[Federal Register Volume 62, Number 96 (Monday, May 19, 1997)]
[Rules and Regulations]
[Pages 27193-27195]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 97-12925]
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DEPARTMENT OF TRANSPORTATION
National Highway Traffic Safety Administration
23 CFR Part 1327
[Docket No. 84-02; Notice 11]
RIN 2127-AG21
Procedures for Participating In and Receiving Data From the
National Driver Register Problem Driver Pointer System
AGENCY: National Highway Traffic Safety Administration (NHTSA), DOT.
ACTION: Interim final rule; request for comments.
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SUMMARY: This interim final rule amends the agency's National Driver
Register (NDR) regulations to implement an amendment made by the Pilot
Records Improvement Act of 1996. The amendment authorizes air carriers
to receive information from the National Driver Register (NDR)
regarding the motor vehicle driving records of individuals who are
seeking employment with an air carrier as a pilot. This interim final
rule establishes the procedures for those pilots to request, and for
those air carriers to receive, NDR information.
DATES: This interim final rule becomes effective on May 19, 1997.
Comments on this interim final rule are due no later than July 18,
1997.
ADDRESSES: Written comments should refer to the docket number and the
number of this notice and be submitted (preferably in ten copies) to:
Docket Section, National Highway Traffic Safety Administration, Room
5109, Nassif Building, 400 Seventh Street, SW., Washington, DC 20590.
(Docket hours are from 9:30 a.m. to 4 p.m.)
FOR FURTHER INFORMATION CONTACT: Mr. William Holden, Chief, Traffic
Records and Driver Register Division, NTS-32, National Highway Traffic
Safety Administration, 400 Seventh Street SW., Washington, DC 20590;
telephone (202) 366-4800 or Ms. Heidi L. Coleman, Assistant Chief
Counsel for General Law, Office of Chief Counsel, NCC-30, National
Highway Traffic Safety Administration, 400 Seventh Street SW.,
Washington, DC 20590; telephone (202) 366-1834.
SUPPLEMENTARY INFORMATION: The National Driver Register (NDR) is a
central file of information on individuals whose licenses to operate a
motor vehicle have been denied, revoked, suspended, or canceled, for
cause, or who have been convicted of certain serious traffic-related
violations, such as racing on the highways or driving while impaired by
alcohol or other drugs.
As provided in the NDR Act of 1982, as amended, 49 U.S.C. 30301, et
seq., State chief driver licensing officials are authorized to request
and receive information from the NDR for driver licensing and driver
improvement purposes. When an individual applies for a driver's
license, for example, these State officials are authorized to request
and receive NDR information to determine whether the applicant's
driver's license has been withdrawn for cause in any other State.
Because the NDR is a nationwide index, chief driver licensing officials
need to submit only a single inquiry to obtain this information.
State chief driver licensing officials are also authorized under
the NDR Act to request NDR information on behalf of other authorized
NDR users for transportation safety purposes. The NDR Act authorized
the following transportation entities to receive NDR information for
limited transportation safety purposes: The National Transportation
Safety Board and the Federal Highway Administration for accident
investigation purposes; employers and prospective employers of motor
vehicle operators; the Federal Aviation Administration (FAA) regarding
any individual who has received or applied for an airman's certificate;
the Federal Railroad Administration (FRA) and employers or prospective
employers of railroad locomotive operators; and the U. S. Coast Guard
regarding any individual who holds or who has applied for a license,
certificate of registry, or a merchant mariner's document. The Act also
provided that individuals could learn whether information about
themselves is on the NDR file and could receive any such information.
On October 9, 1996, the Pilot Records Improvement Act of 1996, Pub.
L. 104-264, was enacted into law. Section 502 of that Act contained an
amendment to the NDR Act of 1982, as amended, 49 U.S.C. 30305,
authorizing air carriers to receive NDR information regarding
individuals who are seeking employment with an air carrier as a pilot.
Procedures for Requesting and Receiving NDR Information
The procedures that air carriers would use to receive NDR
information would be similar to those used by the employers of motor
vehicle and railroad locomotive operators, the FAA, the FRA, and the U.
S. Coast Guard in checking their applicants for employment or
certification.
Air carriers may not initiate a request for NDR information.
Rather, the individual seeking employment as a pilot must do so. To
initiate a request, the individual must either complete, sign and
submit a request for an NDR file search, or authorize the air carrier
to request the NDR file search by completing and signing a written
consent. The request or written consent must state that NDR records are
being requested; state specifically who is authorized to receive the
records; be dated and signed by the individual (the pilot); and
specifically state that the authorization is valid for only one search
of the NDR. It must also specifically state that the NDR identifies
``probable'' matches that require further inquiry for verification,
that it is recommended (but not required) that the air carrier verify
matches with the state of record, and state that individuals have the
right to request NDR records regarding themselves to verify the
accuracy of any information on the file pertaining to them.
The Pilot Records Improvement Act provides that an individual,
about whom a request has been made, is entitled to receive written
notice about the request for records and of the individual's right to
receive a copy of any records provided to the prospective employer.
Accordingly, the request or written consent that the individual
completes must also include this notice.
The Pilot Records Improvement Act also provides that requests for
NDR information are to be submitted through State chief driver
licensing officials. Such requests may be submitted through the chief
driver licensing official of any State that participates in the NDR's
Problem Driver Pointer System (PDPS). Currently, 49 States (all States,
except for the State of Oregon and the District of Columbia)
participate
[[Page 27194]]
in the NDR PDPS. The agency recognizes, however, that even
participating States will require some time to develop procedures for
processing these air carrier requests and to train their personnel in
the new procedures. Accordingly, to provide the States with sufficient
preparation time, the NDR will accept air carrier requests for NDR
information directly for a limited period of time. The regulation
provides that such requests may be submitted directly to the NDR for
processing until September 30, 1997. After that date, air carrier
requests must be submitted through a State chief driver licensing
official. The agency believes this period (until September 30, 1997)
will provide sufficient planning time for participating States.
The regulation provides that requests submitted through State chief
driver licensing officials must follow procedures established by the
State and requests submitted directly to the NDR must follow NDR
procedures. For example, individuals must verify their identity in
accordance with State procedures when they submit requests through a
State. When individuals submit requests directly to the NDR, their
requests must be notarized.
If a request has been submitted directly to the NDR, the response
will be provided from the NDR directly to the air carrier. If a request
has been submitted through a State chief driver licensing official, the
response will be provided from the NDR to the chief driver licensing
official, who in turn will provide it to the air carrier.
The NDR response will indicate whether a match (probable
identification) was found and, if so, the response will also identify
the State in which the full substantive record can be found (the State
of record). The agency encourages air carriers that receive matches to
obtain the substantive data relating to the match from the State of
record to determine whether the person described in the record is in
fact the subject individual before taking further action. Air carriers
will not receive information that was entered in the NDR if the
information concerns a licensing action that took place more than five
years before the date of the request, unless the information concerns a
revocation or suspension still in effect on the date of the request.
The Pilot Records Improvement Act of 1996 further provided that air
carriers that maintain, or request and receive NDR information about an
individual must provide the individual a reasonable opportunity to
submit written comments to correct any inaccuracies contained in the
records before making a final hiring decision with respect to the
individual.
For additional information regarding requests authorized under the
Pilot Records Improvement Act of 1996, including sample forms, see FAA
Advisory Circular 120-68.
Part 1327 currently provides that a third party may be used by a
person authorized to receive NDR information (an authorized user) to
forward requests for NDR file searches to the NDR; however, the third
party requester may not receive the NDR response since the third party
is not authorized by the NDR Act to receive NDR information. Part 1327
provides that both the authorized user and the individual concerned
must sign a written consent authorizing the third party to forward
requests for NDR file searches to the NDR. This portion of part 1327
has not been changed by this interim final. The authorized users to
which this provision applies will expand to include air carriers.
Interim Final Rule
This notice is published as an interim final rule. Accordingly, the
changes to part 1327 described above are fully in effect and binding
upon the date of the notice's publication. No further regulatory action
by NHTSA is necessary to make these changes effective.
Section 502(d) of the Pilot Records Improvement Act of 1996,
provides that air carriers hiring individuals as pilots will be
authorized to receive NDR information regarding applications first
received by the carriers on or after February 6, 1997. In an effort to
establish the procedures to permit pilots to submit requests to the NDR
and air carriers to receive NDR information as close as possible to the
February 6 date, these regulatory changes have been made in an interim
final rule, without prior notice and opportunity for comment. In
addition, the changes made to the regulation in this interim final rule
simply reflect the statutory amendments enacted by the Pilot Records
Improvement Act. Further, the procedures that have been established in
this interim final rule for requesting that NDR information be provided
to air carriers are nearly identical to the procedures already being
followed by the States, by airmen and by others in the field of
transportation safety. Those procedures were established by a
rulemaking process during which notice and an opportunity to comment
were provided.
NHTSA requests comments on these regulatory changes. All comments
submitted in response to this notice will be considered by the agency.
Following the close of the comment period, NHTSA will publish a notice
responding to the comments and, if appropriate, will further amend the
provisions of part 1327.
Written Comments
Interested persons are invited to comment on this interim final
rule. It is requested, but not required, that ten copies be submitted.
All comments must be limited to 15 pages in length. Necessary
attachments may be appended to those submissions without regard to the
15-page limit. (49 CFR 553.21.) This limitation is intended to
encourage commenters to detail their primary arguments in a concise
fashion.
Written comments to the public docket must be received by July 18,
1997. All comments received before the close of business on the comment
closing date, will be considered and will be available for examination
in the docket at the above address before and after that date. To the
extent possible, comments filed after the closing date will also be
considered. However, the rulemaking action may proceed at any time
after that date. Following the close of the comment period, NHTSA will
publish a notice responding to the comments and, if appropriate, NHTSA
will amend the provisions of this rule. NHTSA will continue to file
relevant material in the docket as it becomes available after the
closing date, and it is recommended that interested persons continue to
examine the docket for new material.
Those persons desiring to be notified upon receipt of their
comments in the docket should enclose, in the envelope with their
comments, a self-addressed stamped postcard. Upon receiving the
comments, the docket supervisor will return the postcard by mail.
Copies of all comments will be placed in Docket 84-02; Notice 11 of
the NHTSA Docket Section in Room 5109, Nassif Building, 400 Seventh
Street, SW., Washington, DC 20590.
Regulatory Analyses and Notice
Executive Order 12778 (Civil Justice Reform)
This interim final rule will not have any preemptive or retroactive
effect. The enabling legislation does not establish a procedure for
judicial review of final rules promulgated under its provisions. There
is no requirement that individuals submit a petition for
reconsideration or other administrative proceedings before they may
file suit in court.
[[Page 27195]]
Executive Order 12866 (Regulatory Planning and Review) and DOT
Regulatory Policies and Procedures
The agency has determined that this action is not a significant
regulatory action within the meaning of Executive Order 12866 or
Department of Transportation Regulatory Policies and Procedures. The
changes in this interim final rule merely reflect amendments contained
in Public Law 104-264. Accordingly, a full regulatory evaluation is not
required.
Regulatory Flexibility Act
In compliance with the Regulatory Flexibility Act (Pub. L. 96-354,
5 U.S.C. 601-612), the agency has evaluated the effects of this action
on small entities. Based on the evaluation, we certify that this action
will not have a significant impact on a substantial number of small
entities. Accordingly, the preparation of a Regulatory Flexibility
Analysis is unnecessary.
Paperwork Reduction Act
There are reporting requirements contained in the regulation that
this rule is amending that are considered to be information collection
requirements, as that term is defined by the Office of Management and
Budget (OMB) in 5 CFR part 1320. Accordingly, these requirements have
been submitted previously to and approved by OMB, pursuant to the
requirements of the Paperwork Reduction Act (44 U.S.C. 3501, et seq.).
These requirements had been approved through October 31, 1996, under
OMB No. 2127-0001. A request for an extension of the OMB approval until
the year 2000 is currently pending.
National Environmental Policy Act
The agency has analyzed this action for the purpose of the National
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and has
determined that it will not have any significant impact on the quality
of the human environment.
Executive Order 12612 (Federalism Assessment)
This action has been analyzed in accordance with the principles and
criteria contained in Executive Order 12612, and it has been determined
that this action does not have sufficient federalism implications to
warrant the preparation of a federalism assessment. Accordingly, the
preparation of a Federalism Assessment is not warranted.
List of Subjects in 23 CFR Part 1327
Driver licensing, Driver records, Highway safety, National Driver
Register, Transportation safety.
In consideration of the foregoing, title 23 of the CFR is amended
as follows:
PART 1327--PROCEDURES FOR PARTICIPATING IN AND RECEIVING
INFORMATION FROM THE NATIONAL DRIVER REGISTER PROBLEM DRIVER
POINTER SYSTEM
1. The authority citation for part 1327 will continue to read as
follows:
Authority: Pub. L. 97-364, 96 Stat. 1740, as amended (49 U.S.C.
30301, et seq.); delegation of authority at 49 CFR 1.50.
Sec. 1327.6 [Amended]
2. Section 1327.6 is amended by redesignating paragraphs (f) and
(g) as paragraphs (g) and (h), and by adding a new paragraph (f) as
follows:
* * * * *
(f) Air carriers. (1) To initiate an NDR file check, the individual
seeking employment as a pilot with an air carrier shall either:
(i) Complete, sign and submit a request for an NDR file check
directly to the chief driver licensing official of a participating
State in accordance with procedures established by the State for this
purpose; or
(ii) Authorize, by completing and signing a written consent, the
air carrier with whom the individual is seeking employment to request a
file check through the chief driver licensing official of a
participating State in accordance with procedures established by that
State for this purpose.
(2) Until September 30, 1997, an NDR file check initiated under
either paragraph (f)(1)(i) or (f)(1)(ii) of this section may be
submitted directly to the NDR in accordance with procedures established
by the NDR rather than through the chief driver licensing official of a
participating State in accordance with procedures established by that
State for this purpose.
(3) The request for an NDR file check or the written consent,
whichever is used, must:
(i) State that NDR records are to be released;
(ii) State as specifically as possible who is authorized to receive
the records;
(iii) Be dated and signed by the individual (or legal
representative as appropriate);
(iv) Specifically state that the authorization is valid for only
one search of the NDR;
(v) Specifically state that the NDR identifies probable matches
that require further inquiry for verification; that it is recommended,
but not required, that the prospective employer verify matches with the
State of record; and that individuals have the right to request records
regarding themselves from the NDR to verify their accuracy; and
(vi) Specifically state that, pursuant to Section 502 of the Pilot
Records Improvement Act of 1996, the request (or written consent)
serves as notice of a request for NDR information concerning the
individual's motor vehicle driving record and of the individual's right
to receive a copy of such information.
(4) Air carriers that maintain, or request and receive NDR
information about an individual must provide the individual a
reasonable opportunity to submit written comments to correct any
inaccuracies contained in the records before making a final hiring
decision with respect to the individual.
(5) In the case of a match (probable identification), the air
carrier should obtain the substantive data relating to the record from
the State of record and verify that the person named on the probable
identification is in fact the individual concerned before using the
information as a basis for any action against the individual.
* * * * *
Issued on: May 13, 1997.
Ricardo Martinez, M.D.,
Administrator, National Highway Traffic Safety Administration.
[FR Doc. 97-12925 Filed 5-16-97; 8:45 am]
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