[Federal Register Volume 78, Number 186 (Wednesday, September 25, 2013)]
[Notices]
[Pages 59082-59085]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-23131]
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DEPARTMENT OF TRANSPORTATION
Office of the Secretary
[Docket No. FMCSA-2013-0306]
Privacy Act of 1974; Department of Transportation, Federal Motor
Carrier Safety Administration; DOT/FMCSA 001Motor Carrier Management
Information System (MCMIS) System of Records
AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.
ACTION: Notice to amend a system of records.
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SUMMARY: In accordance with the Privacy Act of 1974, the Department of
Transportation proposes to update and reissue a current Department of
Transportation system of records titled, ``Department of Transportation
Federal Motor Carrier Safety Administration DOT/FMCSA 001 Motor Carrier
Management Information System System of Records.'' This system of
records will allow the Department of Transportation Federal Motor
Carrier Safety Administration to collect and maintain records on
drivers of commercial motor vehicles and individuals who are sole
proprietor/driver (owner/operator) of a motor carrier or hazardous
material shipper subject to the Federal Motor Carrier Safety
Regulations.
As a result of a biennial review of this system, the Privacy Office
has: added three routine uses of the MCMIS to permit disclosure of
MCMIS records to the (1) National Transportation Safety Board; (2) to
Federal, State, and local government agencies for the purposes of
household goods (HHG) investigations and enforcing HHG statues and
regulation; and (3) to Federal, State and local government agencies for
the purposes of driver, motor carrier, broker, and freight forwarder
investigations, and enforcing commercial operating statutes and
regulations.
Additionally this notice includes non-substantive changes to
simplify the formatting and text of the previously published notice.
This updated system will be included in the Department of
Transportation's inventory of record systems.
DATES: Written comments should be submitted on or before October 25,
2013. The Department may publish an amended SORN in light of any
comments received. This new system will be effective October 25, 2013.
ADDRESSES: You may submit comments, identified by docket number FMCSA-
2013-0306, by any of the following methods:
Federal e-Rulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments.
Mail: Docket Management Facility, U.S. Department of
Transportation, 1200 New Jersey Ave. SE., West Building Ground Floor,
Room W12-140, Washington, DC 20590-0001.
Hand Delivery or Courier: West Building Ground Floor, Room
W12-140, 1200 New Jersey Ave. SE., between 9 a.m. and 5 p.m. ET, Monday
through Friday, except Federal Holidays.
Fax: (202) 493-2251.
Instructions: You must include the agency name and docket number
FMCSA-2013-0306. All comments received will be posted without change to
http://www.regulations.gov, including any personal information
provided.
Privacy Act: Anyone is able to search the electronic form of all
comments received in any of our dockets by the name of the individual
submitting the comment (or signing the comment, if submitted on behalf
of an association, business, labor union, etc.). You may review DOT's
complete Privacy Act statement for the Federal Docket Management System
in the Federal Register published on January 17, 2008 (73 FR 3316), or
you may visit http://DocketsInfo.dot.gov.
Docket: For access to the docket to read background documents or
comments received, go to http://www.regulations.gov or to the street
address listed above. Follow the online instructions for accessing the
docket.
FOR FURTHER INFORMATION CONTACT: For general questions please contact:
Pam Gosier-Cox, FMCSA Privacy Officer, Federal Motor Carrier Safety
Administration, Department of Transportation, Washington, DC 20590,
202-366-3655, [email protected]. For privacy issues please
contact: Claire W. Barrett, Departmental Chief Privacy Officer, Privacy
Office, Department of Transportation, Washington, DC 20590;
[email protected]; or 202.366.8135.
SUPPLEMENTARY INFORMATION:
I. Background
In accordance with the Privacy Act of 1974, 5 U.S.C. 552a, the
Department of Transportation (DOT)/Federal Motor Carrier Safety
Administration (FMCSA) proposes to update and reissue a current DOT
system of records titled, ``Department of Transportation Federal Motor
Carrier Safety Administration--DOT/FMCSA 001 Motor Carrier Management
Information System System of Records.'' The system is being modified to
reflect changes in its Authorities and Routine Uses. The Authorities
section has been updated by removing references to Executive Order 9397
as MCMIS is not used to ``create permanent account numbers pertaining
to individual persons.'' This updated system of records notice includes
three new Routine Uses; the first new routine use permits sharing with
the National Transportation Safety Board (NTSB) in connection with NTSB
initiated investigations involving motor carriers, interstate motor
carriers, and hazardous material shippers; the second permits sharing
of MCMIS information with Federal, State, and local government agencies
for the purposes of household goods investigations (HHG) and enforcing
HHG statutes and regulations; and the third permits the sharing of
MCMIS information with Federal, State, and local government agencies
for the purpose of driver, motor carrier, broker, and freight forwarder
investigations, and enforcing commercial operating statutes and
regulations. The routine uses permitting the sharing of MCMIS
information with contractors and to
[[Page 59083]]
safeguard against and respond to the improper disclosure breach of
personally identifiable information have been removed to reflect the
Department's establishment of General Routine Use permitting these
sharing applicable to all DOT system of records.
The notice includes substantive clarifications to the Purposes of
Collection and Records Disposition discussions to clarify the
Department's practice which was not effectively described in previous
publications of this system of records notice. Additionally this notice
includes non-substantive changes to simplify the formatting and clarify
the text of the previously published notice. This updated system will
be included in DOT's inventory of record systems.
II. Privacy Act
The Privacy Act (5 U.S.C. 552a) governs the means by which the
Federal Government collects, maintains, and uses personally
identifiable information (PII) in a System of Records. A ``System of
Records'' is a group of any records under the control of a Federal
agency from which information about individuals is retrieved by name or
other personal identifier. The Privacy Act requires each agency to
publish in the Federal Register a System of Records notice (SORN)
identifying and describing each System of Records the agency maintains,
including the purposes for which the agency uses PII in the system, the
routine uses for which the agency discloses such information outside
the agency, and how individuals to whom a Privacy Act record pertains
can exercise their rights under the Privacy Act (e.g., to determine if
the system contains information about them and to contest inaccurate
information).
In accordance with 5 U.S.C. 552a(r), DOT has provided a report of
this system of records to the Office of Management and Budget and to
Congress.
SYSTEM OF RECORDS
Department of Transportation (DOT)/Federal Motor Carrier Safety
Administration (FMCSA) DOT/FMCSA--001 Motor Carrier Management
Information System.
SYSTEM NAME:
Department of Transportation Federal Motor Carrier Safety
Administration (FMCSA)--001 Motor Carrier Management Information
System.
SECURITY CLASSIFICATION:
Unclassified
SYSTEM LOCATION:
Volpe National Transportation Systems Center, U.S. Department of
Transportation, Cambridge, MA 02142
CATEGORIES OF INDIVIDUALS COVERED BY THE SYSTEM:
MCMIS records may contain personally identifiable information (PII)
on the following's categories of individuals which may be retrieved by
unique identifier associated with the individual;
1. Individuals who are the sole proprietor and/or owner of a motor
carrier or hazardous material shipper subject to Federal Motor Carrier
Safety Regulations and who have provided a social security number (SSN)
in lieu of an employer identification number (EIN).
MCMIS records may also include personally identifiable information
on the following categories of individuals, however this information is
not retrieved by unique identifier associated with the individual.
1. Individuals who are owner/operators officers, managers, and
employees of a motor carrier or hazardous material shipper subject to
Federal Motor Carrier Safety Regulations.
2. Drivers of commercial motor vehicles who:
Were involved in a recordable crash;
Were the subject of a roadside driver/vehicle inspection;
Are the subjects of an investigatory action; or
Are employed by a motor carrier which is the subject of an
investigation.
CATEGORIES OF RECORDS IN THE SYSTEM:
MCMIS stores the following types of information:
Census Files--These files contain the USDOT number,
carrier identification, carrier address, type and size of operation,
commodities carried, and other characteristics of the operation for
interstate (and some intrastate) motor carriers, intermodal equipment
providers, cargo tank facilities, and shippers. They include motor
carrier PII consisting of social security numbers (SSN) and employee
identification numbers (EIN).
Investigatory Files--These files contain results of safety
audits, compliance review investigations, and enforcement actions
conducted by federal, state, and local law enforcement agencies. They
include driver, co-driver, owner, officer, manager, and employee PII
consisting of SSN and EIN.
Driver/Vehicle Safety Violations and Inspection Data--This
data is collected during roadside inspections of drivers and vehicles
and includes driver and co-driver PII consisting of names, dates of
birth, vehicle license plate numbers, and state driver's license
numbers.
Crash Data--This data is collected from state and local
police crash reports and includes driver and co-driver PII consisting
of names, dates of birth, vehicle license plate numbers, and state
driver's license numbers.
MCMIS Shares PII with the Following Systems or System Components:
Driver Information Resource (DIR)--The DIR creates a
driver profile using MCMIS crash data from the past five years and
inspection data from the past three years. This profile shows PII data
for the driver regardless of the employing carrier. The DIR also
includes driver/vehicle safety violations and inspection data per the
PSP description below. Access is restricted to FMCSA staff, FMCSA
contractors and Motor Carrier Safety Assistance Program (MCSAP) State
lead agencies.
Pre-Employment Screening System (PSP)--The specific
objectives of the PSP are aligned with the requirements of 49 U.S.C.
31150. The PSP will provide driver crash and inspection records from
the DIR to requesting motor carriers that have a driver's consent. The
PSP allows a driver to review his/her own driver-related data in the
DIR.
Driver Safety Measurement System (DSMS)--FMCSA utilizes
MCMIS data in the DSMS to support the Compliance Safety Accountability
(CSA) initiative and its Driver Safety Measurement System (DSMS). The
DSMS uses driver/vehicle safety violations and inspection data and
crash data to evaluate the safety performance of Commercial Motor
Vehicle (CMV) drivers in seven categories. Access is restricted to
FMCSA enforcement personnel, FMCSA Headquarters (HQ) staff and MCSAP
State lead agencies.
Carrier Safety Measurement System (CSMS)--FMCSA utilizes
MCMIS data in the CSMS to support the CSA initiative and its DSMS. The
CSMS uses driver/vehicle safety violations and inspection data and
crash data to evaluate the safety of motor carriers. Access is
restricted to FMCSA enforcement, federal and local law enforcement
personnel, FMCSA HQ staff, MCSAP State lead agencies and law
enforcement agencies that are FMCSA grantees. The objective of CSMS is
to provide an assessment of a carrier's regulatory compliance and
safety performance.
Safety Fitness Electronic Records (SAFER)--The SAFER Web
site receives
[[Page 59084]]
MCMIS driver/vehicle safety violations and inspection data and census
data on a daily basis for report generation. Although SAFER receives
driver-related PII from MCMIS, SAFER reports for the public users
contain no PII. The driver-related PII from MCMIS is included on the
Company Safety Profile reports that are requested by commercial motor
carriers for their company and enforcement officers.
Enforcement Management Information System (EMIS)--The EMIS
is a web-based application used to monitor, track, and store
information related to FMCSA enforcement actions. It manages and tracks
enforcement actions associated with notifying the carrier, monitoring
the carrier's response, determining whether further compliance action
is required, and generating reports for various FMCSA Headquarters,
FMCSA Service Center, and FMCSA Division staff. It is an authoritative
source for FMCSA enforcement data. EMIS imports census files,
investigatory files, driver/vehicle safety violations and inspection
data, and crash data from MCMIS for the purpose of automatically
initiating UNFIT/UNSATISFACTORY cases within EMIS resulting from Safety
Rating letters generated by MCMIS.
Analysis & information (A&I) Online--The A&I is a web-
based tool designed to provide quick and efficient access to
descriptive statistics and analyses regarding commercial vehicle,
driver, and carrier safety information. It is used by Federal, State
and local law enforcement personnel, the motor carrier industry,
insurance companies, and the general public. A&I imports census files,
investigatory files, driver/vehicle safety violations and inspection
data, and crash data from MCMIS for the purpose of processing a monthly
data snapshot of the MCMIS database.
ProVu--ProVu is an application that allows Federal and
State enforcement personnel and the motor carrier industry to
electronically view standard motor carrier safety profile reports
available from the FMCSA. ProVu imports driver/vehicle safety
violations and inspection data and crash data in a standard report
exported from MCMIS for the purpose of generating Company Safety
Profile reports.
Compliance Analysis and Performance Review Information
(CAPRI)--CAPRI is used by Federal and State enforcement personnel when
conducting compliance reviews and safety audits, specialized cargo tank
facility reviews, household good investigations, and hazardous material
(HM) shipper reviews. CAPRI includes worksheets for collecting census
files, investigatory files, driver/vehicle safety violations and
inspection data, and crash data from MCMIS to track (1) hours of
service, (2) driver qualifications, and (3) drug and alcohol
compliance. It also creates the preliminary carrier safety fitness
rating and various reports for motor carriers.
Sentri--Sentri (formerly known as the Mobile Client
Application) SENTRI is used by Federal and State enforcement personnel
to access motor carrier and driver information. SENTRI combines
roadside inspection, investigative, and enforcement functions into a
single interface.
McQuery--The MCMIS database is copied into McQuery,
creating an exact image of the MCMIS database. The data in McQuery is
used for responding to Freedom of Information Act (FOIA) requests and
other requests for public information, generating special data requests
for FMCSA, and supporting the operations of FMCSA.
GOTHAM--GOTHAM is an internal FMCSA analysis system that
utilizes selected extracts of MCMIS data and is only accessible through
the DOT/FMCSA Intranet. GOTHAM imports census files, investigatory
files, driver/vehicle safety violations and inspection data, and crash
data from MCMIS for the purpose of delivering standard reports via the
Intranet.
Docket Management System (DMS)--DMS is a National
Transportation Safety Board NTSB system that stores investigative
material in one of two ways. Documents that are categorized in DMS
``For Official Use Only'' (``OUO'') are found only in the non-public
side of the docket. In these instances, the documents are accessible
only by those NTSB employees that are allowed access to NTSB Office of
Highway Safety dockets. If a document is placed in the publicly
available portion of DMS, NTSB redacts any PII.
New Application Screening (NAS)--NAS is an application,
which is populated by A&I, that identifies potential ``chameleon
carriers'' within the FMCSA past and present carrier population. This
tool provides you with the ability to search for specific carriers and
identify relationships to other past and present carriers.'' Currently,
NAS is available to select FMCSA personnel. It is searchable by motor
carrier name, state, and address.
MCMIS SHARES NON-PII WITH THE FOLLOWING FMCSA SYSTEMS OR SYSTEM
COMPONENTS:
Query Central (QC)--QC is a secure web application that
provides Federal and State safety enforcement personnel with a single
location where they can enter one query and obtain targeted safety data
on commercial motor vehicle (CMV) carriers, vehicles, and drivers from
multiple sources in FMCSA and Customs and Border Patrol. QC does not
maintain a database of its own, but instead pulls data from the
authoritative sources in real-time. QC utilizes MCMIS to verify carrier
information. QC displays privacy-related information on drivers from
MCMIS.
Licensing and Insurance System (L&I)--The L&I system is
used to enter and display licensing and insurance information regarding
authorized for-hire motor carriers, foreign motor carriers, freight
forwarders, and property brokers. It is the authoritative source for
FMCSA licensing and insurance data. L&I is part of the registration
process. L&I imports information from MCMIS as follows:
--Data about carriers that received unsatisfactory ratings;
--Data about Out-of-Service carriers; and
--USDOT numbers for synchronization with docket numbers.
Hazmat Registration (HMReg)--HMReg exports data from MCMIS
to the Pipeline and Hazardous Materials Safety Administration (PHMSA)
database server in response to HAZMAT registration data requests.
AUTHORITY FOR MAINTENANCE OF THE SYSTEM:
49 U.S.C. 502, 504, 506, 508, Chapter 139, and 49 CFR 1.73.
PURPOSE(S):
The purpose of this system is to provide a central collection point
for records on some intrastate motor carriers, interstate motor
carrier, hazardous material shipper, freight brokers and freight
forwarders in order to facilitate the analysis of data required to
administer and manage the agency's safety and commercial enforcement
programs.
ROUTINE USES OF RECORDS MAINTAINED IN THE SYSTEM, INCLUDING CATEGORIES
OF USERS AND THE PURPOSES OF SUCH USES:
1. In addition to those disclosures generally permitted under 5
U.S.C. 552a(b) of the Privacy Act, all or a portion of the records or
information contained in this system may be disclosed outside DOT as a
routine use pursuant to 5 U.S.C. 552a(b)(3) as follows: To federal,
state, local, and foreign government agencies for the purposes of
enforcing motor carrier and Hazardous Materials shipper safety.
2. To State lead agencies and other law enforcement grantees under
the FMCSA Motor Carrier Safety Assistance Grant Program and Border
Enforcement Grant program, which is a federal grant
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program that provides financial assistance to states for their work in
reducing in the frequency and severity of CMV crashes and hazardous
materials incidents.
3. To the National Transportation Safety Board (NTSB) in connection
with NTSB investigations involving motor carriers, interstate motor
carriers, and hazardous material shippers.
4. To Federal, State, and local government agencies for the
purposes of household goods investigations (HHG) and enforcing HHG
statutes and regulations.
5. To Federal, State and local government agencies for the purposes
of driver, motor carrier, broker, and freight forwarder investigations,
and enforcing commercial operating statutes and regulations.
6. See ``Prefatory Statement of General Routine Uses'' (available
at http://www.dot.gov/privacy/privacyactnotices). Other possible
routine uses of the information, applicable to all DOT Privacy Act
systems of records, are published in the Federal Register at 75 FR
82132, December 29, 2010, and 77 FR 42797, July 20, 2012 under
``Prefatory Statement of General Routine Uses'' (available at http://www.dot.gov/privacy/privacyactnotices).
DISCLOSURE TO CONSUMER REPORTING AGENCIES:
None.
POLICIES AND PRACTICES FOR STORING, RETRIEVING, ACCESSING, RETAINING,
AND DISPOSING OF RECORDS IN THE SYSTEM:
STORAGE:
MCMIS records are stored in an automated system operated and
maintained at the Volpe National Transportation Systems Center (Volpe
Center) in Cambridge, MA.
RETRIEVABILITY:
Records may be retrieved by; individuals' name, Social Security
Number, Employer Identification Number, company name, trade name, and
geographical location.
SAFEGUARDS:
Records in this system are safeguarded in accordance with
applicable rules and policies, including all applicable DOT automated
systems security and access policies. Strict controls have been imposed
to minimize the risk of compromising the information that is being
stored. Access to records in this system is limited to those
individuals who have a need to know the information for the performance
of their official duties and who have appropriate clearances or
permissions.
RETENTION AND DISPOSAL:
Records will be retained and disposed in accordance with National
Archives and Records Administration (NARA) retention disposition
schedule (RDS) NI-557-05-007 item 5. Master data files are
retained on a permanent basis. For a complete discussion of the RDS
please see www.nara.gov.
SYSTEM MANAGER AND ADDRESS:
The system manager is the Division Chief, IT Development Division;
Office of Information Technology; Federal Motor Carrier Safety
Administration; U.S. Department of Transportation; 1200 New Jersey
Avenue SE; W68-330; Washington, DC 20590
NOTIFICATION PROCEDURE:
Individuals seeking notification of and access to any record
contained in this system of records, or seeking to contest its content,
may submit a request in writing to the Tiffanie Coleman, FMCSA FOIA
Officer whose contact information can be found at http://www.dot.gov/foia under ``Contact Us.'' If an individual believes more than one
component maintains Privacy Act records concerning him or her, the
individual may submit the request to the Departmental Freedom of
Information Act Office, U.S. Department of Transportation, Room W94-
122, 1200 New Jersey Ave. SE., Washington, DC 20590, ATTN: FOIA
request.
When seeking records about yourself from this system of records or
any other Departmental system of records your request must conform with
the Privacy Act regulations set forth in 49 CFR Part 10. You must sign
your request, and your signature must either be notarized or submitted
under 28 U.S.C. 1746, a law that permits statements to be made under
penalty of perjury as a substitute for notarization. While no specific
form is required, you may obtain forms for this purpose from the Chief
Freedom of Information Act Officer, http://www.dot.gov/foia or
202.366.4542. In addition you should provide the following:
An explanation of why you believe the Department would have
information on you;
Identify which component(s) of the Department you believe
may have the information about you;
Specify when you believe the records would have been
created;
Provide any other information that will help the FOIA
staff determine which DOT component agency may have responsive records;
and
If your request is seeking records pertaining to another living
individual, you must include a statement from that individual
certifying his/her agreement for you to access his/her records. Without
this bulleted information the component(s) may not be able to conduct
an effective search, and your request may be denied due to lack of
specificity or lack of compliance with applicable regulations.
RECORD ACCESS PROCEDURES:
See ``Notification procedure'' above.
CONTESTING RECORD PROCEDURES:
See ``Notification procedure'' above.
RECORD SOURCE CATEGORIES:
Records are obtained from roadside driver/vehicle inspections and
crash reports submitted by state and local law enforcement agencies and
from investigations performed by state and federal investigators. State
officials and FMCSA field offices forward safety information to MCMIS
immediately after it has been compiled and processed locally.
EXEMPTIONS CLAIMED FOR THE SYSTEM:
Pursuant to subsection (k)(2) of the Privacy Act (5 U.S.C. 552a),
portions of this system are exempt from the requirements of subsections
(c)(3), (d), (e)(4)(G)-(I) and (f) of the Act, for the reasons stated
in DOT's Privacy Act regulation (49 CFR Part 10, Appendix, Part II, at
A.8). See 66 FR 20406, April 23, 2001. A copy of this Notice and
accompanying Privacy Act Exemptions Final Rule may be found on the DOT
Privacy Office Web site--www.dot.gov/privacy.
Issued in Washington, DC, on September 18, 2013.
Claire W. Barrett,
Departmental Chief Privacy Officer.
[FR Doc. 2013-23131 Filed 9-24-13; 8:45 am]
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