... 6,710 6,271 4,302 7,273 6,797 27,871 59,224
Discounted Net Benefits...................................... -6,710 -6,271 -4,302 -3,475 301 1,235 -19,222
--------------------------------------------------------------------------------------------------------------------------------------------------------
Because of the speculative nature of the benefits, it is possible
that none of the Alternatives is cost beneficial under the terms of
this proposal. This proposal implements the congressional mandate in
section 215 of MCSIA. FMCSA anticipates it would also implement the
National Registry of Medical Examiners as required by SAFETEA-LU, which
the Agency believes could make further improvements in the medical
certification program. The proposed requirements set forth in this NPRM
are an important first step, and the Agency is separately considering
additional changes to improve the medical certification processes in
the future. The current changes proposed here are critical precursors
for delivering electronic verification of improved medical
certification information to State driver licensing agencies and
roadside and traffic enforcement personnel as part of their
programmatic processes. The FMCSA is also hopeful that substantial
information quality improvements would result from the anticipated
future rulemakings in the medical certification arena. FMCSA
anticipates the combination of this proposed rule and future actions
involving the medical certification program would achieve substantial
safety benefits to the public. A full description of how these costs
and benefits estimates were developed is in
[[Page 66738]]
the Regulatory Evaluation in the docket of the rulemaking)
G. Rulemaking Analyses
Executive Order 12866 (Regulatory Planning and Review) and DOT
Regulatory Policies and Procedures
FMCSA determined this proposed rulemaking is a significant
regulatory action within the meaning of Executive Order 12866, and is
significant within the meaning of Department of Transportation
regulatory policies and procedures. The NPRM is significant because of
the level of congressional and public interest in the proposed rule.
The NPRM has been reviewed by the Office of the Secretary and the
Office of Management and Budget (OMB).
This rulemaking would require States to verify that CDL holders who
are subject to the physical qualification requirements under 49 CFR
part 391 have obtained a medical examiner's certificate issued by a
medical examiner, or certify that they are either operating entirely in
excepted interstate commerce or entirely in intrastate commerce. The
States would be required to enter either: (1) The information from the
medical examiner's certificate, or (2) the information from the CDL
application that the driver claimed exempt status or plans to operate
entirely intrastate, onto the CDLIS driver record to be available to
Federal and State enforcement agencies via CDLIS or NLETS inquiries and
to drivers and employers on the CDLIS MVR.
The development costs the States would incur to implement this
proposed rule include the cost to modify each State's information
systems to enable them to record which certification the CDL driver
made, and for those so required, information from the medical
examiner's certificate to verify the driver's physical qualification.
Operational costs to States include hiring and maintaining sufficient
staff to receive these certificates from interstate CDL drivers at
least every 2 years (in some cases more often), and to perform data
entry functions to record all information from the paper medical
examiner's certificates. State costs also include a requirement to
downgrade the driver's CDL and to notify the driver of the planned
downgrade, as well as updating the programs that provide the following
responses: CDLIS, CDLIS equivalent for NLETS and CDLIS MVR status and
history to users authorized in 49 CFR 384.225(e) to include specified
medical certification status information. More details about these
requirements are discussed under the section titled, ``Executive Order
13132 (Federalism),'' below.
Regulatory Flexibility Act
The Regulatory Flexibility Act requires Federal Agencies to take
small businesses' particular concerns into account when developing,
writing, publicizing, promulgating and enforcing regulations. To
achieve this goal, the Act requires that agencies detail how they have
met these concerns, by including a Regulatory Flexibility Analysis
(RFA). An initial RFA, which accompanies an NPRM, must include the
following five elements:
(1) A description of the reasons why action by the Agency is being
considered.
The Agency has identified numerous instances in which drivers who
are physically unqualified or have failed to be medically examined have
obtained CDLs and operated CMVs in violation of Federal regulations.
The Agency believes, and research suggests,\4\ that physically
unqualified drivers are significantly more likely to be involved in
motor vehicle crashes. The continued operation of CMVs by physically
unqualified drivers therefore poses a significant risk to the health
and safety of the general public. FMCSA believes that the changes being
proposed here would, if implemented, reduce the number of large truck
crashes that occur, and the losses in property, health, and lives that
are associated with them.
---------------------------------------------------------------------------
\4\ See for instance: Ogden, E.J.D. and Moskowitz, H. ``Effects
of Alcohol and Other Drugs on Driver Performance.'' Traffic Injury
Prevention. 5:185-198. 2004.
J. Terran-Santos, M.D., A. Jimenez-Gomez, M.D., J. Cordero-
Guevara, M.D., and the Cooperative Group Burgos-Santander. 1999.
``The Association Between Sleep Apnea and the Risk of Traffic
Accidents.'' New England Journal of Medicine. 340:11. pp. 847-851.
---------------------------------------------------------------------------
(2) A succinct statement of the objectives of, and legal basis for,
the proposed rule.
The objectives of the proposed rule are to inhibit physically
unqualified drivers from falsely certifying they are qualified or
submitting fraudulent medical examiner's certificates, and thus reduce
the number of physically unqualified drivers who are obtaining CDLs and
operating CMVs in interstate commerce in violation of Federal
regulations. This proposed rule would also bring the CDL process into
compliance with the requirements of section 215 of MCSIA, that requires
FMCSA to initiate a rulemaking to provide for a Federal medical
qualification certificate to be made part of the CDL. The changes being
proposed here would bring the Agency into compliance with that mandate.
(3) A description of and, where feasible, an estimate of the number
of small entities to which the proposed rule would apply.
The latest estimates from the Agency's MCMIS database (February
2006) indicate a total of approximately 685,000 interstate motor
carriers. However, FMCSA analysts believe the number of truly
``active'' motor carriers (i.e., those currently moving freight or
passengers, operating under their own authority, and with required
filings on record with FMCSA) is probably less than 500,000. For this
analysis, FMCSA used the estimate of 475,500, which is based on
research conducted in calendar year 2005. This number includes both
for-hire and private interstate carriers. For this analysis, the Agency
assumes that 75 percent of existing motor carriers are defined as small
entities, since the Economic Census data and conversations with trade
associations both indicate that approximately 75 percent of motor
carriers qualify as small businesses. Therefore, of the 475,500 current
motor carriers in MCMIS, approximately 356,625 are considered small
entities and this proposed rule would apply to all that use CDL drivers
operating in interstate commerce.
The changes being considered here would slightly reduce the
paperwork and documentation requirements on employing motor carriers.
Motor carriers are currently required to obtain a copy of the medical
certificate from each driver they hire prior to letting that driver
operate a CMV in interstate commerce. Motor carriers are also required
to obtain from the drivers' SDLAs the MVR for all drivers they employ.
This proposed rule change would enable motor carriers to get both the
medical examiner's certificate and MVR from the licensing SDLA with one
transaction. This proposed change would therefore reduce the current
reporting and recordkeeping requirements for all motor carriers.
(4) A description of the proposed reporting, recordkeeping, and
other compliance requirements of the proposed rule, including an
estimate of the classes of small entities which would be subject to the
requirements and the type of professional skills necessary for
preparation of the report or record.
These proposed rules would change the source from which motor
carriers gather medical certification status for CDL drivers operating
in interstate commerce. Currently, drivers provide an original or copy
of the medical
[[Page 66739]]
examiner's certificates to motor carriers. If this proposed rule were
to go into effect, motor carriers would instead obtain driver medical
certification status information for interstate CDL drivers from the
driver's licensing SDLA, as part of the driver's MVR that the motor
carrier must already collect when hiring a new driver. This NPRM would
also reduce recordkeeping requirements for those drivers who must
comply with the proposed requirements because they would no longer be
required to carry a copy of their medical examiner's certificate with
them while driving a CMV. However, driver reporting requirements would
be increased very slightly--most interstate CDL drivers would need to
mail a copy of their medical examiner's certificates to their SDLA each
time they receive a new certificate rather than provide their current
employing motor carrier with a copy.
(5) An identification, to the extent practicable, of all Federal
rules which may duplicate, overlap, or conflict with the proposed rule.
This proposed rule would make information from the medical
certificate a part of the commercial driver's license. FMCSA is not
aware of any other regulations which would duplicate, overlap, or
conflict with the proposed rule.
The entire Regulatory Flexibility analysis is available in the
docket for this proposal. FMCSA has preliminarily determined that this
proposed rule would not have a significant economic impact on a
substantial number of small entities.
FMCSA seeks comments on the Regulatory Flexibility analysis set
forth in this NPRM.
Executive Order 12988 (Civil Justice Reform)
This proposed action would meet applicable standards in sections
3(a) and 3(b)(2) of Executive Order 12988, Civil Justice Reform, to
minimize litigation, eliminate ambiguity, and reduce burden.
Executive Order 13045 (Protection of Children)
FMCSA analyzed this proposed action under Executive Order 13045,
Protection of Children from Environmental Health Risks and Safety
Risks. FMCSA determined preliminarily that this rulemaking would not
concern an environmental risk to health or safety that may
disproportionately affect children.
Executive Order 12630 (Taking of Private Property)
This proposed rulemaking would not involve taking of private
property or otherwise have taking implications under Executive Order
12630, Governmental Actions and Interference with Constitutionally
Protected Property Rights.
Executive Order 13132 (Federalism)
This proposed action was analyzed in accordance with the principles
and criteria contained in Executive Order 13132 (64 FR 43255, August
10, 1999), which requires agencies to develop ``an accountable process
to ensure meaningful and timely input by State and local government
officials in the development of regulatory policies that have
Federalism implications.'' Policies that have Federalism implications
are defined in the Order to include regulations that have ``substantial
direct effects on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government.'' Under
Executive Order 13132, Federal agencies may not issue a regulation that
has Federalism implications, that imposes substantial direct costs, and
that is not required by statute unless the Federal Government provides
the funds necessary to pay the direct compliance costs incurred by
State and local governments or the Agency consults with State and local
officials early in the process of developing the proposed regulation.
Also, Federal agencies may not issue a regulation that has Federalism
implications and that preempts State law unless the Agency consults
with local government officials early in the process of developing the
proposed regulation.
If FMCSA believes it complies by having consulted with the States,
Executive Order 13132 requires FMCSA to provide to OMB in a separately
identified section of the preamble to the rulemaking a ``Federalism
Summary Impact Statement (FSIS).'' The FSIS must include: (1) A
description of the extent of FMCSA's prior consultation with State and
local government officials; (2) a summary of the nature of their
concerns; (3) the Agency's position supporting the need to issue the
regulation; and (4) a statement of the extent to which the concerns of
State and local government officials have been met. Also, when FMCSA
transmits a draft final rule with Federalism implications to OMB for
review pursuant to Executive Order 12866, FMCSA must include a
certification from the Agency's Federalism official stating that FMCSA
has met the requirements of Executive Order 13132 in a meaningful and
timely manner.
Nothing in this proposal would directly preempt any State law or
regulation. However, FMCSA believes this proposed action has Federalism
implications because it would impose new direct operational costs on
States, which would no longer be funded by FMCSA beginning 3 years
after implementation, and limit State policymaking discretion if the
State chooses to issue CDLs in compliance with the proposed revisions.
Thus, the requirements of section 6 of the Executive Order regarding
consultation would apply to this proposed rule. FMCSA will consult with
State officials, including elected officials, on this proposal. In
addition, FMCSA requests comments to the docket from elected State
officials regarding the proposals in this NPRM.
Preliminary Federalism Summary Impact Statement (FSIS)
Over the years, State officials have been consulted on a variety of
possible approaches for addressing the issue of including the medical
certification information with the CDL. Alternative models for how the
1999 congressional mandate could be implemented were prepared and
discussed with the American Association of Motor Vehicle Administrators
(AAMVA) which sought additional feedback from some of its members
regarding the models. AAMVA provided a document of their members'
comments on those models, which is included in the docket. Most
recently, FMCSA sent a letter to the States through the National
Governors' Association advising them this proposed rule would be
published this fall proposing requirements for the States to make
changes to their CDL process and CDLIS implementations. A copy of the
letter is included in the docket for this rulemaking.
In addition to consultation, State and local officials have had the
opportunity to provide official comments on this proposal. An ANPRM on
this subject was published July 15, 1994 (59 FR 36338). Comments are in
the docket, as is a summary of the comments prepared by FMCSA. An
Advisory Committee was convened for a negotiated rulemaking. Materials
from that Committee are in the docket.
Summary of the Nature of State and Local Government Officials'
Concerns. States have consistently expressed concern about what
resources would be necessary to achieve compliance with whatever
alternative is proposed as a
[[Page 66740]]
regulation. This NPRM would require States to obtain a medical
examiner's certificate from the driver and post specified current
medical certification status information on the CDLIS driver record.
States would also be required to check the driver's medical
certification status: (1) Prior to the CDL issuance, renewal, transfer
and upgrade processes; (2) during the licensing period to detect
expiration of the medical certification; and (3) as part of roadside
and traffic enforcement activities. If the medical certification
expires, the State would be required to downgrade the CDL and notify
the driver that his/her CDL would be downgraded. To facilitate
gathering information about possible impacts on States, FMCSA
previously prepared draft concept models. These models were based in
part on the work of the previous Committee and the public comments
received in response to the ANPRM. Those draft models were presented to
staff members of the AAMVA on June 17, 2003, for feedback about the
feasibility of the models from a technical standpoint, potential costs
with regard to modifications of State information systems necessary to
implement various possible requirements, and preferred approach.
The first model was based on using the medical examiner's
certificate paper approach developed and recommended by the Committee.
That model was expanded to include State capability for identifying
problems and trends associated with medical certification, e.g., a
driver passing a medical examination after recently failing an
examination conducted by a different examiner (possible ``medical
examiner shopping''). That capability is not included in this NPRM. The
second model was premised on a more technology-based approach, which
included processes to monitor medical examiners' performance (e.g.,
certifying individuals as meeting the physical qualification standards
when, in fact, such individuals do not meet the requirements). A copy
of the two models provided to AAMVA, and the feedback received from
AAMVA, is included in the rulemaking docket. FMCSA seeks comments from
States and other interested parties regarding the impacts the Agency
assessed previously in its draft concept models for this proposed rule.
An alternative FMCSA discussed with the States as part of the
negotiated rulemaking for more explicitly addressing whether a driver
is physically qualified within the CDL program was to require States to
obtain, review, and approve the medical examination report (long form.)
The States opposed that proposal.
Another alternative examined in the Regulatory Impact Analysis for
this proposal was to make the medical examiner's certificate and the
CDL the same document and to require the driver to obtain a new CDL
each time the driver is reexamined by a medical examiner. FMCSA
determined that the costs of that approach would be extremely high
because the medical examination schedule (maximum duration of 2 years)
is dramatically shorter than the current CDL renewal cycle (on average,
every 5 years). The approximate 5-year CDL renewal cycle would need to
be changed to require drivers to renew their CDL, on average, much more
often than every 2 years.
Currently, 49 CFR 391.45 requires that all drivers who operate CMVs
in interstate commerce must be medically examined and certified as
physically qualified at least once every 2 years. Section 391.45(c)
essentially requires a driver to be medically reexamined at any time an
employer is concerned the driver's abilities to perform his/her usual
duties may be impaired. FMCSA guidance to medical examiners says
drivers should be given less than a 2-year certification if they have
medical conditions that need more frequent monitoring. The medical
exemptions for vision and diabetes granted by FMCSA under 49 CFR part
381 require annual reexamination and recertification. It is documented
in a report available from the American Trucking Research Institute
that there is a large turnover in employment among drivers.\5\ Each
time a driver changes employers, the new employer has the opportunity,
as a condition of employment, to require a new medical examination, and
a number of larger carriers do so. Because of these reasons, FMCSA
estimates that at least 20 percent of the drivers granted a 2-year
medical examiner's certificate are required to obtain at least one
additional certificate during that 2-year period.
---------------------------------------------------------------------------
\5\ ``Empty Seats and Musical Chairs; Critical Success Factors
in Truck Driver Retention'', Chapter III, prepared by the Gallup
Organization for the American Trucking Associations (ATA)
Foundation, October 1997. A copy of this report is available online
at http://www.atri-online.org/research/safety/[fxsp0]images/
Musical--Chairspdf.
---------------------------------------------------------------------------
Another alternative suggested by the States as part of the
negotiated rulemaking, was that, as part of the requirement for each
driver to submit his/her medical examiner's certificate to the State,
the State would only record specified information from it on the CDLIS
driver record, and make no other changes to the existing licensing
processes. This alternative is potentially the least intrusive on
existing CDL procedures used by the States, and is the one proposed in
this NPRM.
This NPRM would require the driver to maintain a valid medical
certification status on his/her CDLIS driver record. Drivers would
accomplish this by providing the SDLA with a current medical examiner's
certificate documenting current medical certification status before the
SDLA issues, renews, upgrades, or transfers a CDL, and every time the
certificate expires. The SDLA would record the medical certification
status information on the CDLIS driver record within 2 business days of
receiving it. If the medical certification expires, the State would be
required to downgrade the driver's CDL.
The States would be required to notify the driver of the impending
CDL downgrade as part of the process. This would be an incremental
addition to existing driver notification systems operated by all
States, but would increase the number of notifications they would send
out. However, because CDL drivers are only a small percentage of the
total number of CMV drivers, this should be a relatively small
percentage increase in the volume of driver notifications required of
States. This NPRM also proposes a revised standard for how employers
and enforcement personnel would verify a driver's current medical
certification status as part of their responsibilities.
FMCSA Position Supporting Need to Issue this Regulation. This
proposed requirement is congressionally-mandated by section 215 of
MCSIA, which requires FMCSA to initiate rulemaking to provide for a
medical qualification certificate to be made a part of the commercial
driver's license program. This requirement is national in scope,
requiring regulation of an aspect of safety for drivers engaged in
interstate commerce. This proposal would establish a requirement for
States to obtain a medical examiner's certificate from the CDL driver
and record the information from it within 2 business days, documenting
his or her physical qualifications to drive a CMV in interstate
commerce.
In developing this NPRM, FMCSA intends for States to have the
maximum administrative discretion possible to determine how they choose
to satisfy the proposed minimum medical certification and CDL
regulations set forth in this NPRM. Through AAMVA, FMCSA works to
develop and oversee technical details necessary for the CDLIS to
successfully operate in compliance with the Agency's
[[Page 66741]]
regulations. There is no preemption of State law.
After the 3-year phase-in period proposed in this NPRM to allow for
development and implementation of the proposed new CDLIS capabilities,
FMCSA would begin monitoring whether the new requirements are being met
as part of the standard State CDL compliance review process. If a State
is determined, as part of the State CDL compliance review, not to have
implemented the required minimum changes required by this proposal, the
normal process specified in the 49 CFR 384, CDL compliance regulations
for notifying the State about potential withholding of Federal-aid
highway funds, would apply.
FMCSA estimates the States would incur approximately the following
costs to implement, and then operate the new procedures and CDLIS
capabilities proposed in this NPRM.
Table 7.--Summary State Costs
------------------------------------------------------------------------
Average cost/
Year Total national cost state
------------------------------------------------------------------------
Year 1............................ $6.7 million........ $131,000
Year 2............................ 6.7 million......... 131,000
Year 3............................ 4.9 million......... 96,000
Continuing Years.................. 4.0 million......... 78,400
------------------------------------------------------------------------
FMCSA Anticipates Federal Funds Would Be Available for the First 3
years to Pay Most of the Direct Costs Incurred by the States and Local
Governments in Complying with the Regulation. SAFETEA-LU provides two
grant programs to assist the States in improving the CDL program, and
for modernizing CDLIS as required by 49 U.S.C. 31309(e)(1)(D). FMCSA
would consult with AAMVA and the States on how the CDLIS changes
proposed in this NPRM could be included as part of the CDLIS
modernization specifications. An additional possible source of limited
grant funds would be from the SAFETEA-LU State MCSAP grant funds. (49
U.S.C. 31102). Expenses to implement the proposed CDL changes would be
allowable as part of these grant programs for the first 3 years of
implementing these requirements. These are 80 percent federal grant
funds, and 20 percent State matching funds that cannot come from any
other grant. Beyond the first 3 years, the Agency assumes that the
States would adjust their fees to cover the remaining costs to comply
with this proposal.
Statement of Extent to Which FMCSA Has Addressed the Concerns of
State and Local Government Officials. FMCSA believes the approach
proposed for implementing the congressional requirement in section 215
of MCSIA responds to the concerns raised by State and local officials
prior to the Agency's development of this NPRM to minimize any
potential unfunded impacts on the States. The Agency has proposed steps
necessary to achieve the objectives of the statute, and is providing
all affected State and local officials notice and an opportunity for
appropriate participation in the proceedings. In addition to the
required publication of this notice in the Federal Register, FMCSA also
proposes to continue to work through AAMVA early in the rulemaking
process to bring these issues to the immediate attention of AAMVA's
members, and to foster the maximum participation of elected State and
local governmental officials in developing a final rule on the subject.
FMCSA requests comments from elected State or local officials on
these Federalism implications. All comments should be submitted to the
docket for this rulemaking.
Unfunded Mandates Reform Act of 1995
The Unfunded Mandates Reform Act of 1995 requires that Agencies
prepare analyses of proposals that would result in the expenditure by
State, local and tribal governments, or by the private sector, of $100
million or more in any 1 year. Department of Transportation guidance
requires that we use a revised threshold figure of $120.7 million,
which is the value of $100 million in 2005 after adjusting for
inflation. FMCSA has preliminarily determined that the impact of this
proposed rulemaking would not be that large in any projected year.
The estimated costs of this proposed rule are presented in the
table below. The estimated costs to States of this proposed rule would
not exceed $7 million in any 1 year. This figure is well below the
$120.7 million threshold used by the Department in making an unfunded
mandate determination.\6\ Total 5 year costs are estimated at $26.3
million, so costs average slightly more than $5 million per year. This
proposed rule would not impose a Federal mandate resulting in the net
expenditures by State, local, or tribal governments, in the aggregate,
or by the private sector, of $120.7 million or more (adjusted annually
for inflation) in any one year. 2 U.S.C. 1531, et seq.
---------------------------------------------------------------------------
\6\ Memorandum titled: Departmental Guidance: Threshold of
Significant Regulatory Actions Under the Unfunded Mandates Reform
Act of 1995, From Assistant Secretary for Transportation Policy,
April 5, 2004.
Table 8.--State Costs of Proposal
[Thousands of dollars]
----------------------------------------------------------------------------------------------------------------
Year 1 Year 2 Year 3 Year 4 Year 5 Total
----------------------------------------------------------------------------------------------------------------
Planning and Design............... $1,785 $1,785 $0 $0 $0 $3570
State Computer System Development. 4,250 4,250 4,250 0 0 12,750
State Computer System Operation... 0 0 0 510 510 1020
State Staff Training.............. 425 425 425 0 0 1275
Data Entry Costs.................. 0 0 0 2,200 2,200 4,400
Mailing Costs..................... 0 0 0 1,288 1,288 2,576
CDLIS Testing Costs............... 250 250 250 0 0 750
-----------------------------------------------------------------------------
5 Year Total.................. ........... ........... ........... ........... ........... 26,341
----------------------------------------------------------------------------------------------------------------
[[Page 66742]]
Executive Order 12372 (Intergovernmental Review)
The regulations implementing Executive Order 12372 regarding
intergovernmental consultation on Federal programs and activities do
not apply to this program.
Paperwork Reduction Act
Under the Paperwork Reduction Act of 1995 (PRA) (44 U.S.C. 3501-
3520), a Federal Agency must obtain approval from OMB for each
collection of information it conducts, sponsors or requires through
regulations. FMCSA analyzed this proposal and determined that its
implementation would increase the currently approved information
collection burdens covered by OMB Control No. 2126-0006, titled
``Medical Qualification Requirements,'' which must be renewed by
December 31, 2006; and OMB Control No. 2126-0011, titled ``Commercial
Driver Licensing and Test Standards,'' which must be renewed by April
30, 2007. Table 9 captures the current and proposed burden hours
associated with the two approved information collections.
Table 9.--Current and Proposed Information Collection Burdens
----------------------------------------------------------------------------------------------------------------
Annual burden
hours Adjustment Change burden Annual burden
OMB approvals number currently burden hours hours hours
approved proposed proposed proposed
----------------------------------------------------------------------------------------------------------------
2126-0006....................................... 1,185,876 0 118,449 1,304,325
2126-0011....................................... 1,272,988 (62,597) 0 1,210,391
---------------------------------------------------------------
Totals...................................... 2,458,864 (62,597) 118,449 2,514,716
----------------------------------------------------------------------------------------------------------------
Following is an explanation of how each of the two information
collections shown above would be impacted by this proposal.
2126-0006 Medical Qualification Requirement. This rulemaking would
increase slightly the information collection burden associated with the
medical qualification requirement. The increase is attributed to FMCSA
adjusting its estimate of the total number of medical examinations and
the associated burden hours from 1,185,876 to 1,304,325 hours, and the
proposed requirement for motor carriers to maintain a copy of the
vision or diabetes exemption in the driver qualification file.
Currently, FMCSA manages vision and diabetes exemption programs under
its authority provided at 49 U.S.C. 31136(e) and 31315. Drivers that
are granted an exemption are required under the terms and conditions of
the exemption programs to carry on their person a copy of the exemption
at all times but motor carriers are not required to maintain a copy of
the exemption that may be granted from the physical qualifications
standards. If a final rule is adopted, the estimated information
collection burden for the medical qualification requirement would
increase from 1,185,876 to 1,304,325 hours annually [1,301,378 hours
for medical certificates + 11 hours for resolution of medical conflicts
+ 167 hours for SPE certificates + 946 hours for vision exemptions + 3
hours for migrant workers + 1,820 hours for diabetes exemptions].
FMCSA notes that the proposed rule would eliminate the requirement
for motor carriers to maintain a copy of the medical certificate in the
driver qualifications file of CDL holders. However, because the
proposed rule would require the SDLA to maintain a copy of the CDL
driver's certificate for at least 6 months from the date it is filed
with the licensing agency, and to maintain the information from the
certificate on the CDLIS driver record for interstate CDL holders, the
information collection burden reductions for motor carriers are offset
by the information collection burden increases for the SDLAs. The
Agency would retain the requirement for a carrier to place a copy of
the medical certificate in the driver qualification file for non-CDL
drivers so that portion of the information collection burden remains
unchanged. A copy of FMCSA's preliminary supporting statement is
included in the docket referenced at the beginning of this NPRM. FMCSA
requests comments on its estimates of the information collection
burdens proposed in OMB Control Number 2126-0006.
2126-0011, Commercial Driver Licensing and Test Standards. This
information collection supports the DOT Strategic Goal of Safety by
requiring that CDL drivers of CMVs subject to part 391 are properly
licensed according to all applicable Federal requirements. The
information being collected ensures that CDL drivers are qualified to
hold a CDL and operate CMVs, and that States are administering their
CDL programs in compliance with the Federal requirements.
There would be a new requirement for SDLAs to collect and post to
the CDLIS driver record the information contained on the medical
examiner's certificate of CDL driver applicants and holders who are
subject to part 391.
A driver applicant applying for a CDL for the first time who is
subject to the requirements of 49 CFR part 391 would provide an
original or a copy of the medical examiner's certificate to the SDLA
before it would issue the CDL. The SDLA would then post the information
from the certificate to the driver's electronic CDLIS driver record for
access by authorized personnel. When the driver renews, updates or
transfers the CDL, the SDLA would verify whether the driver must have a
medical certification, and if so that the driver's current medical
certification is still valid before taking the licensing action.
For drivers required to have a medical certification, in addition
to providing the medical examiner's certificate to the SDLA for the
initial application for a CDL, whenever a driver renews his/her medical
certification either because it is about to expire, because there is a
change in a medical condition or because it is requested by his/her
employer, the driver must provide an original or copy of the new
medical certificate to the SDLA. It is expected that the driver would
mail the certificate to the SDLA. The SDLA would post the new medical
examiner's certificate information to the electronic CDLIS driver
record within 2 business days of receipt.
If at any time the driver is no longer medically certified to
operate in interstate commerce, the SDLA would notify the driver. The
SDLA would also change the medical status on the electronic CDLIS
driver record within 2 business days to either ``not qualified,''
``excepted'' or ``intrastate only,'' if the driver can meet the State's
intrastate medical requirements. If the status is
[[Page 66743]]
``not qualified,'' the SDLA would proceed with established State
procedures for downgrading the CDL privilege. The process would be
completed and recorded on the electronic CDLIS driver record by the
State within 60 days of the driver becoming not qualified.
This proposed medical certification status information on the CDLIS
driver record would not be required to start until 3 years after the
effective date of a final rule on this subject; thus, there would be no
change in the total annual burden hours due to this new program change.
During these 3 years, the SDLAs would, however, incur a combined one-
time estimated cost of $18,245,006 to make systems revisions in order
to accommodate the recordkeeping requirements of this proposed new
requirement. This includes development of capabilities to record
information from the medical examiner's certificate on the CDLIS driver
record. It also includes updating all necessary systems to provide
medical certification status information as part of the responses to
inquiries by all users authorized under 49 CFR 394.225(e). During the
first 3 years, there would be a change in the total annual burden hours
due to the net results of: (1) Program adjustments in regard to the
increase in the number of CDLIS driver records from 11.3 to 12.2
million and (2) the decease in the number of active CDLIS driver
records (i.e. records of former drivers that must be retained to meet
State and/or Federal record retention requirements).
Starting in the 4th and subsequent years, the additional decease in
proposed total annual burden hours is due to the implementation of the
new program change requiring States to collect and post the driver
medical certification information on the interstate CDL holder's
electronic CDLIS driver record.
The major assumptions used for calculation of the information
collection annual burden hours include the following: (1) Currently,
approximately 10% of the 12.2 million (or 1.22 million) CDLIS driver
records are inactive drivers; (2) it will take 3 years for States to
pass legislation and make the necessary system revisions before the
first medical certificate would be posted to the CDLIS driver record;
(3) there are approximately 4.2 million active CDL holders and 74% (or
3.1 million) are interstate drivers; and (4) of the remaining 6.78
million inactive CDL holders (12.2-1.22-4.2 million = 6.78 million),
approximately 55% of these drivers (or 2.76 million) would not retain
their CDL once the proposed requirements are implemented in the 4th
year.
The following table summaries the annual information collection
burden hours for current and proposed information collection activities
for the first 3 years and the subsequent years. The total proposed
annual burden of 1,210,401 hours for the first 3 years represents a
decrease of 62,597 hours from the currently-approved total annual
burden of 1,272,998 hours due to program adjustments discussed above.
The additional decease in proposed total annual burden of 163,786 hours
in subsequent years is due to the program changes implementing the new
requirement as described above. A detailed analysis of the annual
burden hour changes for each information collection activity can be
found in the Supporting Statement of OMB Control Number 2126-0011. The
Supporting Statement and its attachments are in the public docket for
this rulemaking.
----------------------------------------------------------------------------------------------------------------
Proposed annual
Currently burden hours for Proposed annual
Current and proposed information collection activities approved annual first 3 Years burden hours for
for states and CDL drivers burden hours (program subsequent years
adjustment) (program change)
----------------------------------------------------------------------------------------------------------------
State to obtain and record the medical certificate 0 0 127,667
information...........................................
State recording of medical certification status........ 0 0 3,118
State to verify the medical certification status of all 0 0 1,710
interstate CDL drivers................................
Driver to notify employer of convictions/ 629,445 610,000 456,667
disqualifications.....................................
Driver to complete previous employment paperwork....... 395,500 384,300 287,700
States to complete compliance certification documents.. 1,632 1,632 1,632
CDLIS recordkeeping.................................... 237,004 204,302 158,064
Drivers to complete the CDL application................ 9,417 10,167 10,167
--------------------------------------------------------
Total Current Burden............................... 1,272,998 1,210,401 1,046,725
----------------------------------------------------------------------------------------------------------------
Comments. FMCSA requests your comments on whether the proposed
information collection is necessary for FMCSA to achieve the goal of
reducing truck and bus crashes, including: (1) Whether the information
is useful to this goal; (2) the accuracy of the estimate of the burden
of the information collection; (3) ways to enhance the quality, utility
and clarity of the information collected; and (4) ways to minimize the
burden of the collection of information on respondents, including the
use of automated collection techniques or other forms of information
technology.
You may submit comments on this information collection burden
directly to OMB. The OMB must receive your comments by December 18,
2006. You must mail or hand deliver your comments to: Attention: Desk
Officer for the Department of Transportation, Docket Library, Office of
Information and Regulatory Affairs, Office of Management and Budget,
Room 10102, 725 17th Street, NW., Washington, DC 20503.
National Environmental Policy Act
The Agency analyzed this proposed rule for the purpose of the
National Environmental Policy Act of 1969 (NEPA) (42 U.S.C. 4321 et
seq.) and determined under our environmental procedures Order 5610.1,
published March 1, 2004 (69 FR 9680), that this proposed action is
covered by a Categorical Exclusion (CE) under Appendix 2, paragraph
6(t) in the Order from further environmental documentation. The CE
relates to regulations that ensure States comply with the provisions of
the Commercial Motor Vehicle Safety Act of 1986 by having appropriate
laws, regulations, programs, policies, procedures and information
systems concerning the qualification and licensing of persons who apply
for a commercial driver's license, and persons who are issued a
commercial driver's license. In addition, the Agency believes that the
proposed action includes no extraordinary circumstances that would have
any effect on the quality of the environment. Thus, the FMCSA
preliminarily
[[Page 66744]]
determines that the proposed action does not require an environmental
assessment or an environmental impact statement.
The Agency analyzed this proposed rule under section 176(c) of the
Clean Air Act, as amended (CAA), (42 U.S.C. 7401 et seq.) and
implementing regulations promulgated by the Environmental Protection
Agency. Approval of this proposed action is exempt from the CAA's
general conformity requirement since it involves rulemaking and policy
development and issuance. (Refer to 40 CFR 93.153(c)(2).) It would not
result in any emissions increase nor would it have any potential to
result in emissions that are above the general conformity rule's de
minimis emission threshold levels. Moreover, it is reasonable that the
proposed rule would not increase total CMV mileage, change the routing
of CMVs, how CMVs operate, or the CMV fleet mix of motor carriers.
Drivers are currently required to obtain and maintain medical
certification as proof they meet the physical qualification standards
of 49 CFR part 391. This proposed rulemaking would establish a
requirement for States to record this medical certification information
for CDLIS driver records accessible to FMCSA and State licensing and
enforcement agencies through CDLIS and CDLIS equivalent for NLETS, and
to drivers and employers on the CDLIS MVR. FMCSA requests public
comment on these preliminary determinations.
Executive Order 13211 (Energy Effects)
FMCSA analyzed this proposed action under Executive Order 13211,
Actions Concerning Regulations That Significantly Affect Energy Supply,
Distribution or Use. The Agency determined, preliminarily, that it
would not be a ``significant energy action'' under that executive order
because it would not be economically significant and would not be
likely to have a significant adverse effect on the supply,
distribution, or use of energy.
Privacy Impact Assessment
FMCSA conducted a privacy impact assessment of this proposed rule
as required by Section 522(a)(5) of the FY 2005 Omnibus Appropriations
Act, Pub. L. 108-447, 118 Stat. 3268 (Dec. 8, 2004) [set out as a note
to 5 U.S.C. 552a]. The assessment considers any impacts of the proposed
rule on the privacy of information in an identifiable form and related
matters. The entire privacy impact assessment is available in the
docket for this proposal.
List of Subjects
49 CFR Part 383
Administrative practice and procedure, Highway safety, and Motor
carriers.
49 CFR Part 384
Administrative practice and procedure, Highway safety, and Motor
carriers.
49 CFR Part 390
Motor carriers, Reporting and recordkeeping requirements, Safety.
49 CFR Part 391
Motor carriers, Reporting and recordkeeping requirements, Safety.
In consideration of the foregoing, FMCSA proposes to amend parts
383, 384, 390 and 391 of title 49, Code of Federal Regulations (49 CFR
parts 383, 384, 390 and 391) as follows:
PART 383--COMMERCIAL DRIVER'S LICENSE STANDARDS; REQUIREMENTS AND
PENALTIES
1. Revise the authority citation for part 383 to read as follows:
Authority: 49 U.S.C. 521, 31136, 31301 et seq., and 31502; secs.
214 and 215 of Pub. L. 106-159, 113 Stat. 1766, 1767 (Dec. 9, 1999);
sec. 1012(b) of Pub. L. 107-56; 115 Stat. 397 (October 26, 2001);
sec. 4140 of Pub. L. 109-59, 119 Stat. 1144, 1726 (Aug. 10, 2005);
and 49 CFR 1.73.
2. Amend Sec. 383.5 to add definitions for ``CDLIS driver record''
and ``CDL Downgrade'' in alphabetical order to read as follows:
Sec. 383.5 Definitions.
* * * * *
CDL downgrade means the State either: (1) Restricts an unrestricted
CDL to intrastate transportation, or interstate transportation excepted
from part 391 as provided in 49 CFR 390.3(f) or 391.2; or (2) the State
removes the CDL privilege entirely from the driver license.
CDLIS driver record means the electronic record in the Commercial
Driver's License Information System established under 49 U.S.C. 31309
containing a CDL driver's individual status and history.
* * * * *
3. Amend Sec. 383.71 by revising paragraph (a) introductory text
and paragraph (a)(1) and by adding a new paragraph (g) to read as
follows:
Sec. 383.71 Driver application procedures.
(a) Initial Commercial Driver's License. Prior to obtaining a CDL,
an applicant must meet the following requirements:
(1) An applicant must certify either:
(i) He or she operates or expects to operate in interstate
commerce, and is both subject to and meets the qualification
requirements under part 391 of this chapter; or
(ii) He or she operates in interstate commerce, but engages
exclusively in transportation or operation excepted from the
qualification requirements of part 391 of this chapter, or he or she
operates only in intrastate commerce and therefore is subject to State
driver qualification requirements.
* * * * *
(g) An applicant who certifies according to (a)(1)(i) of this
section must:
(1) At his or her first licensing action (new CDL, renewal,
transfer or upgrade) on or after [DATE 3 YEARS AFTER EFFECTIVE DATE OF
A FINAL RULE], provide the State with an original or copy of a medical
examiner's certificate prepared by a qualified medical examiner, as
defined in Sec. 390.5 of this chapter, and
(2) In order to maintain a medical certification status of
``qualified,'' on or after [DATE 3 YEARS AFTER EFFECTIVE DATE OF A
FINAL RULE], provide the State with all subsequently issued medical
examiner's certificates.
4. Amend Sec. 383.73 to:
a. Redesignate existing paragraph (a)(5) to be (a)(6);
b. Add a new paragraph (a)(5);
c. Amend paragraph (b)(4)(ii) by removing the ``and'' from the end;
d. Amend paragraph (b)(5) by removing the period and adding ``;
and'' at the end;
e. Add paragraph (b)(6);
f. Amend paragraph (c)(3) by removing ``and'' at the end;
g. Amend paragraph (c)(4) by removing the period and adding ``;
and'' at the end;
h. Add paragraph (c)(5);
i. Amend paragraph (d)(1) by removing ``and'' at the end;
j. Amend paragraph (d)(2) by removing the period and adding ``;
and'' at the end; and
k. Add paragraphs (d)(3) and (j), to read as follows:
Sec. 383.73 State procedures.
(a) * * *
(5) Beginning [DATE 3 YEARS AFTER EFFECTIVE DATE OF A FINAL RULE],
record on the CDLIS driver record the certification made by the driver
according to Sec. 383.71(a)(1). If the driver certified according to
Sec. 383.71(a)(1)(i), then record all required information from the
medical examiner's certificate to the CDLIS driver record in
[[Page 66745]]
accordance with paragraph (j) of this section.
* * * * *
(b) * * *
(6)(i) Beginning [DATE 3 YEARS AFTER EFFECTIVE DATE OF A FINAL
RULE], verify from the CDLIS driver record that the medical
certification status is qualified if the CDLIS driver record indicates
the applicant is subject to part 391 of this chapter under the
provisions of Sec. 383.71(a)(1)(i).
(ii) Exception. A driver may present a currently valid medical
examiner's certificate issued prior to [DATE 3 YEARS AFTER EFFECTIVE
DATE OF A FINAL RULE]. The medical examiner's certificate provided by
the driver must be posted to the CDLIS driver record in accordance with
paragraph (j) of this section.
(c) * * *
(5)(i) Beginning [DATE 3 YEARS AFTER THE EFECTIVE DATE OF A FINAL
RULE] verify from the CDLIS driver record that the medical
certification status is qualified if the CDLIS driver record indicates
the applicant is subject to part 391 of this chapter under the
provisions of Sec. 383.71(a)(1)(i).
(ii) Exception. A driver may present a currently valid medical
examiner's certificate issued prior to [DATE 3 YEARS AFTER EFFECTIVE
DATE OF A FINAL RULE]. The medical examiner's certificate provided by
the driver must be posted to the CDLIS driver record in accordance with
paragraph (j) of this section.
(d) * * *
(3)(i) Beginning [DATE 3 YEARS AFTER EFFECTIVE DATE OF A FINAL
RULE] verify from the CDLIS driver record that the medical
certification status is qualified if the CDLIS driver record indicates
the applicant is subject to part 391 of this chapter under the
provisions of Sec. 383.71(a)(1)(i).
(ii) Exception. A driver may present a current medical examiner's
certificate issued prior to [DATE 3 YEARS AFTER EFFECTIVE DATE OF A
FINAL RULE]. The medical examiner's certificate provided by the driver
must be posted to the CDLIS driver record in accordance with paragraph
(j) of this section.
* * * * *
(j) Medical certification recordkeeping. (1) Application for CDL.
Beginning [DATE 3 YEARS AFTER EFFECTIVE DATE OF A FINAL RULE], for each
operator of a commercial motor vehicle required to have a commercial
driver's license, the current licensing State must record the driver's
certification information from Sec. 383.71(a)(1). For drivers subject
to part 391 of this chapter, the State must date stamp the medical
examiner's certificate required by Sec. 383.71(g) when received,
retain the certificate, a copy, or an image for 6 months, and within 2
business days record the information from the medical examiner's
certificate, including:
(i) Medical examiner's name;
(ii) Medical examiner's license or certificate number and the State
that issued it;
(iii) Medical examiner's National Registry identification number
(if the National Registry of Medical Examiners, required by 49 U.S.C.
31149(d), as added by section 4116(a) of SAFETEA-LU (Pub. L. 109-59,
119 Stat. 1144, 1726 (Aug. 10, 2005)), requires one); \7\
---------------------------------------------------------------------------
\7\ Section 31149(d) becomes effective August 10, 2006.
(SAFETEA-LU section 4116(f)). Although the FMCSA plans to implement
regulations establishing the National Registry of Medical Examiners
in the future, in order to minimize the number of times States have
to upgrade their licensing systems, States may want to make
provisions in the CDLIS driver record to accept this information
should it be required.
---------------------------------------------------------------------------
(iv) Date of physical examination/issuance of the medical
examiner's certificate to the driver;
(v) Medical certification status determination;
(vi) Expiration date of the medical examiner's certificate;
(vii) Existence of any medical variance on the medical certificate,
such as an exemption, Skill Performance Evaluation (SPE) certification
or grandfather provisions;
(viii) Any restriction (e.g., corrective lenses, hearing aid,
etc.); and
(ix) Date the medical examiner's certificate information was posted
to the CDLIS driver record.
(2) Medical certification status updates. (i) Beginning [DATE 3
YEARS AFTER EFFECTIVE DATE OF A FINAL RULE], the State must, within 2
business days of receiving the original or copy of a medical examiner's
certificate from the driver, post the medical examiner's certificate
information specified in paragraph (a) of this section to the CDLIS
driver record.
(ii) Beginning [DATE 3 YEARS AFTER EFFECTIVE DATE OF A FINAL RULE],
if a driver's medical certification or medical variance expires, or the
FMCSA notifies the State that a medical variance was removed/rescinded,
the State must:
(A) Update the CDLIS driver record within 2 business days to show
the driver's current CMV medical certification status as ``not
qualified'' and proceed with established State procedures for
downgrading the license. The CDL downgrade must be completed and
recorded within 60 days of the driver becoming not qualified to operate
a CMV.
(B) Notify the CDL holder of his/her CDL not-qualified status and
that the CDL is being downgraded.
(iii) Beginning [DATE 3 YEARS AFTER EFFECTIVE DATE OF A FINAL
RULE], the State must, within 2 business days of receiving information
from FMCSA regarding issuance or renewal of a medical variance for a
driver, update the CDLIS driver record to include the medical variance
information provided by FMCSA.
(iv) Beginning [DATE 5 YEARS AFTER THE EFFECTIVE DATE OF THE FINAL
RULE], if a driver subject to part 391 of this chapter has failed to
provide a current medical examiner's certificate, the State must mark
that CDLIS driver record as ``not qualified'' and downgrade the CDL
following procedures in paragraph (j)(2)(ii) of this section.
5. Revise Sec. 383.95 to read as follows:
Sec. 383.95 Restrictions.
(a)(1) If an applicant either fails the air brake component of the
knowledge test, or performs the skills test in a vehicle not equipped
with air brakes, the State must indicate on the CDL, if issued, that
the person is restricted from operating a CMV equipped with air brakes.
(2) For the purposes of the skills test, and the restriction, air
brakes shall include any braking system operating fully or partially on
the air brake principle.
(b) If the State is notified according to Sec. 383.73(j)(2)(iii)
that the driver has been issued a medical variance, the State must
indicate the existence of such a medical variance on the CDL document
by placing a ``W'' restriction on the CDL, if issued, indicating there
is information about a medical variance on the CDLIS driver record.\8\
---------------------------------------------------------------------------
\8\ In accordance with the agreement between Canada and the
United States (see footnote to Sec. 391.41), drivers with a ``W''
restriction on their commercial driver license are restricted from
operating a CMV in the other country.
---------------------------------------------------------------------------
PART 384--STATE COMPLIANCE WITH COMMERCIAL DRIVER'S LICENSE PROGRAM
6. Revise the authority citation for 49 CFR part 384 to read as
follows:
Authority: 49 U.S.C. 31136, 31301 et seq., and 31502; secs. 103
and 215 of Pub. L. 106-159, 113 Stat. 1753, 1767 (Dec. 9, 1999); and
49 CFR 1.73.
7. Amend Sec. 384.105(b) by adding in alphabetical order the
definition for
[[Page 66746]]
CDLIS Motor Vehicle Record to read as follows:
Sec. 384.105 Definitions.
* * * * *
(b) * * *
CDLIS motor vehicle record (CDLIS MVR) means a report generated
from the CDLIS driver record meeting the requirements for access to
CDLIS information and provided by States to users authorized in Sec.
384.225(e)(3) and (4).
* * * * *
8. Revise Sec. 384.107(b) to read as follows:
Sec. 384.107 Matter incorporated by reference.
* * * * *
(b) Materials incorporated. The AAMVA, Inc.'s ``Commercial Driver
License Information System (CDLIS) State Procedures Manual,'' Version
4.0.2, March 2006, IBR approved for Sec. Sec. 384.225(f) and
384.231(d).
* * * * *
9. Amend Sec. 384.206 to:
a. Amend paragraphs (a)(2)(ii) and (iii) to replace the phrase
``driving record'' with the phrase ``driver record'' wherever it
occurs; and
b. Revise paragraphs (a)(1) and (b) to read as follows:
Sec. 384.206 State record checks.
(a) Required checks.
(1) Issuing State's records. Before issuing, renewing, upgrading or
transferring a CDL to any person, the driver's State of domicile must,
within the period of time specified in Sec. 384.232, check its own
records as follows:
(i) The driver record of the person in accordance with Sec.
383.73(a)(3) of this chapter; and
(ii) For a driver certifying according to Sec. 383.71(a)(1)(i) of
this chapter, the information on the person's CDLIS driver record about
medical certification by a medical examiner, as defined in Sec. 390.5
of this chapter.
* * * * *
(b) Required action. Based on the findings of the State record
checks prescribed in this section, the State of domicile must do one of
the following as appropriate:
(1) Issue, renew, upgrade or transfer the applicant's CDL;
(2) In the event a State obtains adverse information regarding the
applicant, promptly implement the disqualifications, licensing
limitations, denials, or penalties that are called for in any
applicable sections of this subpart; or
(3) In the event the State has no information concerning the
applicant's medical certification from drivers subject to part 391 of
this chapter, or the medical certification status is ``not-qualified,''
the State must deny the requested CDL licensing action and downgrade an
existing CDL.
Sec. 384.208 [Amended]
10. Amend Sec. 384.208(b) by replacing the phrase ``driver's
record'' with the phrase ``CDLIS driver record''.
11. Amend Sec. 384.225 to:
a. Revise the section heading;
b. Amend paragraphs (b), (c) introductory text, and (d) by
replacing the term ``driver history'' wherever it occurs with the term
``CDLIS driver record''; and
c. Revise paragraphs (a) and (e) and add a new paragraph (f) to
read as follows:
Sec. 384.225 CDLIS driver recordkeeping.
The State must:
(a) Record and maintain as part of the CDLIS driver record:
(1) All convictions, disqualifications and other licensing actions
for violations of any State or local law relating to motor vehicle
traffic control (other than a parking violation) committed in any type
of vehicle.
(2) Medical certification status information.
* * * * *
(e) Only the following users or their authorized agents may receive
the designated information:
(1) States--All information on all CDLIS driver records.
(2) Secretary of Transportation--All information on all CDLIS
driver records.
(3) Driver--Only information on that driver's CDLIS driver record
obtained on the CDLIS Motor Vehicle Record from the State according to
its procedures.
(4) Motor Carrier or Prospective Motor Carrier--After notification
to a driver, all information on that driver's, or prospective driver's,
CDLIS driver record obtained on the CDLIS Motor Vehicle Record from the
State according to its procedures.
(f) The content of the report provided a user authorized by
paragraph (e) of this section from the CDLIS driver record, or a copy
of this record maintained for this purpose, must be comparable to the
applicable report that would be generated by a CDLIS State-to-State
request for a driver status (SG) or driver history (SB), as defined in
the March 2006 edition of the ``CDLIS State Procedures Manual,''
version 4.0.2., (incorporated by reference, see Sec. 384.107) and must
include the medical certification status information of the driver.
Sec. 384.226 [Amended]
12. Amend Sec. 384.226 by replacing the phrase ``driver's record''
with the phrase ``CDLIS driver record''.
Sec. 384.231 [Amended]
13. Revise Sec. 384.231(d) by replacing the phrase ``October 1998
edition of the AAMVAnet, Inc.'s `Commercial Driver License Information
System (CDLIS) State Procedures,' Version 2.0.'' with the phrase
``March 2006 edition of the AAMVA, Inc.'s `CDLIS State Procedures
Manual,' Version 4.0.2 and all other CDLIS documents referenced in the
manual.''
14. Add new Sec. 384.234 to read as follows:
Sec. 384.234 Driver medical certification recordkeeping.
The State must meet the medical certification recordkeeping
requirements of Sec. 383.73(j) of this chapter regarding the driver's
physical qualification as specified in the qualification standards of
part 391 of this chapter.
PART 390--FEDERAL MOTOR CARRIER SAFETY REGULATIONS; GENERAL
15. The authority citation for part 390 continues to read as
follows:
Authority: 49 U.S.C. 508, 13301, 13902, 31133, 31136, 31502,
31504, and sec. 204, Pub. L. 104-88, 109 Stat. 803, 941 (49 U.S.C.
701 note); sec. 114, Pub. L. 103-311, 108 Stat. 1673, 1677; sec.
217, Pub. L. 106-159, 113 Stat. 1748, 1767; and 49 CFR 1.73.
16. Amend Sec. 390.5 by adding in alphabetical order the
definitions for ``medical variance'' and ``motor vehicle record'' as
follows:
Sec. 390.5 Definitions.
* * * * *
Medical variance means a driver has received one of the following
that allows issuance of a medical certification:
(1) An exemption from FMCSA permitting operation of a commercial
motor vehicle pursuant to part 381, subpart C, of this chapter or Sec.
391.64 of this chapter;
(2) A skill performance evaluation certificate from FMCSA
permitting operation of a commercial motor vehicle pursuant to Sec.
391.49 of this chapter.
* * * * *
Motor vehicle record means the report generated from the driver
record and provided to a driver or employer about the driving status
and history of a driver.
* * * * *
[[Page 66747]]
PART 391--QUALIFICATIONS OF DRIVERS AND LONGER COMBINATION VEHICLE
(LCV) DRIVER INSTRUCTORS
17. Revise the authority citation for part 391 to read as follows:
Authority: 49 U.S.C. 322, 504, 508, 31133, 31136, and 31502;
sec. 4007(b) of Pub. L. 102-240, 105 Stat. 2152; sec. 114 of Pub. L.
103-311, 108 Stat. 1673, 1677; sec. 215 of Pub. L. 106-159, 113
Stat. 1767; and 49 CFR 1.73.
18. Amend Sec. 391.2 by revising the heading to read as follows:
Sec. 391.2 General exceptions.
* * * * *
19. Amend Sec. 391.23 to:
a. Revise paragraphs (a)(1) and (b); and
b. Add paragraph (m) to read as follows:
Sec. 391.23 Investigation and inquiries.
(a) * * *
(1) An inquiry to the State driver license agency in every State
where the driver held a motor vehicle operator's license or permit
during the preceding 3 years to obtain that driver's motor vehicle
record.
(b) A copy of the motor vehicle record(s) obtained in response to
the inquiry or inquiries to each State driver license agency required
by paragraph (a)(1) of this section must be placed in the driver
qualification file within 30 days of the date the driver's employment
begins and be retained in compliance with Sec. 391.51. If no motor
vehicle record is received from the State or States, the motor carrier
must document a good faith effort to obtain such information, and
certify that no record exists for that driver in that State. The
inquiry to the State driver license agencies must be made in the form
and manner each agency prescribes.
* * * * *
(m)(1) The motor carrier must obtain a copy of, and place in the
driver qualification file, the medical examiner's certificate required
by Sec. 391.43, and any medical variance on which the certification is
based, before allowing the driver to operate a CMV.
(2) Exception. Beginning [DATE 3 YEARS AFTER EFFECTIVE DATE OF A
FINAL RULE], before allowing the operation of a CMV by any driver
required to have a commercial driver's license under part 383 of this
chapter, and subject to the requirement of Sec. 391.41(a) to be
physically qualified to operate a CMV, the employing motor carrier must
verify and document in the driver qualification file that the driver is
currently medically certified, using the CDLIS motor vehicle record
defined at 49 CFR 384.105 and obtained from the current licensing State
in response to the inquiry required by paragraph (a)(1) of this
section. Until [DATE 5 YEARS AFTER THE EFFECTIVE DATE OF FINAL RULE]
for CDL drivers subject to part 391, if there is no medical
certification status information on the CDLIS motor vehicle record
obtained from the current State driver licensing agency, the employing
motor carrier may accept an original or copy of a medical examiner's
certificate issued for that driver prior to [DATE 3 YEARS AFTER THE
EFFECTIVE DATE OF FINAL RULE] and place a copy of it in the driver
qualification file before allowing the driver to operate a CMV.
Sec. 391.25 [Amended]
20. Amend Sec. 391.25 to:
a. Amend paragraph (a) by replacing the phrase ``into the driving
record'' with the phrase ``to obtain the motor vehicle record'';
b. Amend paragraph (b) introductory text by replacing the phrase
``driving record'' with the phrase ``motor vehicle record''; and
c. Amend paragraph (c)(1) by replacing the phrase ``response from
each State agency to the inquiry'' with the phrase ``motor vehicle
record''.
21. Amend Sec. 391.41 to revise paragraph (a) to read as follows:
Sec. 391.41 Physical qualifications for drivers.
(a) (1) A person subject to this part must not drive a commercial
motor vehicle unless he/she is medically certified as physically
qualified to do so, and, except as provided in paragraph (a)(3) of this
section, has on his/her person the original, or a copy, of a medical
examiner's certificate that he/she is physically qualified to drive a
commercial motor vehicle.\9\
---------------------------------------------------------------------------
\9\ Effective December 29, 1991, the Administrator determined
that the new Licencia Federal de Conductor issued by the United
Mexican States is recognized as proof of medical fitness to drive a
CMV. The United States and Canada entered into a Reciprocity
Agreement, effective March 30, 1999, recognizing that a Canadian
commercial driver's license is proof of medical fitness to drive a
CMV. Therefore, Canadian and Mexican CMV drivers are not required to
have in their possession a medical examiner's certificate if the
driver has been issued, and possesses, a valid commercial driver
license issued by the United Mexican States, or a Canadian Province
or Territory and whose license and medical status, including any
waiver or exemption, can be electronically verified. Drivers from
any of the countries who have received a medical authorization that
deviates from the mutually accepted compatible medical standards of
the resident country are not qualified to drive a CMV in the other
countries. For example, Canadian drivers who do not meet the medical
fitness provisions of the Canadian National Safety Code for Motor
Carriers, but are issued a waiver by one of the Canadian Provinces
or Territories, are not qualified to drive a CMV in the United
States. U.S. drivers who received a medical variance from FMCSA are
not qualified to drive a CMV in Canada.
---------------------------------------------------------------------------
(2) A person is physically qualified to drive a commercial motor
vehicle if:
(i) That person meets the physical qualification standards in
paragraph (b) of this section and has complied with the medical
examination requirements in Sec. 391.43; or
(ii) That person obtained a medical variance and has complied with
the medical examination requirement in Sec. 391.43.
(3) Exception. Beginning [DATE 3 YEARS AFTER EFFECTIVE DATE OF A
FINAL RULE], a driver required to have a commercial driver's license
under part 383 of this chapter, and who submitted a current medical
examiner's certificate to the State in accordance with Sec. 383.71(g)
of this chapter documenting that he/she meets the physical
qualification requirements of this part, no longer needs to carry on
his/her person the medical examiner's certificate specified at Sec.
391.43(h), or a copy. If there is no medical certification information
on that driver's CDLIS motor vehicle record defined at 49 CFR 384.105,
a current medical examiner's certificate issued prior to [DATE 3 YEARS
AFTER EFFECTIVE DATE OF A FINAL RULE] will be accepted until [DATE 5
YEARS AFTER EFFECTIVE DATE OF A FINAL RULE].
* * * * *
22. Amend Sec. 391.43 by revising paragraph (g) to read as
follows:
Sec. 391.43 Medical examination; certificate of physical
qualification.
* * * * *
(g) If the medical examiner finds that the person he/she examined
is physically qualified to operate a commercial motor vehicle in
accordance with Sec. 391.41(b), the medical examiner shall complete a
certificate in the form prescribed in paragraph (h) of this section and
furnish it to the person who was examined. The medical examiner shall
retain a copy of the certificate for the duration of the certificate
and give the original to the person examined.
* * * * *
23. Amend Sec. 391.51 to:
a. Amend paragraph (b)(2) by replacing the phrase ``response by
each State agency concerning a driver's driving record'' with the
phrase ``motor vehicle record received from each State driver licensing
agency''.
b. Amend paragraph (b)(4) by replacing the phrase ``response of
each State agency'' with the phrase ``motor vehicle record received
from each State driver licensing agency''.
[[Page 66748]]
c. Amend paragraph (d)(1) by replacing the phrase ``response of
each State agency'' with the phrase ``motor vehicle record received
from each State driver licensing agency''; and
d. Revise paragraphs (b)(7), (b)(8), (d)(4) and (d)(5) to read as
follows:
Sec. 391.51 General requirements for driver qualification files.
* * * * *
(b) * * *
(7) The Medical Examiner's Certificate as required by Sec.
391.43(g) or a legible copy of the certificate. Beginning [DATE 3 YEARS
AFTER EFFECTIVE DATE OF A FINAL RULE], the motor carrier employer meets
this requirement for drivers subject to this part who are required to
have a commercial driver's license under part 383 of this chapter by
including the CDLIS motor vehicle record defined at 49 CFR 384.105 and
obtained from the current licensing State in the driver qualification
file, if that record contains medical certification status information.
If that driver obtained the medical certification based on having a
medical variance, the motor carrier must also include a copy of the
medical variance in the driver qualification file; and
(8) A Skill Performance Evaluation certificate obtained from a
Field Administrator, Division Administrator, or State Director issued
in accordance with Sec. 391.49; or the Medical Exemption document,
issued by a Federal medical program in accordance with part 381 of this
chapter.
* * * * *
(d) * * *
(4) The Medical Examiner's Certificate as required by Sec.
391.43(g) or a legible copy of the certificate, and any supporting
medical variance; and
(5) A Skill Performance Evaluation Certificate issued in accordance
with Sec. 391.49; or the Medical Exemption document issued by a
Federal medical program in accordance with part 381 of this chapter.
Issued on: November 9, 2006.
John H. Hill,
Administrator.
[FR Doc. E6-19246 Filed 11-15-06; 8:45 am]
BILLING CODE 4910-EX-P
|
|
|
