[Federal Register: July 2, 2010 (Volume 75, Number 127)]
[Notices]
[Page 38603-38605]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr02jy10-141]
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---------------------------------------------------------------------------------------------------------------------------------------------- DEPARTMENT OF TRANSPORTATION Federal Motor Carrier Safety Administration
State Responsibility for the Timely Reporting and Posting of
Certain Convictions and Disqualifications Involving Commercial Driver's
License Holders
AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.
[[Page 38604]]
ACTION: Notice.
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SUMMARY: The Federal Motor Carrier Safety Administration announces
guidance to State driver licensing agencies (SDLAs) to support their
efforts at achieving compliance with the Federal Commercial Driver's
license (CDL) rules concerning timely reporting and posting of
convictions for traffic offenses. This action is in response to the
Department of Transportation Office of the Inspector General's (OIG)
2009 report Audit of the Data Integrity of the Commercial Driver's
License Information System (CDLIS).
FOR FURTHER INFORMATION CONTACT: Selden Fritschner, Chief, Commercial
Driver's License Division, Federal Motor Carrier Safety Administration,
1200 New Jersey Ave. SE, Washington, DC 20590. E-mail:
selden.fritschner@dot.gov, Telephone: 202-366-0677.
SUPPLEMENTARY INFORMATION:
I. Background
Section 202 of the Motor Carrier Safety Improvement Act of 1999 (PL
106-159) requires that whenever an individual is convicted of certain
traffic offenses in a State, and the individual has a commercial
driver's license (CDL) issued by another State, the State of Conviction
(SOC) must notify the driver's State of Record (SOR) in a timely
manner. This includes all convictions (as defined in 49 CFR 383.5), in
any type of motor vehicle, involving a State or local law relating to
motor vehicle traffic control (other than a parking violation). This
also includes some convictions listed in 49 CFR 383.51 that are not
directly related to motor vehicle traffic control but that are deemed
critical to ensuring highway safety.
On July 31, 2002, FMCSA published a final rule (67 FR 49761)
requiring SOCs to begin notifying a driver's SOR within 30 days for all
convictions occurring after September 30, 2005. Beginning September 30,
2008, the SOCs were required to report convictions to the SORs within
10 days (49 CFR 384.209).
In July 2009, the Department of Transportation's Office of
Inspector General released the report Audit of the Data Integrity of
the Commercial Driver's License Information System) as required by the
Safe, Accountable, Flexible, Efficient Transportation Equity Act: A
Legacy for Users (SAFETEA-LU) (Pub. L. 109-59). In preparing this
report, OIG evaluated several factors related to CDLIS, including the
timeliness of convictions received from courts and posted by State
driver licensing agencies. In its CDLIS report, OIG estimated that
500,000 active CDL holders have convictions on their driver history
record (DHR) from States other than their SOR. The OIG further
estimated that up to 20 percent of those CDL holders have convictions
on their DHR that were not reported to their SOR and posted in a timely
manner.
This reporting delay reduces highway safety by enabling CDL holders
convicted of disqualifying offenses to continue driving without being
detected by roadside inspection officials. These delays also make it
difficult for motor carriers to identify and remove from service
drivers who have been convicted of disqualifying offenses. In some
instances, this includes drivers who have been convicted of multiple
major traffic offenses and who should be disqualified from holding a
CDL for life. As part of its mission to reduce the number of
fatalities, injuries, and crashes involving large trucks and buses, and
as part of its responsibility to ensure State compliance with the
minimum CDL program standards established by Federal regulations, FMCSA
provides this notice and guidance to all SDLAs on the conviction
reporting requirements.
II. Requirements
Whenever a CDL holder, or a person operating a CMV who is required
to have a CDL, is convicted of a traffic offense in a State other than
the State in which he or she is licensed, the SOC must notify the SOR
within 10 days of the conviction (See 49 CFR 384.209).
Whenever a CDL holder is disqualified or has his driving privileges
withdrawn or suspended from operating a CMV for longer than 60 days in
a State other than the State in which he or she is licensed, the State
of Withdrawal must notify the SOR within 10 days of the
disqualification action. This notification must include information
related to the disqualification and the violation that resulted in the
disqualification, or suspension (See 49 CFR 384.208).
Whenever a SDLA receives notification of a conviction or
disqualification from another State, it must post the information to
the DHR within 10 days of receipt (See 49 CFR 384.225(c) (1)). Further,
whenever a SDLA receives notification of a conviction occurring within
the same State, it must post the information to the DHR within 10 days
of the conviction (See 49 CFR 384.225(c) (2)).
Guidance
FMCSA provides the following guidance to States on how to come into
compliance with the provisions of the Federal regulations related to
the timely reporting and posting of convictions and disqualifications.
I. Incoming Conviction Reports on Paper
SDLAs that receive conviction data from courts on paper (either
direct mailing of the traffic citation with the disposition indicated
or conviction summary reports generated by the courts) have several
options to expedite processing:
Sort incoming conviction data and prioritize handling for
any conviction that indicates the violation involved a CDL holder, a
CMV that requires the driver to hold a CDL, hazardous material, or a
passenger CMV (collectively hereafter referred to as CDL/CMV
convictions);
Designate certain data entry personnel within the SDLA to
process CDL/CMV convictions exclusively, or as their highest priority
when such data is received;
Request that courts pre-sort CDL/CMV conviction data and
provide special markings when reporting it to the SDLA (see section III
for further information);
Request that courts send conviction data related to CDL/
CMV convictions as soon as practicable after disposition (the same day
if possible);
Prioritize the correction of any internal or external data
entry errors that involve CDL/CMV convictions;
Explore options for expedited delivery of CDL/CMV
conviction data to the SDLA; and
Explore options for an electronic conviction transmission
system (see section II for further information).
II. Incoming Conviction Reports via Electronic Transmission
SDLAs that receive CDL/CMV conviction data from courts by an
electronic conviction transmission system are at an advantage. The data
entry is already completed and can be posted to the driver's record
with minimal effort, and the actual transmission of the information is
either instantaneous or submitted daily through a batch process. SDLAs
can expedite processing electronic transmission further if they:
Request that courts process dispositions for CDL/CMV
offenses into their case management systems the same day as the final
determination;
Request that courts alter their case management systems to
transmit CDL/CMV conviction data to the SDLA on a daily basis (rather
than weekly or monthly);
[[Page 38605]]
Prioritize the correction of any transmission or
processing errors involving CDL/CMV convictions;
Work to ensure that all courts use electronic transmission
of CDL/CMV convictions if it is an available alternative; and
Continuously improve the electronic conviction
transmission system to take advantage of emerging technological
advances.
III. Judicial Outreach
SDLAs should strengthen their partnerships with the courts in their
jurisdiction to bring about greater success in achieving compliance
with the reporting requirements. SDLAs can take several steps to help
strengthen these partnerships and their judicial outreach efforts if
they:
Determine which court personnel are most responsible for
ensuring that information related to CDL/CMV offenses are transmitted
to the SDLA in a timely manner; this may be the Judge, the Clerk of
Court's Office, or the Prosecutor;
Designate an individual or organizational unit within the
SDLA as having responsibility to engage in judicial outreach
activities;
Ensure that all involved personnel understand the
importance of timely conviction reporting. FMCSA evaluates compliance
of the SDLA and all involved entities that impact the State's CDL
program and contribute to compliance with the requirements of 49 CFR
part 384;
Engage in proactive steps to discuss process improvement,
including site visits, routine e-mails or newsletters, and
presentations at State or regional conferences;
Request assistance in outreach efforts from other State
level agencies and organizations if appropriate (e.g., Administrative
Office of the Courts, the Governor's Highway Safety Office,
Associations/Counsels for judges, clerks, and prosecutors); and
Request from FMCSA information and guidance on judicial
training.
IV. Utilize CDLIS
CDLIS has the capability to transmit conviction and
disqualification information to other States. All States now have the
ability to receive these convictions and disqualifications
electronically. States should utilize this functionality whenever
possible to expedite the transmission and final posting of CDL/CMV
convictions and disqualifications.
V. Statutory Reporting Periods
If State statutes address the timely reporting and posting of
convictions, they must not conflict with the applicable Federal
regulations (this includes court reporting convictions to the SDLA, the
SDLA reporting out-of-State convictions to the SOR, or the SDLA posting
in-State convictions to the DHR).
Some States have statutory or due process requirements that prevent
courts from sending a conviction to the SDLA immediately upon
disposition. This requirement generally allows for appeals or other
procedural actions prior to the State posting the conviction to the DHR
or sending it to the SOR. States reported to FMCSA that these mandatory
holding periods negatively impact their ability to comply with the
timeliness requirements. In these instances, FMCSA stands ready to
discuss the requirements unique to each State and discuss alternatives
that may reduce or eliminate the negative impact to the State's
compliance.
VI. Funding
SDLAs have secured various funding sources for electronic
conviction reporting systems, including fees assessed against those
convicted of traffic offenses, direct appropriation in the State's
budget, or through other available revenue. The FMCSA encourages SDLAs
to engage in direct communication with other SDLAs to solicit ideas and
implementation strategies.
States also have the option of requesting grants from various
Federal agencies, including FMCSA's CDL Program Improvement grant
(CDLPI). While CDLPI grants cannot fund an entire statewide electronic
conviction system, and cannot be used to support any effort
indefinitely, States can request financial assistance to establish
demonstration projects and other proof-of-concept efforts that can help
SDLAs secure additional funding through other means.
Compliance
FMCSA takes seriously its responsibility to ensure State compliance
with all provisions of 49 CFR part 384, especially those involving the
timely reporting and posting of convictions and disqualifications.
FMCSA will work with the States to the greatest extent practicable to
address the findings in the OIG report and to ensure compliance by
using available electronic reporting and manual auditing methods. FMCSA
will examine these reports and conduct audits independently of any
established evaluation cycle or review process. FMCSA will begin
posting maps and matrices providing details regarding State compliance
with timeliness requirements on the FMCSA Web site in the third quarter
of fiscal year 2010. FMCSA will post this information quarterly. States
should review this status information to determine the scope of the
efforts needed to come into compliance.
Issued on: June 23, 2010.
Anne S. Ferro,
Administrator.
[FR Doc. 2010-16218 Filed 7-1-10; 8:45 am]
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