[Federal Register: July 27, 2001 (Volume 66, Number 145)]
[Proposed Rules]
[Page 39247-39261]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr27jy01-23]
[[Page 39247]]
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Part III
Department of Transportation
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Federal Motor Carrier Safety Administration
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49 CFR Parts 350 et al.
Commercial Driver's License Standards, Requirements and Penalties;
Commercial Driver's License Program Improvements; Proposed Rule
[[Page 39248]]
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DEPARTMENT OF TRANSPORTATION
Federal Motor Carrier Safety Administration
49 CFR Parts 350, 383, and 384
[Docket No. FMCSA-2001-9709]
RIN 2126-AA60
Commercial Driver's License Standards, Requirements and
Penalties; Commercial Driver's License Program Improvements
AGENCY: Federal Motor Carrier Safety Administration (FMCSA), DOT.
ACTION: Notice of proposed rulemaking (NPRM).
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SUMMARY: The FMCSA proposes various changes to its Commercial Driver's License (CDL) Program. The Motor strong>Carrier Safety Improvement Act of 1999
(MCSIA) mandates these revisions. They are designed to enhance the
safety of commercial motor vehicle (CMV) operations on our nation's highways by ensuring that only safe drivers operate CMVs.
DATES: We must receive your comments by October 25, 2001.
ADDRESSES: You can mail, fax, hand deliver or electronically submit
written comments to the Docket Management Facility, U.S. Department of
Transportation, Dockets Management Facility, Room PL-401, 400 Seventh
Street, SW., Washington, DC 20590-0001. The fax number is (202) 493-
2251. Comments to the web site
(http://dmses.dot.gov/submit) may be typed on-line. You must include
the docket number that appears at in the heading of this document in
your comment. You can examine and copy all comments at the above
address from 9 a.m. to 5 p.m., e.t., Monday through Friday, except
Federal holidays. You may also review the docket on the Internet at
http://dms.dot.gov. If you want notification of receipt of comments,
please include a self-addressed, stamped envelope or postcard, or after
submitting comments electronically, print the acknowledgment page.
FOR FURTHER INFORMATION CONTACT: Mr. Robert Redmond, Office of State
Programs, (202) 366-5014, Federal Motor Carrier Safety Administration,
Department of Transportation, 400 Seventh Street, SW., Washington, DC
20590. Office hours are from 7:45 a.m. to 4:15 p.m., e.t., Monday
through Friday, except Federal holidays.
SUPPLEMENTARY INFORMATION: All comments received before the close of
business on the comment closing date indicated above will be considered
and will be available for examination using the docket number appearing
at the top of this document in the docket room at the above address.
The FMCSA will file comments received after the comment closing date in
the docket and will consider late comments to the extent practicable.
The FMCSA may, however, issue a final rule at any time after the close
of the comment period.
Background
The Commercial Motor Vehicle Safety Act of 1986 (CMVSA) (Public Law
99-570, 100 Stat. 3207-170, 49 U.S.C. 31301) established the commercial
driver's license (CDL) program and the Commercial Driver's License
Information System (CDLIS) to serve as a clearinghouse and repository
of commercial driver licensing and conviction data. The CMVSA also
requires States to ensure that drivers convicted of certain serious
traffic violations be prohibited from operating a CMV. The Secretary of
Transportation was directed to monitor the States' compliance with the
standards established under the CMVSA. The goal of the CMVSA is to
improve highway safety by ensuring that drivers of large trucks and
buses are qualified to operate those vehicles and to remove unsafe and
unqualified drivers from the highways.
In 1994, the agency initiated a benefits and effectiveness study to
evaluate the effectiveness of the CDL program. The final report,
submitted to Congress in 1999, documented vulnerabilities within the
CDL program and provided recommendations to correct them.
Responding in part to the findings of this report, Congress passed
the Motor Carrier Safety Improvement Act of 1999 (MCSIA) (Public Law
106-159,113 Stat. 1748). The MCSIA amended numerous provisions of title
49 of the United States Code relating to the licensing and sanctioning
of CMV drivers required to hold a CDL, and directed the Department of
Transportation (DOT) to amend its regulations to correct specific
weaknesses in the CDL program. This rulemaking proposes to amend
various provisions of Parts 350, 383 and 384 of 49 CFR to implement
these Congressionally mandated changes. The following is an analysis of
these proposed regulations.
Emergency CDL Grants to States
Section 103(d) of the MCSIA authorizes the FMCSA to provide
emergency CDL grants to assist States whose CDL programs may fail to
meet the compliance requirements of 49 U.S.C. 31311(a) [49 CFR part
384, subpart B]. These grants of up to $1,000,000 per State are subject
to the annual appropriation of funds by Congress for information system
grants. The FMCSA proposes adding language at 49 CFR 384.407
implementing FMCSA's authority to administer emergency CDL grants.
Withholding MCSAP Funds From States in Noncompliance With CDL
Requirements
Section 103(e) of the MCSIA requires the FMCSA to withhold Motor
Carrier Safety Assistance Program (MCSAP) grant funds authorized under
section 103(b)(1) of MCSIA from States not in substantial compliance
with 49 CFR part 384, subpart B. This new sanction is in addition to
the one currently contained in 49 CFR part 384, subpart D requiring the
agency to withhold five percent of some of a State's Federal-aid
highway funds following the first year of non-compliance and 10 percent
of such funds following the second and subsequent years of non-
compliance. The amount of money a State could lose is therefore
considerable. The FMCSA proposes amending 49 CFR 350.217 and 384.401 to
implement this new sanction.
Disqualification for Driving While Suspended or Disqualified, and
Causing a Fatality
Section 201(a) of the MCSIA amended the CMVSA to create two new
disqualifying offenses, (1) driving a CMV after one's CDL has been
revoked, suspended or canceled for violations while operating a CMV,
and (2) causing a fatality through the negligent or criminal operation
of a CMV.
The first of these disqualifying offenses requires a violation
while driving a CMV that results in the revocation or suspension of the
driver's CDL [49 U.S.C. 31310(b)(1)(D)]. However, section 201(b) of
MCSIA also requires the disqualification of CDL-holders who are
convicted of a drug-or alcohol-related offense while driving a non-CMV,
provided that conviction results in the revocation, suspension, or
cancellation of the driver's license [49 U.S.C. 31310(g)]. The FMCSA
recently issued a separate NPRM to implement that requirement [66 FR
22499; May 4, 2001], but is proposing in this rulemaking to amend
section 383.51 to disqualify drivers who continue to operate CMVs after
being disqualified, or having had their CDLs revoked, suspended, or
cancelled, regardless of whether the drivers were originally
disqualified, or had their licenses revoked, suspended, or canceled,
for
[[Page 39249]]
violations that occurred in a CMV or non-CMV.
The second disqualifying offense in section 201(a) requires a
conviction for ``causing a fatality through negligent or criminal
operation of a commercial motor vehicle'' [49 U.S.C. 31310(b)(1)(E)]. A
conviction of this type would be included on the driver's record, but
State laws classify convictions for ``negligent or criminal operation''
of CMVs in a variety of different ways. The FMCSA proposes to amend
section 383.51 to add as new disqualifying offenses convictions of
``homicide by motor vehicle, manslaughter, or negligent homicide.'' The
agency requests comments on the accuracy and adequacy of that language
to describe State convictions corresponding to ``negligent or criminal
operation'' of a CMV.
The FMCSA also proposes adding a definition of fatality to section
383.5. It would differ from the definition found in section 390.5,
which requires that the death must occur within 30 days of the
accident. The proposed definition has no time restriction because that
is more consistent with the assessment of criminal culpability in
vehicle death cases and, accordingly, better implements the intent of
this new statutory requirement.
Emergency Disqualification of Drivers Posing an Imminent Hazard
Section 201(b) of the MCSIA requires the Secretary of
Transportation to impose an emergency disqualification on drivers whose
continued operation of a CMV the Secretary determines would constitute
an imminent hazard as defined in 49 USC 5102. If the disqualification
is to be for a period of more than 30 days, the MCSIA further requires
the Secretary to provide the driver with a notice of the proposed
action and an opportunity for a hearing prior to imposition of the
disqualification [49 U.S.C. 31310(f)].
The FMCSA proposes adding a new section (49 CFR 383.52)
establishing the agency's criteria for implementing this new
disqualification, including the notice and hearing requirements for
disqualifications that exceed 30 days. The Associate Administrator for
Enforcement and Program Delivery is the most appropriate official to
make the determination whether or not a driver should be subject to an
emergency disqualification, and the NPRM proposes to assign this
authority accordingly.
Although the legislation does not establish a maximum period for
this disqualification, the FMCSA believes that a one-year maximum is an
appropriate period. In recognition of the fact that many drivers who
would be likely candidates for an emergency disqualification may also
be subject to a longer disqualification under other provisions of the
FMCSRs, the FMCSA proposes adding language to the regulation making
clear that the imposition of an emergency disqualification does not
preclude the imposition of an additional disqualification period if the
driver is later convicted of any disqualifying offense arising out of
the same incident.
The FMCSA notes that there is currently no code to identify this
new Federal emergency disqualification on a driver's history and
encourages the States and AAMVAnet to develop an appropriate code to
identify such an action so that a driver's record may accurately
reflect the fact that this sanction has been imposed.
New Serious Traffic Violations
Section 201(c) of the MCSIA adds three new offenses to the
definition of serious traffic violations [49 U.S.C. 31301(12)(D), (E)
and (F)]. These new violations include: driving a CMV when the driver
has not obtained a CDL; driving a CMV without a CDL in his or her
possession; and driving a CMV without having met the minimum testing
standards for the specific class of CMV being operated or for the type
of cargo being transported on the vehicle. The FMCSA proposes adding
these new offenses to the definition of serious traffic violations in
section 383.5 and to the disqualification of driver provisions in
section 383.51.
Expanded Driver Record Check
Before issuing a new CDL, States are currently required to request
an applicant's driving record from any State that previously issued him
or her a CDL. As amended by section 202(a) of the MCSIA, States will be
required, before issuing or renewing a CDL, to request the applicant's
record from each State that issued him or her any kind of driver's
license [49 U.S.C. 31311(a)(6)]. The FMCSA proposes amending sections
383.71 and 384.206 to incorporate these new requirements.
New Notification Requirements
Section 202(b) of the MCSIA amends 49 USC 31311(a)(8) to add a
requirement that States include and record the violation that resulted
in the driver's disqualification, or the revocation, suspension or
cancellation of his or her CDL, as part of the notification they are
currently required to make under this statutory provision. The FMCSA
proposes adding a new section (49 CFR 384.208) incorporating this new
legislative mandate.
Section 202(c) of the MCSIA clarifies a State's responsibility for
notifying the State where a CDL driver is licensed whenever such an
out-of-state driver is convicted of a violation of any State or local
law relating to motor vehicle traffic control (other than a parking
violation), even if the driver was operating a non-CMV when the offense
was committed [49 U.S.C. 31311(a)(9)]. The MCSIA also requires the
State where such an offense was committed to notify the State where the
driver is licensed if the offense was committed in a CMV, even if the
driver did not have a CDL at the time. The MCSIA further requires that
this notification be made no later than ten days after the driver's
conviction.
Based on its current knowledge of State capabilities to obtain and
transmit driver conviction information, the FMCSA believes that to
immediately impose a ten-day time period would place an extensive and
unreasonable burden on the States. Accordingly, the FMCSA proposes
phasing in this time limitation over six years according to the
following time schedule. Within three years of the effective date of
the final rule, notification must be made within 30 days of the
conviction. Within six years, notification must be made within ten
days. The FMCSA proposes incorporating this new notification
requirement into 49 CFR 384.209.
Prohibition on Issuing Hardship Licenses to Drivers Who Lose CDL
Suspension or revocation of a CDL for an offense committed in a
private car or light truck has the collateral effect of barring truck
and bus drivers from operating a CMV, and thus from earning a living in
that field. In order to avoid that result, some States issue
``hardship'' licenses that authorize holders to operate CMVs, while
barring them from driving all non-CMVs. Although this practice has
always been questionable from a safety standpoint, FMCSA did not have
the authority to prohibit it. Section 202(d) of the MCSIA [49 U.S.C.
31311(a)(10)] now gives the agency that authority. It explicitly
prohibits States from issuing a provisional or temporary hardship
license to CDL-holders who have been disqualified from operating a CMV
or whose CDL has been revoked, suspended or canceled. A truck or bus
driver whose CDL was suspended for speeding or reckless driving in his
sport utility vehicle will now be unable to obtain a hardship license
and may not drive a CMV until his CDL is restored. The FMCSA proposes
amending 49 CFR
[[Page 39250]]
384.210 to implement this new requirement.
Penalties for Violating Licensing Requirements
Section 202(e) of the MCSIA clarifies the responsibility of States
for establishing and imposing appropriate civil and criminal penalties
for drivers committing offenses while operating a CMV. The FMCSA
proposes amending 49 CFR 384.213 to incorporate this provision.
Maintaining Record of All Violations
Section 202(f) of the MCSIA requires the States to maintain a
driver history record for CDL drivers of all convictions of State or
local motor vehicle traffic control laws while operating any type of
motor vehicle [49 U.S.C. 31311(a)(18)]. It also specifies that this
information must be made available to authorized CDLIS users as part of
normal operating practices. While the MCSIA does not specify a
retention period for information on these convictions and other
licensing actions, a minimum retention period of three years is needed
to promote uniformity among the States. The FMCSA proposes adding
section 384.225 to implement this new requirement.
Masking Prohibition
Section 202(g) of the MCSIA prohibits the practice of masking
convictions required to be maintained by or transmitted to the State
where the driver is licensed [49 U.S.C. 31311(a)(19)]. A Joint
Explanatory Statement issued by Congress in conjunction with the MCSIA
makes clear that this new provision is intended to prohibit States not
only from masking convictions, but also from using diversion programs
or any other disposition that would defer the listing of a guilty
verdict on a CDL driver's record. This provision of the MCSIA also
requires that records of such conviction information be made available
to all authorized parties and government entities. The FMCSA proposes
adding this new requirement as section 384.226.
Decertification of State CDL Programs for Noncompliance
Section 203 of the MCSIA requires the FMCSA to prohibit a State
from issuing, renewing, transferring, or upgrading CDLs if the agency
has determined that the State is in substantial noncompliance with the
CDL licensing and sanctioning requirements of 49 CFR part 384, subpart
B [49 U.S.C. 31312]. Because of the severity of this new sanction and
the potential inconvenience to drivers and motor carriers located in
States found to be in non-compliance, this penalty should be used only
after other attempts to bring the State into substantial compliance
with CDL requirements have failed. The FMCSA proposes adding language
at 49 CFR 384.405 to authorize the agency to implement this
decertification authority, and to establish conditions for taking such
action.
To mitigate the impact on drivers and motor carriers in States that
have been decertified, the MCSIA proposes adding a provision to 49 CFR
Secs. 383.7 and 384.405(h) allowing drivers licensed before a State was
decertified to continue to operate CMVs, as long as their licenses
remain valid. The FMCSA also proposes to include language in 49 CFR
383.23(b)(2) authorizing States that are in substantial compliance to
issue nonresident CDLs to drivers living in States that have been
decertified.
School Bus Endorsement
Section 214 of the MCSIA requires the FMCSA to create a new
endorsement that CDL holders must obtain to operate a school bus. To
implement this new endorsement, the FMCSA proposes adding a definition
of school bus to 49 CFR 383.5; amending other provisions of part 383 to
recognize the new school bus endorsement; adding a license code for the
endorsement; and specifying that applicants must pass both a knowledge
and a skills test to obtain the endorsement. We also propose adding a
new section (49 CFR 383.123) to establish the minimum knowledge and
skills test requirements enumerated in the MCSIA for this new
endorsement.
While the MCSIA established the minimum knowledge and skills test
requirements that applicants for the school bus endorsement must meet,
it does not specify what other requirements applicants must meet. The
FMCSA is therefore proposing to require all applicants to meet the same
knowledge and skills requirements they would need to meet to obtain a
passenger vehicle endorsement. The agency would add language to
proposed section 383.123 specifying that applicants for a school bus
endorsement must meet all the requirements for obtaining a passenger
vehicle endorsement as a condition of qualifying for a school bus
endorsement.
During the rulemaking process to implement the CMVSA, numerous
States expressed concern that they lacked the financial and human
resources needed to provide the mandated skills test to the large
number of drivers they anticipated would be applying for a CDL. To
accommodate these concerns, the agency included a provision authorizing
States to substitute driving experience and a good driving record for
the skills test requirements in the final rule implementing the CDL
testing requirements. This ``grandfathering'' provision worked well in
meeting the needs of the States by greatly limiting the number of CDL
applicants having to take a skills test. To ensure that only qualified
individuals would be eligible to receive a CDL without taking the
skills test, the regulations required applicants to have a safe driving
record and experience in the type vehicle they would be driving.
The skills test requirement for the new school bus endorsement
mandated in the MCSIA would impose similar resource burdens on the
States if all current school bus drivers were required to take the new
school bus skills test. Accordingly, the FMCSA proposes including a
provision in 49 CFR 383.123(b) giving States the option of not
requiring applicants for the school bus endorsement to take the skills
test in cases where the applicant has past experience driving a school
bus and a good driving record. Such a ``grandfather clause''
incorporates appropriate experience and safety requirements to
accomplish the objective of the MCSIA without imposing an undue burden
on the States.
Substantial Compliance
The CDL provisions of the MCSIA that are proposed in this
rulemaking add to the list of conditions necessary for States to
achieve substantial compliance with the CMVSA of 1986. Substantial
compliance is required to avoid having certain Federal-aid highway
funds withheld. As provided by section 103(e) of the MCSIA, substantial
compliance is also required to avoid having Motor Carrier Safety
Assistance Program (MCSAP) funds withheld. The FMCSA understands the
complexity of revising State legislation and establishing procedures to
incorporate the new requirements into existing systems.
Section-by-Section Analysis
Section 350.217. What Are the Consequences for a State With a CDL
Program Not in Substantial Compliance With 49 CFR Part 384, Subpart B?
Proposed Sec. 350.217 would require the FMCSA to withhold MCSAP
grant funds authorized under section 103(b)(1) of MCSIA from States
determined not to be in substantial compliance with 49 CFR part 384,
subpart B.
[[Page 39251]]
Section 383.5 Definitions
Section 383.5 would be amended to add three new definitions and
change two existing definitions of words used in part 383 to implement
provisions of the MCSIA. The definitions cover ``fatality'', ``imminent
hazard'', and ``school bus.'' The revised definitions cover
``nonresident CDL,'' to authorize the issuance of a CDL to an
individual domiciled in a State that has been prohibited from issuing
CDLs under 49 CFR 384.405; and ``serious traffic violation,'' by adding
three new offenses to those for which a CDL holder may be disqualified.
These violations are driving a CMV when the driver has not obtained a
CDL; driving a CMV without a CDL in the driver's possession; and
driving a CMV without having met the minimum testing standards for the
specific class of CMV being operated or for the type of cargo being
transported on the vehicle.
Section 383.7 Validity of CDL Issued by Decertified State
Proposed Sec. 383.7 would clarify that a CDL issued by a State
subsequently prohibited from issuing CDLs under 49 CFR 384.405 remains
valid until expiration.
Section 383.23 Commercial Driver's License
Section 383.23 would be amended to allow drivers domiciled in a
State that has been prohibited from issuing CDLs under 49 CFR 384.405,
to apply for a nonresident CDL from a State electing to issue such a
license. References to the date ``April 1, 1992'' are being deleted
from this section because that date has passed and it is no longer
relevant.
Section 383.51 Disqualification of Drivers
The FMCSA would revise Sec. 383.51 by using an if-then table format
that is more easily understandable. We also propose to reserve rows
within the table which are included in an NPRM recently published in
the Federal Register under RIN 2126-AA55 relating to non-CMV
convictions (66 FR22499; May 4, 2001).
Section 383.51 adds two new major violations, and three additional
serious traffic violations, to those for which a CDL holder may be
disqualified. The two new major violations are driving a CMV while the
driver's CDL is revoked, suspended or canceled, or while the driver is
disqualified; and causing a fatality through negligent or criminal
operation of a CMV. The three new serious violations are driving a CMV
when the driver has not obtained a CDL; driving a CMV without a CDL in
the driver's possession; and driving a CMV without having met the
minimum testing standards for the specific class of CMV being operated
or for the type of cargo being transported on the vehicle. This section
would also be amended to specify the disqualification period for first
time and subsequent offenders.
Section 383.52 Disqualification of Drivers Determined To Constitute an
Imminent Hazard
Proposed Sec. 383.52 would establish the FMCSA's criteria for
implementing the emergency disqualification of CDL drivers posing an
imminent hazard as defined in Sec. 383.5.
Section 383.71 Driver Application Procedures
Section 383.71 would be amended to require applicants for an
initial or transferred CDL to provide the State with the name of all
States where they have previously been licensed to drive any type of
motor vehicle so that the State may obtain a complete driving record
for that person.
Section 383.73 State Procedures
Section 383.73 would be amended to require the State to request the
complete driving record of applicants for an initial license, renewal
or transfer of a CDL from all States where the applicant has previously
been licensed to drive any type of motor vehicle.
Section 383.93 Endorsements
Section 383.93 would be amended to add a new paragraph recognizing
the new school bus endorsement and specifying that applicants must pass
both a knowledge and a skills test to obtain this new endorsement.
Section 383.123 Requirements for a School Bus Endorsement
Proposed Sec. 383.123 would establish the knowledge and skills test
requirements for the school bus endorsement. It would also allow States
to exempt applicants, who meet specified requirements and who have a
good driving record, from taking the skills test.
Section 383.153 Information on the Document and Application.
Section 383.153 would be amended to add a license code for the
proposed school bus endorsement.
Section 384.206 State Record Checks
Section 384.206 would be amended to add a requirement that before
issuing or allowing an applicant to transfer a CDL, the State must
conduct a record check of all States where the applicant may have
received a license to operate any type of motor vehicle.
Section 384.208 Notification of Disqualification
Proposed Sec. 384.208 would require any State that disqualifies, or
takes any other action to prohibit, a CDL driver licensed by another
State from operating a CMV for a period of 60 days or more, to notify
the State where the driver is licensed of such action no later than 10
days after the driver is disqualified. This new provision also requires
the notification to identify the violation that resulted in the
disqualification, revocation, suspension or cancellation. The
notification and the information it provides must be recorded on the
driver's record.
Section 384.209 Notification of Traffic Violations
Section 384.209 would be amended to require the State where a CDL
holder is convicted of a State or local traffic control law (except a
parking violation) to notify the State where the driver is licensed,
regardless of the type of vehicle he or she was operating. This
reporting requirement would also apply if the offense were committed
while the driver was operating a CMV, regardless of whether or not the
driver had a CDL. States will need time to implement this new
notification requirement, and the following phase-in period is
therefore proposed. Within three years of the effective date of the
final rule, States must make this notification within 30 days of the
conviction. States are encouraged to implement the ten day notification
time frame established in the MCSIA as expeditiously as possible, with
all States making the required notification within 10 days of the
conviction no later than six years after the effective date of the
final rule.
Section 384.210 Limitation on Licensing
Section 384.210 would be amended to prohibit a State from issuing a
special commercial driver's license or permit (including a provisional
or temporary license) to any CDL driver who is disqualified or who has
his or her non-commercial driver's license or driving privilege
revoked, suspended or canceled.
Section 384.213 State Penalties for Drivers of CMVs
Section 384.213 would be amended to require States to establish and
impose appropriate civil and criminal penalties consistent with the
penalties required by part 383 for violations committed by CDL drivers
while operating a CMV.
[[Page 39252]]
Section 384.225 Record of Violations
Proposed Sec. 384.225 clarifies a State's responsibility for
maintaining records on CDL drivers and drivers convicted of offenses
while operating a CMV that require the driver to have a CDL. This new
section also specifies what information those records must contain, how
long the information must be retained, and who must have access to it.
Section 384.226 Prohibition on Masking Convictions
Proposed Sec. 384.226 prohibits a State from masking conviction
information, and from using diversion programs or other dispositions
that defer the listing imposition of a guilty verdict on a CDL driver's
record.
Section 384.301 Substantial Compliance--General Requirements
Section 384.301 would be amended to add a new paragraph (b)
allowing States up to three years from the effective date of any newly
adopted requirements of subpart B of this part to come into substantial
compliance with those new requirements.
Section 384.307 FMCSA Program Reviews of State Compliance
Section 384.307 would be amended to remove the July 1 deadline by
which the FMCSA must notify a State that a preliminary substantial
noncompliance determination has been made. Removing this requirement
gives the Agency the flexibility to conduct State compliance reviews
until the end of the Federal fiscal year. A provision would also be
added to this section giving a State aggrieved by an adverse decision
under this section the right to seek judicial review consistent with 49
CFR 350.215 governing the cessation of MCSAP grant funding.
Section 384.401 Withholding of Funds Based on Noncompliance
Section 384.401 would be amended to authorize the withholding of
MCSAP supplemental grant funds authorized under section 103(b)(1) of
the MCSIA, in addition to the Federal-aid highway funds specified in 49
U.S.C. 31314, if the FMCSA finds that a State is not in substantial
compliance with 49 CFR part 384, subpart B.
Section 384.403 Availability of Funds Withheld for Non-compliance
Section 384.403 would be amended to delete all references to funds
withheld on or before September 30, 1995, because that date has passed
and no funds were withheld from highway trust funds under this section
prior to that date.
Section 384.405 Decertification of State CDL Program
Proposed Sec. 384.405 would prohibit a State from issuing, renewing
or upgrading a CDL if the Administrator has determined the State is in
substantial noncompliance with 49 CFR part 384, subpart B. This section
would also contain language clarifying that the validity of a CDL
issued by a State prior to the date the Administrator determined that
State to be in substantial noncompliance would remain valid until its
stated expiration date.
Section 384.407 Emergency CDL Grants
Proposed Sec. 384.407 would allow the FMCSA to make emergency CDL
grants to States whose CDL program may fail to meet the compliance
requirements of 49 CFR part 384, subpart B. These grants of up to
$1,000,000 per State would be subject to the annual appropriation of
funds by Congress for information system grants.
Rulemaking Analyses and Notices; Executive Order 12866 (Regulatory
Planning and Review) and DOT Regulatory Policies and Procedures
This NPRM is not a significant regulatory action under section 3(f)
of Executive Order 12866 and does not require an assessment of
potential costs and benefits under section 6(a)(3) of that Order. It
has not been reviewed by the Office of Management and Budget under that
Order. It is not significant under the regulatory policies and
procedures of the Department of Transportation (DOT) (44 FR 11040;
February 26, 1979).
Costs
Six provisions in this NPRM were analyzed. Each is represented here
by the MCSIA section number and the title used in the NPRM. They
include:
Section 201(a), ``Disqualification for Driving While
Suspended, Disqualified and Causing a Fatality'';
Section 201(b), ``Emergency Disqualification of Drivers
Posing an Imminent Hazard'';
Section 201(c), ``New Serious Traffic Violations'';
Section 202(a), ``Expanded Driver Record Check'';
Section 202(b), ``New Notification Requirements; and
Section 202(g), ``Masking Prohibition''.
Several other provisions were examined for potential costs but were
considered non-significant (relative to the above-mentioned sections)
after initial consideration and, as a result, were not analyzed in
detail. These include:
Section 103(c), ``Emergency CDL Grants to States'';
Section 103(e), ``Withholding MCSAP Funds from States in
Non-Compliance with CDL Requirements'';
Section 202(d), ``Prohibition on Issuing Hardship License
to Drivers Who Lose CDL'';
Section 202(e), ``Penalties for Violating Licensing
Requirements'';
Section 203, ``Decertification of State CDL Programs for
Non-Compliance''; and
Section 214, ``School Bus Endorsement'';
Section 201(b), ``Serious Offenses Involving a Non-
commercial Motor Vehicle'' and
Section 215, ``Medical Certification,'' are being analyzed
as part of separate NPRMs.
The primary categories of costs considered in this analysis
include: (1) Information system implementation, modification, and
maintenance costs to State government agencies; (2) labor costs to the
State government agencies to handle new data collection and processing;
and (3) wage reduction costs to CDL holders who are suspended or
disqualified as a result of the new serious traffic violations and
disqualifying offenses addressed under this proposed rule.
First-Year Costs
First-year costs for the six provisions examined for this NPRM
total approximately $12.3 million (present value) and primarily include
information system developments and modifications by State government
agencies. The year of implementation for each provision varies between
2002 and 2004 (depending upon the phase-in period outlined in the
NPRM), but the majority of provisions are assumed to be implemented in
years 2002 and 2003. The totals, broken down by sections of the MCSIA,
are contained in Table A.
[[Page 39253]]
Table A.--Total ``First-Year'' Costs, by MCSIA Section
----------------------------------------------------------------------------------------------------------------
Total first-year costs
MCSIA section MCSIA section title (millions of dollars,
present value)
----------------------------------------------------------------------------------------------------------------
201(a)......................................... ``* * * Driving While Suspended * * $1.61
*''.
201(b)......................................... ``* * * Imminent Hazard''............. 2.15
201(c)......................................... ``Expanded Definition of Serious 1.41
Traffic Violations''.
202(a)......................................... ``Expanded Driver Rercord Check''..... \1\ 1.46
202(b)......................................... ``New Notification Rerquirements''.... \1\ 0.58
202(g)......................................... ``Masking Prohibition''............... \2\ 5.12
------------------------
Total.................................... ...................................... 12.33
----------------------------------------------------------------------------------------------------------------
\1\ Information system implementation costs were spread over three calendar years.
\2\ Includes information system implementation costs, State labor costs to collect, input, and transmit CDL
data, and wage reduction costs to disqualified CDL holders.
These first-year cost estimates were taken from a survey conducted
in the Fall of 2000, by the American Association of Motor Vehicle
Administrators (AAMVA), which queried State motor vehicle
administrations on the potential implementation costs of various
sections of MCSIA. FMCSA used these estimates, submitted by a limited
number of States (between seven and twelve, depending on the particular
MCSIA section) to AAMVA, and extrapolated results to represent
information system development and modification costs to all fifty
States and the District of Columbia. These costs represent personnel,
hardware, and software costs to the State departments of motor vehicles
to install and/or modify State information systems to accommodate the
new MCSIA requirements. Since most of these provisions would be
implemented simultaneously by the States, one could expect some
economies of scale to occur and it is assumed that such cost savings
are included in the estimates submitted by States to AAMVA.
Later-Year Costs
Total later-year costs (e.g., those occurring beyond the first year
of implementation of each provision) are estimated at $272.6 million
(present value, using a 7 percent discount rate). The majority of
later-year costs occur between the years 2003 and 2011, after
implementation of most provisions has begun. These totals, by sections
of the MCSIA, are contained in Table B.
Table B.--Total ``Later Years'' Costs, by MCSIA Section
----------------------------------------------------------------------------------------------------------------
Total first-year costs
MCSIA section MCSIA section title (millions of dollars,
present value)
----------------------------------------------------------------------------------------------------------------
201(a)......................................... ``* * * Driving While Suspended * * $87.5
*''.
201(b)......................................... ``* * * Imminent Hazard''............. 17.6
201(c)......................................... ``Expanded Definition of Serious 43.8
Traffic Violations''.
202(a)......................................... ``Expanded Driver Rercord Check''..... 103.4
202(b)......................................... ``New Notification Rerquirements''.... 3.2
202(g)......................................... ``Masking Prohibition''............... 17.1
------------------------
Total.................................... ...................................... $72.6
----------------------------------------------------------------------------------------------------------------
These costs are primarily comprised of wage reduction costs to CDL
holders who will now be suspended or disqualified as a result of this
rule's implementation. As mentioned, there are also labor costs to
State government employees to handle new or expanded data collection
and processing, although these costs comprise a much smaller percentage
of the total than the wage reduction costs. Examples of expanded or new
data collection costs include the time required by State police to
issue new citations (e.g., ``Expanded Definition of Serious Traffic
Violations'') and time costs for Stateemployees to log new convictions
(as defined under the Federal Motor Carrier Safety Regulations, or
FMCSRs) and transmit to the Commercial Driver's License Information
System (CDLIS).
Analysis indicates that on average, approximately 31,897 commercial
motor vehicle (CMV) drivers will have their CDLs disqualified (e.g.,
revoked, suspended or cancelled) annually as a result of implementing
the six provisions analyzed here. The breakdown of estimated new CDL
withdrawals by MCSIA section is contained in Table C:
Table C.--Estimated Number of CDL Withdrawals Annually, by MCSIA Section
------------------------------------------------------------------------
Annual CDL
MCSIA section NPRM section title withdrawals
------------------------------------------------------------------------
201(a)........................... ``Driving While 4,296
Suspended* * * ''.
201(b)........................... ``* * * Imminent 299
Hazard''.
201(c)........................... ``Expanded Definition of 7,077
Serious Traffic
Violations''.
202(a)........................... ``Expanded Driver Record 16,500
Check''.
202(b)........................... ``New Notification \1\0
Requirements''.
[[Page 39254]]
202(g)........................... ``Masking Prohibition''. 3,725
------------
Total...................... ........................ 31,897
------------------------------------------------------------------------
\1\ Any CDL disqualifications associated with this provision are
accounted for under other, related provisions. For example, States
will be required to notify CDLIS of those convictions CDL holders
receive while operating a non-CMV, but resulting CDL disqualifications
are accounted for under the ``Non-CMV Offenses'' NPRM.
The 31,897 annual CDL disqualifications estimated to occur as a result
of this rule's implementation represent roughly 0.6 percent (or 6/10ths
of one percent) of the total 5.75 million CDL holders currently
estimated to be ``active'' CMV operators.
Given that the current unemployment rate is 4.2 percent (January,
2001, U.S. Department of Labor) and the driver shortage in the motor
carrier industry is currently estimated at approximately 80,000
(American Trucking Associations), FMCSA assumed that those CDL holders
disqualified as a result of this rule would find alternative employment
in the industry (or closely-related ones), albeit at a 10-percent
reduction in hourly wages.
The specific disqualification period assumed for each driver
(during which they are assumed to earn 10 percent less in average
weekly wages) differs significantly from provision to provision
(depending on specific conviction cited), but generally lasts between
520 working hours (e.g., roughly 3 months) and 2080 working hours
(e.g., roughly one year). The specific disqualification periods assumed
for each section of the MCSIA analyzed here are contained in Table D.
Table D.--Disqualification Period Assumed per Driver, by MCSIA Section
------------------------------------------------------------------------
Disqualification
MCSIA section NPRM section title period (hours)
------------------------------------------------------------------------
201(a)........................ ``. . . Driving While 2080 hours
Suspended* * *''.
201(b)........................ ``* * *Imminent 520 hours
Hazard''.
201(c)........................ ``Expanded Definition 520 hours
of Serious Traffic
Violations''.
202(a)........................ ``Expanded Driver 520 hours
Record Check''.
202(b)........................ ``New Notification N/A
Requirements''.
202(g)........................ ``Masking 520 hours
Prohibition''.
------------------------------------------------------------------------
For instance, two convictions of serious traffic violations (e.g.,
excessive speeding, 15 mph over speed limit) within a three-year period
carries a disqualification period of 60 days, while three convictions
within a three-year period carries 120 days, with a midpoint of 90 days
(e.g., 3 months or 520 hours, assuming a 40-hour workweek). A single
conviction of a disqualifying offense (e.g., alcohol-related
conviction) generally carries a one-year disqualification period, or
2080 hours.
Total Costs of MCSIA Provisions
The total cost of this rule to industry and government agencies is
estimated to be approximately $285 million (present value) over the
ten-year analysis period from 2002 through 2011, using a discount rate
of 7 percent.
Benefits
The primary societal benefits expected from this rule are the
truck-related crashes that one would expect to be avoided due to the
additional CMV operators (CDL holders specifically) who will be
suspended or disqualified for violation of the new disqualifying
offenses and serious traffic violations covered under this proposed
rule. It was not possible to estimate the specific number of truck-
related crashes that would be avoided from implementing each provision
of this rule, given that FMCSA analysts had no available data on the
direct link between these specific FMCSR-defined offenses and truck-
related crashes. However, FMCSA analysts did use cost data on truck-
related crashes from Zaloshnja, Miller, and Spicer (``The Costs of
Large Truck-and Bus-Involved Crashes,'' 2000) to derive an estimate of
the total number of truck-related crashes that would have to be avoided
per year for this rule to be cost effective (e.g., for discounted
benefits to equal/exceed discounted costs). Zaloshnja, et al., estimate
that the average cost of all police-reported crashes (e.g., fatal,
injury, and property-damage-only (PDO) crashes) involving trucks with a
gross weight rating of more than 10,000 pounds is $75,637 (in 1999
dollars). The average cost of large truck crashes involving a fatality
is $3.42 million, $217,000 for those involving injuries, and $11,300
for PDO crashes. Using data from ``Trends in Motor Vehicle Crashes''
(FMCSA, December, 2000), it can be seen that fatal, injury, and PDO
crashes accounted for one percent, 21 percent, and 78 percent of all
large truck-related crashes, respectively, in 1999. As such, safety
benefits of this proposed rule would exceed implementation costs if an
average of 500 truck-related crashes are avoided annually over the
2003-2011 analysis period. (No crash reduction benefits are assumed to
occur during the first year of implementation (2002), as a conservative
assumption.) The 500 large truck crashes avoided (mostly PDO crashes),
represents just 0.1 percent (or 1/10th of 1 percent) of the total
452,542 truck-related crashes reported in 1999. Breaking this total
down by type of truck-related crash, the proposed rule will be cost
effective if just 5 fatal crashes, 105 injury-related crashes, and 390
PDO crashes are avoided each year. Due to the conservative assumptions
made here regarding the number of CDL holders expected to be
disqualified because of this NPRM (e.g., more optimistic assumptions
regarding CDL disqualifications would raise the potential crash
reduction expectation), FMCSA analysts believe such crash reduction
estimates are achievable, making this rule likely to be cost-effective.
[[Page 39255]]
As support, the 31,897 annual CDL disqualifications can be examined
more closely. Assume each CDL disqualification period averages three
months, since the disqualification period is assumed to be 90 days in
most cases. Also assume that each CDL holder drives an average of
65,261 miles per year. This estimate is considered conservative, since
other research indicates that large truck operators may travel upwards
of 100,000 miles per year. However, data from the 1999 Highway
Statistics (Table VM-1) on the annual distance traveled in miles for
combination trucks indicates that each vehicle averages 65,261 miles
annually. Therefore, the reduction in total commercial vehicle miles
traveled (VMT) by this group is estimated at 520 million per year
(e.g., 65,261 x 31,897 x 0.25 (% of annual calendar days
disqualified on average). Data from Wang, Knipling, and Blincoe
(Journal of Transportation Statistics, May, 1999) indicates that the
vehicle involvement rate in police-reported crashes for combination
unit trucks is 225.52 per 100 million VMT. As such, from a static
perspective, one could expect crashes involving combination trucks to
be reduced by 1,176 per year from this rule. However, it is probably
more realistic to assume that a sizable portion of these drivers'
shipments would be picked up by other, existing CDL holders. If it is
assumed that only one half of the initial crash reduction estimate is
actually experienced, then 588 combination truck crashes are avoided
each year from this rule. Even at 588 crashes avoided, this rule is
cost-effective, with discounted benefits equaling $317 million (or $32
million more than total discounted costs of $285 million over the 2002-
2011 analysis period).
Regulatory Flexibility Act
The FMCSA has considered whether this interim rule would have a
significant economic impact on a substantial number of small entities,
and has determined that such businesses would not be adversely affected
by this rule relative to larger carriers. The term ``small entities''
comprises small businesses, not-for-profit organizations that are
independently owned and operated and are not dominant in their fields,
and governmental jurisdictions with populations less than 50,000.
In the motor carrier industry, the Small Business Administration
(SBA) defines small entities as those firms earning less than $18.5
million in gross revenues annually. Examining U.S. Census Bureau data
on the revenue size of firms in the ``General Freight Trucking'' sector
(NAICS Code 4841), the vast majority of firms represented in the sample
fall below the SBA annual revenue threshold. And while these small
entities represent over 90 percent of the firms in the sample, they
employ only about 58 percent of the workers.
The primary focus of this rule is to expedite and expand the
exchange of CDL violation information among the states, with the
overall goal of improving commercial vehicle safety through the
retrieval of more accurate, up-to-date CDL holder information. The only
potentially significant cost to the motor carrier industry would be to
CDL holders, due to greater potential for disqualification as a result
of adding new disqualifying offenses and serious traffic violations to
the FMCSRs. However, even the estimated number of new driver
disqualifications resulting from this rule annually (approximately
31,897) is only 0.6 percent of the total number of CDL holders
currently estimated to be active drivers (5.75 million). Since this
proposed rule focuses on all CDL holders, and the number of new drivers
likely to be disqualified is relatively small, FMCSA analysts believe
that small entities are not adversely impacted in absolute terms, or
relative to industry participants overall.
Paperwork Reduction Act
This NPRM calls for collection of information under the Paperwork
Reduction Act (PRA) of 1995 (44 U.S.C. 3501-3520). As defined in 5 CFR
1320(c), ``collection of information'' comprises reporting, record
keeping, monitoring, posting, labeling, and other similar actions. The
title and description of the information collections, a description of
those who must collect the information, and an estimate of the total
annual burden follow.
The time costs associated with implementation of this NPRM are
primarily comprised of the following:
(1) The additional time spent by State police to check a CDL
holder's record for new violations under the FMCSRs. The time cost is
assumed to be 30 seconds per record checked;
(2) The additional time spent by State police to write citations
for new violations covered under this NPRM (e.g., Expanded Definition
of Serious Traffic Violations). The time required is assumed to be 5
minutes per citation written;
(3) The time required by State data entry employees to log the new
conviction data and transmit to CDLIS. These costs are assumed to be
one minute per record; and
(4) The time required by State department of motor vehicle
employees to review a CDL holder's record during license application
and renewal. These costs are assumed to be one minute per record
reviewed. The total new time requirements under this NPRM are contained
in Table E.
Table E.--Annual State Labor Costs To Process Paperwork Resulting From
MCSIA
------------------------------------------------------------------------
Hours
MCSIA section NPRM section title required
annually
------------------------------------------------------------------------
201(a)........................... ``* * * Driving While 19,641
Suspended * * *''.
201(b)........................... * * * Imminent Hazard''. \1\
201(c)........................... ``Expanded Definition of 6,259
Serious Traffic
Violations''.
202(a)........................... ``Expanded Driver Record 27,500
Check''.
202(b)........................... ``New Notification 2,438
Requirements''.
202(g)........................... ``Masking Prohibition''. 1,089
------------
Total Annual Time Cost....... All Six Provisions 56,927
Examined.
------------------------------------------------------------------------
\1\ Negligible
The total annual additional time cost associated with
implementation of this NPRM is estimated to be 56,927 hours. These
costs are almost exclusively borne by State government employees who
are being asked to expand the collection
[[Page 39256]]
and transmission of conviction information for CDL holders, and from
writing additional citations related to new FMCSR violations outlined
in this NPRM.
Unfunded Mandates Reform Act
This rule does not impose a Federal mandate resulting in the
expenditure by State, local, and tribal governments, in the aggregate,
or by the private sector, of $100 million or more in any one year (2
U.S.C. 1531 et seq.).
Executive Order 12988 (Civil Justice Reform)
This action meets 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)
We have analyzed this action under Executive Order 13045,
Protection of Children from Environmental Health Risks and Safety
Risks. This rule is not an economically significant rule and does not
concern an environmental risk to health or safety that may
disproportionately affect children.
Executive Order 12630 (Taking of Private Property)
This rule will not effect a 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 has been analyzed in accordance with the
principles and criteria contained in Executive Order 13132, dated
August 4, 1999, and it has been determined that it would have
significant Federalism implications or limit the policymaking
discretion of the States.
The Federalism implications of the CDL program were addressed in
detail in the rule that established the initial minimum standards (53
FR 27628, July 21, 1988). A summary of the points covered in that rule
includes:
(a) The Congress determined that minimum Federal standards were
required because medium and heavy trucks are involved in a
disproportionately large percentage of fatal accidents. The States were
carefully consulted in establishing the minimum standards that were
established.
(b) The safety problem associated with CMVs is national in scope,
requiring a consistent and reciprocal approach to licensing, which
retained the basic role of the States in issuing licenses.
(c) The standards adopted deliberately allowed maximum flexibility
to the States in implementation of this program.
We believe the policies in this proposed rule are consistent with
the principles and Federalism assessment in the CDL rule that
established the initial minimum standards. Comments on this conclusion
are welcome and should be submitted to the docket.
Executive Order 12372 (Intergovernmental Review)
Catalog of Federal Domestic Assistance Program Number 20.217, Motor
Carrier Safety. The regulations implementing Executive Order 12372
regarding intergovernmental consultation on Federal programs and
activities do not apply to this program.
National Environmental Policy Act
The agency has analyzed this action for purposes of the National
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and it has
determined under DOT Order 5610.1C (September 18, 1979) that this
action does not require any environmental assessment.
List of Subjects
49 CFR Part 350
Grant programs--Transportation, Highway safety, Motor carriers,
Motor vehicle safety, Reporting and recordkeeping requirements.
49 CFR Part 383
Administrative practice and procedure, Commercial driver's license,
Commercial motor vehicles, Highway safety, Motor carriers.
49 CFR Part 384
Administrative practice and procedure, Commercial driver's license,
Commercial motor vehicles, Highway safety, Intergovernmental relations,
Motor carriers.
In consideration of the foregoing, the FMCSA proposes to amend 49
CFR chapter III, as set forth below:
PART 350--[AMENDED]
1. Revise the authority citation for 49 CFR part 350 to read as
follows:
Authority: 49 U.S.C. 31100-31104, 31108, 31136, 31140-31141,
31161, 31310-31312, 31502; Sec. 103 of Pub. L. 106-159, 113 Stat.
1753; and 49 CFR 1.73.
2. Add Sec. 350.217 to subpart B to read as follows:
Sec. 350.217 What are the consequences for a State with a CDL program
not in substantial compliance with 49 CFR part 384, subpart B?
(a) A State with a CDL program not in substantial compliance with
49 CFR part 383, subpart B, as required by 49 CFR part 384, subpart C,
is subject to the loss of all Motor Carrier Safety Assistance Program
(MCSAP) grant funds authorized under section 103(b)(1) of the Motor
Carrier Safety Improvement Act of 1999 (Public Law 106-159, 113 Stat.
1748) and loss of certain Federal-aid highway funds, as specified in 49
CFR part 384, subpart D.
(b) Withheld MCSAP grant funds will be restored to the State if the
State meets the conditions of Sec. 384.403 (b) of this subchapter.
PART 383--[AMENDED]
3. Revise the authority citation for 49 CFR part 383 to read as
follows:
Authority: 49 U.S.C. 521, 31136, 31301 et seq., 31502; Sec. 214
of Pub. L. 106-159, 113 Stat. 1748; and 49 CFR 1.73.
4. Amend Sec. 383.5 to revise the definitions of the terms
``Nonresident CDL'' and ``Serious traffic violation'' and to add the
definitions of the terms ``Fatality'', ``Imminent hazard'' and ``School
bus'' in alphabetical order to read as follows:
Sec. 383.5 Definitions.
* * * * *
Fatality means the death of a person as a result of a motor vehicle
accident.
* * * * *
Imminent hazard means the existence of a condition that presents a
substantial likelihood that death, serious illness, severe personal
injury, or a substantial endangerment to health, property, or the
environment may occur before the reasonably foreseeable completion date
of a formal proceeding begun to lessen the risk of that death, illness,
injury or endangerment.
* * * * *
Nonresident CDL means a CDL issued by a State under either of the
following two conditions:
(a) To an individual domiciled in a foreign country meeting the
requirements of Sec. 383.23(b)(1).
(b) To an individual domiciled in another State meeting the
requirements of Sec. 383.23(b)(2).
* * * * *
School bus means a CMV used to transport pre-primary, primary, or
secondary school students from home to school, from school to home, or
to and from school sponsored events. School bus does not include a bus
used as a common carrier.
[[Page 39257]]
Serious traffic violation means conviction, when operating a CMV,
of:
(a) Excessive speeding, involving any single offense for any speed
of 15 miles per hour or more above the posted speed limit;
(b) Reckless driving, as defined by State or local law or
regulation, including but not limited to offenses of driving a CMV in
willful or wanton disregard for the safety of persons or property;
(c) Improper or erratic traffic lane changes;
(d) Following the vehicle ahead too closely;
(e) A violation, arising in connection with a fatal accident, of
State or local law relating to motor vehicle traffic control (other
than a parking violation). (Serious traffic violations exclude vehicle
weight and defect violations.);
(f) Driving a CMV without obtaining a CDL;
(g) Driving a CMV without a CDL in the driver's possession. Any
individual who provides proof to the enforcement authority that issued
the citation, by the date the individual must appear in court or pay
any fine for such a violation, that the individual held a valid CDL on
the date the citation was issued, shall not be guilty of this offense;
or
(h) Driving a CMV without the proper class of CDL and/or
endorsements for the specific vehicle group being operated or for the
passengers or type of cargo being transported.
* * * * *
5. Add Sec. 383.7 to subpart A to read as follows:
Sec. 383.7 Validity of CDL issued by decertified State.
A CDL issued by a State prior to the date the State is notified by
the Administrator in accordance with the provisions of Sec. 384.405 of
this subchapter that the State is prohibited from issuing CDLs will
remain valid until its stated expiration date.
6. Amend Sec. 383.23 to revise paragraphs (a)(2) and (b) to read as
follows:
Sec. 383.23 Commercial driver's license.
(a) * * *
(2) Except as provided in paragraph (b) of this section, no person
may legally operate a CMV unless such person possesses a CDL which
meets the standards contained in subpart J of this part, issued by his/
her State or jurisdiction of domicile.
(b) Exception. (1) If a CMV operator is not domiciled in a foreign
jurisdiction which the Administrator has determined tests drivers and
issues CDLs in accordance with, or under standards similar to, the
standards contained in subparts F, G, and H of this part, the person
may obtain a Nonresident CDL from a State which does comply with the
testing and licensing standards contained in such subparts F, G, and H
of this part.
(2) If an individual is domiciled in a State while that State is
prohibited from issuing CDLs in accordance with Sec. 384.405 of this
subchapter, that individual is eligible to obtain a Nonresident CDL
from any State which complies with the testing and licensing standards
contained in subparts F, G, and H of this part.
* * * * *
7. Amend Sec. 383.51, as proposed to be revised at 66 FR 22508, by
adding new paragraphs (b)(7) and (b)(8) to Table 1 and by adding new
paragraphs (c)(6), (c)(7), and (c)(8) to Table 2 to read as follows:
Sec. 383.51 Disqualifications of drivers.
* * * * *
(b) * * *
Table 1 to Sec. 383.51
--------------------------------------------------------------------------------------------------------------------------------------------------------
For a first
conviction or refusal
to be tested while For a second
operating a CMV conviction or refusal For a second
For a first conviction transporting to be tested in a conviction or refusal
or refusal to be For a first conviction hazardous materials separate incident of to be tested in a
tested while operating or refusal to be requied to be any offense in this separate incident of
If a driver operates a motor a CMV, a person tested while operating placarded under the Table while operating any offense in this
vehicle and required to have a CDL a non-CMV, a CDL Hazardous materials a CMV, a person Table while operating
and a CDL holder must holder must be Regulations (49 CFR required to have a a CMV or a non-CMV, a
be disqualified from disqualified from part 172, subpart F), CDL and a CDL holder CDL holder must be
operating a CMV for operating a CMV for a person required to must be disqualified disqualified from
have a CDL and a CDL from operating a CMV operating a CMV for
holder must be for
disqualified from
operating a CMV for
--------------------------------------------------------------------------------------------------------------------------------------------------------
* * * * * * *
--------------------------------------------------------------------------------------------------------------------------------------------------------
(7) drives a CMV when the driver's 1 year................ N/A................... 3 years.............. life................. N/A.
CDL is revoked, suspended, or
canceled, or the driver is
disqualified from operating a CMV.
--------------------------------------------------------------------------------------------------------------------------------------------------------
(8) commits homicide by motor 1 year................ N/A................... 3 years.............. life................. N/A.
vehicle, manslaughter, or
negligent homicide through the
operation of a CMV.
--------------------------------------------------------------------------------------------------------------------------------------------------------
* * * * * * *
--------------------------------------------------------------------------------------------------------------------------------------------------------
(c) * * *
[[Page 39258]]
Table 2 to Sec. 383.51
----------------------------------------------------------------------------------------------------------------
For a third or For a third or
For a second For a second subsequent subsequent
conviction of any conviction of any conviction of any conviction of any
offense in this offense in this offense in this offense in this
Table in a Table in a Table in a Table in a
separate incident separate incident separate incident separate incident
If the driver operates a motor within a 3-year within a 3-year within a 3-year within a 3-year
vehicle and period while period while period while period while
operating a CMV, a operating a CMV or operating a CMV, a operating a CMV or
person required to non-CMV, a CDL person required to non-CMV, a CDL
have a CDL must be holder must be have a CDL must be holder must be
disqualified from disqualified from disqualified from disqualified from
operating a CMV operating a CMV operating a CMV operating a CMV
for for for for
----------------------------------------------------------------------------------------------------------------
* * * * * *
*
----------------------------------------------------------------------------------------------------------------
(6) drives a CMV without 60 days........... 60 days........... 120 days.......... 120 days.
obtaining a CDL.
----------------------------------------------------------------------------------------------------------------
(7) drives a CMV without a CDL 60 days........... 60 days........... 120 days.......... 120 days.
in the driver's possession.
----------------------------------------------------------------------------------------------------------------
(8) drives a CMV without the 60 days........... 60 days........... 120 days.......... 120 days.
proper class of CDL and/or
endorsements for the specific
vehicle group being operated or
for the passengers or type of
cargo being transported.
----------------------------------------------------------------------------------------------------------------
* * * * *
8-9. Add Sec. 383.52 to read as follows:
Sec. 383.52 Disqualification of drivers determined to constitute an
imminent hazard.
(a) The Associate Administrator for Enforcement and Program
Delivery or his/her delegate will disqualify from operating a CMV any
driver whose driving is determined to constitute an imminent hazard, as
defined in Sec. 383.5.
(b) In making the determination that a driver constitutes an
imminent hazard at least two of the following six factors must be found
to exist:
(1) The driver has been charged with committing an offense that
upon conviction would require the driver to be disqualified.
(2) The driver's action or inaction resulted in a fatality or
serious bodily injury.
(3) The driver has a condition that makes the driver medically
unqualified to operate a CMV.
(4) The driver transports passengers or hazardous materials.
(5) The driver is an habitual offender, as evidenced by having been
convicted of three or more disqualifying offenses within the past ten
years.
(6) The driver has been convicted of one or more disqualifying
offenses, but has never been disqualified by the State where he or she
is licensed.
(c) The period of the disqualification may not exceed 30 days
unless the provisions of paragraph (d) of this section have been
complied with.
(d) Before imposing a disqualification for a period of more than 30
days, the Associate Administrator for Enforcement and Program Delivery
or his/her delegate will provide the driver notice of the proposed
disqualification and an opportunity for a hearing to present a defense
to the proposed disqualification. A disqualification imposed under this
section may not exceed one year in duration.
(e) Any disqualification imposed in accordance with the provisions
of this section must become a part of the driver's record maintained by
the jurisdiction where the driver is licensed.
(f) Nothing in this section precludes a driver who would, upon
conviction of a specific offense, be subject to a longer
disqualification under other provisions of this subpart, or State law
or regulation, from being disqualified for the longer period required
by those provisions.
10. Amend Sec. 383.71 to remove the period at the end of paragraph
(a)(6) and add a semicolon in its place, to remove the period at the
end of paragraph (a)(7) and add ``; and'' in its place, to remove
``and'' at the end of paragraph (b)(3), to remove the period at the end
of paragraph (b)(4) and add ``; and'' in its place, to remove ``and''
at the end of paragraph (c)(2), to remove the period at the end of
paragraph (c)(3) and add ``; and'' in its place, and to add paragraphs
(a)(8), (b)(5) and (c)(4) to read as follows:
Sec. 383.71 Driver application procedures.
(a) * * *
(8) Provide the name of all States where the applicant has
previously been licensed to drive any type of motor vehicle.
(b) * * *
(5) Provide the name of all States where the applicant has
previously been licensed to drive any type of motor vehicle.
(c) * * *
(4) Provide the name of all States where the applicant has
previously been licensed to drive any type of motor vehicle.
* * * * *
11. Amend Sec. 383.73 to revise paragraphs (a)(3)(ii) and
(a)(3)(iii) introductory text and to add paragraph (a)(3)(iv) to read
as follows:
Sec. 383.73 State procedures.
(a) * * *
(3) * * *
(ii) A check with the CDLIS to determine whether the driver
applicant already has a CDL, whether the applicant's license has been
suspended, revoked, or canceled, or if the applicant has been
disqualified from operating a commercial motor vehicle;
(iii) A check with the National Driver Register (NDR) to determine
whether the driver applicant has:
* * * * *
(iv) A request for the applicant's complete driving record from all
States where the applicant was previously licensed to drive any type of
motor vehicle; and
* * * * *
12. Amend Sec. 383.93 to add paragraphs (b)(5) and (c)(5); and
revise paragraphs
[[Page 39259]]
(b)(3), (b)(4), (c)(3) and (c)(4) to read as follows:
Sec. 383.93 Endorsements.
* * * * *
(b) * * *
(3) Tank vehicles;
(4) Required to be placarded for hazardous materials; or
(5) School buses.
(c) * * *
(3) Tank vehicle--knowledge test;
(4) Hazardous Materials--knowledge test; and
(5) School bus--knowledge and skills test.
13. Add Sec. 383.123 to subpart G to read as follows:
Sec. 383.123 Requirements for a school bus endorsement.
(a) An applicant for a school bus endorsement must satisfy the
following three requirements:
(1) Qualify for passenger vehicle endorsement. Pass the knowledge
and skills test for obtaining a passenger vehicle endorsement.
(2) Knowledge test. Must have knowledge covering at least the
following three topics:
(i) Loading and unloading children, including the safe operation of
stop signal devices, external mirror systems, flashing lights and other
warning and passenger safety devices required for school buses by State
or Federal law or regulation.
(ii) Emergency exits and procedures for safely evacuating
passengers in an emergency.
(iii) State and Federal laws and regulations related to safely
traversing highway rail grade crossings.
(3) Skills test. Must take a driving skills test in a school bus of
the same vehicle group (see Sec. 383.91(a)) as the school bus applicant
will drive.
(b) Substitute for driving skills test. (1) At the discretion of a
State, the driving skills test required in paragraph (a)(3) of this
section may be waived for an applicant who is currently licensed, has
experience driving a school bus, has a good driving record, and meets
the conditions set forth in paragraph (b)(3) of this section.
(2) A State that wishes to waive the skills test otherwise required
by paragraph (a)(3) of this section, must subject applicants, at a
minimum, to the conditions and limitations specified in paragraph
(b)(3) of this section.
(3) An applicant must certify and the State must verify that,
during the two-year period immediately prior to applying for the school
bus endorsement, the applicant:
(i) Held a valid CDL with a passenger vehicle endorsement to
operate a school bus representative of the group he or she will be
driving;
(ii) Has not had his or her driver's license or CDL suspended,
revoked or canceled or been disqualified from operating a CMV;
(iii) Has not been convicted of any of the disqualifying offenses
in Sec. 383.51(b) or of any offense in a non-CMV that would be
disqualifying under Sec. 383.51(b) if committed in a CMV;
(iv) Has not had more than one conviction of any of the serious
traffic violations defined in Sec. 383.5, while operating any type
motor vehicle;
(v) Has not had any conviction for a violation of State or local
law relating to motor vehicle traffic control (other than a parking
violation) arising in connection with any traffic accident;
(vi) Has no record of an accident in which he or she was at fault;
and
(vii) Has been regularly employed as a school bus driver and
operated a school bus representative of the group the applicant seeks
to drive and provides evidence of such employment.
(4) After [date 3 years after the effective date of final rule] the
provisions in this paragraph (b) do not apply.
14. Amend Sec. 383.153 to redesignate paragraph (a)(9)(vi) as
paragraph (a)(9)(vii), revise paragraph (a)(9)(v) and add new paragraph
(a)(9)(vi) to read as follows:
Sec. 383.153 Information on the document and application.
(a) * * *
(9) * * *
(v) X for a combination of tank vehicle and hazardous materials
endorsements;
(vi) S for school bus; and
* * * * *
PART 384--[AMENDED]
15. Revise the authority citation for 49 CFR part 384 to read as
follows:
Authority: 49 U.S.C. 31136, 31301 et seq., 31502; Sec. 103 of
Pub. L. 106-159, 113 Stat. 1748; and 49 CFR 1.73.
16. Amend Sec. 384.206 to revise paragraph (a)(2) to read as
follows:
Sec. 384.206 State record checks.
(a) * * *
(2) Other States' records. Before the initial or transfer issuance
of a CDL to a person, and before renewing a CDL held by any person, the
issuing State must:
(i) Require the applicant to provide the names of all States where
the applicant has previously been licensed to operate any type of motor
vehicle.
(ii) Within the time period specified in Sec. 384.232, request the
complete driving record from all States where the applicant was
previously licensed to operate any type of motor vehicle.
(iii) States receiving a request for the driving record of a person
currently or previously licensed by the State must provide the
information within 30 days.
* * * * *
17. Add Sec. 384.208 to read as follows:
Sec. 384.208 Notification of disqualification.
(a) No later than 10 days after disqualifying a CDL holder licensed
by another State, or revoking, suspending, or canceling an out of State
CDL holder's privilege to operate a commercial motor vehicle, for at
least 60 days, the State must notify the State that issued the license
of the disqualification, revocation, suspension, or cancellation.
(b) The notification must include both the disqualification and the
violation that resulted in the disqualification, revocation,
suspension, or cancellation. The notification and the information it
provides must be recorded on the driver's record.
18. Revise Sec. 384.209 to read as follows:
Sec. 384.209 Notification of traffic violations.
(a) Required notification with respect to CDL holders. Whenever a
person who holds a CDL from another State is convicted of a violation
of any State or local law relating to motor vehicle traffic control
(other than a parking violation), in any type of vehicle, the licensing
entity of the State in which the conviction occurs must notify the
licensing entity in the State where the driver is licensed of this
conviction within the time period established in paragraph (c) of this
section.
(b) Required notification with respect to non-CDL holders. Whenever
a person who does not hold a CDL, but who is licensed to drive by
another State, is convicted of a violation in a CMV of any State or
local law relating to motor vehicle traffic control (other than a
parking violation), the licensing entity of the State in which the
conviction occurs must notify the licensing entity in the State where
the driver is licensed of this conviction within the time period
established in paragraph (c) of this section.
(c) Time period for notification of traffic violations. (i)
Beginning on [date 3 years after effective date of final rule], the
notification must be made within 30 days of the conviction.
(ii) Beginning on [date 6 years after effective date of final
rule], the notification must be made within 10 days of the conviction.
[[Page 39260]]
19. Revise Sec. 384.210 to read as follows:
Sec. 384.210 Limitation on licensing.
A State must not knowingly issue a CDL or a commercial special
license or permit (including a provisional or temporary license)
permitting a person to drive a CMV during a period in which:
(a) A person is disqualified from operating a CMV, as
disqualification is defined by Sec. 383.5 of this subchapter, or under
the provisions of Sec. 383.73(g) of this subchapter;
(b) The CDL holder's noncommercial driving privilege has been
revoked, suspended, or cancelled; or
(c) Any type of driver's license held by such person is suspended,
revoked, or canceled by the State where the driver is licensed for any
State or local law related to motor vehicle traffic control (other than
parking violations).
20. Revise Sec. 384.213 to read as follows:
Sec. 384.213 State penalties for drivers of CMVs.
The State must impose on drivers of CMVs appropriate civil and
criminal penalties that are consistent with the penalties prescribed
under part 383, subpart D, of this subchapter.
21. Add Sec. 384.225 to read as follows:
Sec. 384.225 Record of violations.
The State must:
(a) CDL holders. Record and maintain as part of the driver history
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.
(b) Non-CDL holders. Record and maintain as part of the driver
history 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 while the
driver was operating a CMV.
(c) Make driver history information required by this section
available to the authorized users designated in paragraph (e) of this
section within 10 days of:
(1) Receiving the conviction or disqualification information from
another State; or
(2) The date of the conviction, if it occurred in the same State.
(d) Retain on the driver history record all convictions,
disqualifications and other licensing actions for violations for at
least 3 years or longer as required under Sec. 384.231(d).
(e) Only the following authorized users may receive the designated
information:
(1) States--All information on all driver records.
(2) Secretary--All information on all driver records.
(3) Driver--Only information related to that driver's record.
(4) Motor Carrier or Prospective Motor Carrier--After notification
to a driver, all information related to that driver's, or prospective
driver's, record.
22. Add Sec. 384.226 to read as follows:
Sec. 384.226 Prohibition on masking convictions.
The State must not mask, defer imposition of judgment, or allow an
individual to enter into a diversion program that would prevent a CDL
driver's conviction for any violation, in any type of motor vehicle, of
a State or local traffic control law (except a parking violation), from
appearing on the driver's record, whether the driver was convicted for
an offense committed in the State where the driver is licensed or
another State.
23. Revise Sec. 384.301 to read as follows:
Sec. 384.301 Substantial compliance-general requirements
(a) To be in substantial compliance with 49 U.S.C. 31311(a), a
State must meet each and every standard of subpart B of this part by
means of the demonstrable combined effect of its statutes, regulations,
administrative procedures and practices, organizational structures,
internal control mechanisms, resource assignments (facilities,
equipment, and personnel), and enforcement practices.
(b) A State shall come into substantial compliance with the
requirements of subpart B of this part in effect as of [effective date
of final rule] as soon as practical, but, unless otherwise specifically
provided in this part, not later than three years after [effective date
of final rule].
24. Revise Sec. 384.307 to read as follows:
Sec. 384.307 FMCSA program reviews of State compliance.
(a) FMCSA Program Reviews. Each State's CDL program will be subject
to review to determine whether or not the State meets the general
requirement for substantial compliance in Sec. 384.301. The State must
cooperate with the review, and provide any information requested by the
FMCSA.
(b) Preliminary FMCSA determination and State response. If, after
review, a preliminary determination is made either that the State has
not submitted the required annual self-certification or that the State
does not meet one or more of the minimum standards for substantial
compliance under subpart B of this part, the State will be informed
accordingly.
(c) Reply. The State will have up to 30 calendar days to respond to
the preliminary determination. The State's reply must explain what
corrective action it either has implemented or intends to implement to
correct the deficiencies cited in the notice or, alternatively, why the
FMCSA's preliminary determination is incorrect. The State must provide
documentation of corrective action as required by the Agency.
Corrective action must be adequate to correct the deficiencies noted in
the program review and be implemented on a schedule mutually agreed
upon by the Agency and the State. Upon request by the State, an
informal conference will be provided during this time.
(d) Final FMCSA determination. If, after reviewing a timely
response by the State to the preliminary determination, a final
determination is made that the State is not in compliance with the
affected standard, the State will be notified of the final
determination. In making its final determination the FMCSA will take
into consideration the corrective action either implemented or planned
to be implemented in accordance with the mutually agreed upon schedule.
(e) State's right to judicial review. Any State aggrieved by an
adverse decision under this section may seek judicial review under 5
U.S.C. chapter 7.
25. Revise Sec. 384.401 to read as follows:
Sec. 384.401 Withholding of funds based on noncompliance.
(a) Following first year of noncompliance. A State is subject to
both of the following sanctions:
(1) An amount equal to five percent of the Federal-aid highway
funds required to be apportioned to any State under each of sections
104(b)(1), (3), and (4) of title 23, U.S.C., shall be withheld on the
first day of the fiscal year following such State's first year of
noncompliance under this part.
(2) The Motor Carrier Safety Assistance Program (MCSAP) grant funds
authorized under section 103(b)(1) of the Motor Carrier Safety
Improvement Act of 1999 (Public Law 106-159, 113 Stat. 1754) shall be
withheld from a State on the first day of the fiscal year following the
fiscal year in which the FMCSA determined that the State was not in
substantial compliance with subpart B of this part.
[[Page 39261]]
(b) Following second and subsequent year(s) of noncompliance. A
State is subject to both of the following sanctions:
(1) An amount equal to ten percent of the Federal-aid funds
required to be apportioned to any State under each of sections
104(b)(1), (3), and (4) of title 23, U.S.C., shall be withheld on the
first day of the fiscal year following such State's second or
subsequent year of noncompliance under this part.
(2) The Motor Carrier Safety Assistance Program (MCSAP) grant funds
authorized under section 103(b)(1) of the Motor Carrier Safety
Improvement Act of 1999 (Public Law 106-159, 113 Stat. 1754) shall be
withheld from a State on the first day of the fiscal year following the
fiscal year in which the FMCSA determined that the State had not
returned to substantial compliance with subpart B of this part.
26. Revise Sec. 384.403 to read as follows.
Sec. 384.403 Availability of funds withheld for non-compliance.
(a) Federal-aid highway funds withheld from a State under
Sec. 384.401 (a)(1) or (b)(1) shall not thereafter be available for
apportionment to the State.
(b) MCSAP funds withheld from a State under Sec. 384.401(a)(2) or
(b)(2) remain available until June 30 of the fiscal year in which they
were withheld. If, before June 30 the State submits a document signed
by the Governor or his delegate certifying, and the FMCSA determines,
that the State is now in substantial compliance with the standards of
subpart B of this part, the withheld funds shall be restored to the
State. After June 30 unrestored funds shall lapse and be allocated in
accordance with Sec. 350.313 of this subchapter to all States currently
in substantial compliance with subpart B of this part.
27. Add Sec. 384.405 to read as follows:
Sec. 384.405 Decertification of State CDL program.
(a) Prohibition on CDL licensing activities. The Administrator may
prohibit a State found to be in substantial noncompliance from
performing any of the following four licensing transactions:
(1) Issuance of initial CDLs.
(2) Renewal of CDLs.
(3) Transfer of out-of-State CDLs to the State.
(4) Upgrade of CDLs.
(b) Conditions considered in making decertification determination.
The Administrator will consider, but is not limited to, the following
five conditions in determining whether the CDL program of a State in
substantial noncompliance should be decertified:
(1) The State computer system does not check the Commercial Drivers
License Information System (CDLIS) and/or National Driver Register
(NDR) as required by Sec. 383.73 of this subchapter when processing CDL
applicants, drivers transferring a CDL issued by another State, CDL
renewals and upgrades.
(2) The State does not disqualify drivers convicted of
disqualifying offenses in commercial motor vehicles.
(3) The State does not transmit convictions for out of State
drivers to the home State.
(4) The State does not properly administer knowledge and/or skills
tests to CDL applicants or drivers.
(5) The State fails to submit a corrective action plan for a
substantial compliance deficiency or fails to implement a corrective
action plan within the agreed upon time frame.
(c) Standard for considering deficiencies. The deficiencies
described in paragraph (b) of this section must affect a substantial
number of either CDL applicants or drivers.
(d) Decertification: preliminary determination. If the
Administrator finds that a State is in substantial noncompliance with
subpart B of this part, as indicated by the factors specified in
Sec. 384.405(b), among other things, the FMCSA will inform the State
that it has made a preliminary determination of noncompliance and that
the State's CDL program may therefore be decertified. Any response from
the State, including factual or legal arguments or a plan to correct
the noncompliance, must be submitted within 30 calendar days after
receipt of the preliminary determination.
(e) Decertification: final determination. If, after considering all
material submitted by the State in response to the FMCSA's preliminary
determination, the Administrator decides that substantial noncompliance
exists which warrants decertification of the CDL program, he or she
will issue a decertification order prohibiting the State from issuing
CDLs until such time as the Administrator determines that the
condition(s) causing the decertification has (have) been corrected.
(f) Recertification of a State. The Governor of the decertified
State or his or her designated representative must submit a
certification and documentation that the condition causing the
decertification has been corrected. If the FMCSA determines that the
condition causing the decertification has been satisfactorily
corrected, the Administrator will issue a recertification order,
including any conditions that must be met in order to begin issuing
CDLs in the State.
(g) State's right to judicial review. Any State aggrieved by an
adverse decision under this section may seek judicial review under 5
U.S.C. chapter 7.
(h) Validity of previously issued CDLs. A CDL issued by a State
prior to the date the State is prohibited from issuing CDLs in
accordance with provisions of paragraph (a) of this section, will
remain valid until its stated expiration date.
28. Add Sec. 384.407 to read as follows:
Sec. 384.407 Emergency CDL grants.
The FMCSA may provide grants of up to $1,000,000 per State from
funds made available under 49 U.S.C. 31107(a), to assist States whose
CDL programs may fail to meet the compliance requirements of subpart B
of this part.
Issued on: July 17, 2001.
Julie Anna Cirillo,
Acting Deputy Administrator.
[FR Doc. 01-18312 Filed 7-26-01; 8:45 am]
BILLING CODE 4910-EX-P