DOT/FMCSA 001
System name: Motor Carrier Management Information System (MCMIS).
Security classification: Unclassified, Sensitive.
System location: Austin Automation Center (AAC), Department of Veterans Affairs (VA), 1615 Woodward Street, Austin, TX 78772 (www.aac.va.gov).
Categories of individuals covered by the system of records: Individuals who are the sole employee (owner/operator) of a company subject to the Federal Motor Carrier Safety Regulations. Drivers of commercial vehicles who were involved in a recordable crash or who were the subject of a roadside driver/vehicle inspection or an investigatory action.
Categories of records in the system: Records include information, which supports investigatory procedures and enforcement actions. Company operation records are identified by legal name, trade name, physical and mailing addresses, USDOT number, MC or MX number, Dun & Bradstreet number and Tax Identification Number which, in the case of an owner/operator, is the individual's Social Security Number. Drivers and co-drivers are identified by name, date of birth, license number and license State. Inspection records include violations of applicable Federal and State laws that were discovered during an inspection. Information maintained in the MCMIS includes demographic and safety performance information on approximately 600,000 interstate and foreign motor carriers and hazardous material shippers operating in the United States. Additionally, information on intrastate carriers is being added to MCMIS as States move toward use of a single USDOT number to identify all motor carriers. Data in MCMIS include: Motor Carrier Identification (Census)--This data includes the USDOT number, carrier identification, carrier address, type and size of operation, commodities carried, as well as other characteristics of the operation. Approximately 50,000 new entities are added to the census file annually. Driver/Vehicle Inspection Data--This data is collected during roadside inspections of drivers and vehicles. Violations of safety regulations governing the driver, the vehicle and those specifically related to the transportation of hazardous materials are included. The majority of driver/vehicle inspections are conducted by State officers. Approximately 2 million inspections of motor carriers' drivers and vehicles operating in interstate commerce and 300,000 inspections of motor carriers operating intrastate are entered into MCMIS annually. Crashes--This data is collected from State and local police crash reports. Approximately 100,000 truck and bus crashes are entered into MCMIS annually. Reviews and Ratings--This data is collected during on-site reviews of motor carrier and hazardous material shipper operations. Information from these reviews is used to determine a safety fitness rating (Satisfactory, Conditional, Unsatisfactory) which is posted in the MCMIS. Over 130,000 motor carriers are currently rated and approximately 10,000 more are added every year. Enforcement--The MCMIS contains key information about each enforcement case conducted against a company, including types of violations and fines assessed. It is estimated that information on about 2,000 new cases is received annually.
Authority for maintenance of the system: 49 U.S.C. 502, 504, 506, and 508; and 49 CFR 1.73.
Purpose(s): To provide a central collection point for records on motor carriers and hazardous material shippers which allows for the analysis of safety-related data needed to administer and manage the FMCSA's motor carrier safety program.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: Information may be shared with Federal, State, and local governments, contractors involved in system support and maintenance, and Motor Carrier Safety Assistance Program (MCSAP) participants and grantees for use in support of commercial motor vehicle safety. See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies: None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: MCMIS records are stored in an automated system operated and maintained at the AAC.
Retrievability: Electronic records can be retrieved through automated searches on information, such as, company name, company's tax identification number, driver's name, driver's date of birth, driver's license number, geographical location, or various other means.
Safeguards: The MCMIS falls under the guidelines of the AAC in Austin, TX. This facility has it's own approved System Security Plan which provides that: The system will be maintained in a secure computer room with access restricted to authorized personnel. Access to the building must be authorized and is limited. Access will be controlled by requiring that users provide a valid account name and password. The MCMIS contains a function that tracks system usage for other authorized users. MCMIS will require users to change access control identifiers at periodic intervals. The Federal Motor Carrier Safety administration will operate the MCMIS in accordance with the Federal security regulations, policy, procedures, standards and guidance for implementing the Automated Information System Security Program. Only authorized U.S. and State Government personnel and contractors conducting system support or maintenance may access MCMIS records. Access to records is password protected and the scope of access for each password is limited to the official need of each individual authorized access. Additional protection is afforded by the use of password security, data encryption, and the use of a secure network. Retention and disposal: Computerized database with daily backups performed automatically. Master Files are NARA historical copies, which are permanent. Annual transfers occur at end of each fiscal year. Agency master files are destroyed after six years.
System manager and address: Department of Transportation, Federal Motor Carrier Safety Administration, Division Chief, Information Systems Division, 400 7th Street, SW., Washington, DC 20590.
Notification procedure: Same as ``System Manager.''
Record access procedures: Same as ``System Manager.''
Contesting record procedures: Same as ``System Manager.''
Record source categories: Driver information is recorded as a result of roadside driver/ vehicle inspections and crash reports submitted by State and local law enforcement agencies and investigations performed by State and Federal investigators. MCMIS is constantly being updated as States and FMCSA field offices forward safety information to the MCMIS soon after it has been accumulated and processed in their local information systems.
Exemptions claimed for the system: Portions of this system are exempt from disclosure under the provisions of 5 U.S.C. 552a(k)(2).
DOT/FMCSA 002
System name: Federal Motor Carrier Safety Administration (FMCSA) Motor Carrier Safety Proposed Civil and Criminal Enforcement Cases, DOT/FMCSA. Security classification: Unclassified--sensitive.
System location: Office of Enforcement (MC-EC); 400 7th Street, SW., Room 3419, Washington, DC 20590.
Categories of individuals covered by the system: Officers, agents or employees of motor carriers, including drivers who have been the subject of investigation for Motor Carrier Safety regulation violations.
Categories of records in the system: Motor Carrier safety regulation violations and identifying features.
Authority for maintenance of the system: Motor Carrier Safety Act of 1984, 49 U.S.C. 521(b).
Purpose(s): Decide enforcement action, and for use as historical documents in case of appeal. Routine uses of records maintained in the system, including categories of users and the purposes of such uses: See Prefatory Statement of General Routine Uses. Routine use number 5 does not apply to this system of records.
Disclosure to consumer reporting agencies: None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: File folders in the Field Legal Services' offices
Retrievability: Names of individuals. Safeguards: Only Office of the Chief Counsel or Field Legal Services employees, and other FMCSA employees have regular access to the files.
Retention and disposal: The records are retained for one year and then are generally sent to the local Federal Records Centers for an additional three-year period. System manager(s) and address: FMCSA, Office of the Chief Counsel, 400 7th Street, SW., Room 4217, Washington, DC 20590; FMCSA Service Centers, Field Legal Services.
Notification procedure: Same as ``System Manager.'' Record access procedures: Same as ``System Manager.''
Contesting record procedures: Same as ``System Manager.''
Record source categories: Individuals, motor carrier files, OMCHS file information as gathered by OMCHS investigators, etc.
Exemptions claimed for the system: 5 U.S.C. 552 (c)(3), (d), (e)(4)(G), (H), and (I), (f) to the extent they contain investigative material compiled for law enforcement purposes in accordance with 5 U.S.C. 552a(k)(2).
DOT/FMCSA 003
System name: Driver Waiver/Exemption File.
Security classification: Unclassified--sensitive.
System location: Department of Transportation, Federal Motor Carrier Safety Administration (FMCSA), Office of Bus and Truck Standards and Operations (MC-PS), 400 7th Street, SW., Washington, DC 20590; FMCSA Service Centers.
Categories of individuals covered by the system: Operators of interstate commercial motor vehicles that transport certain commodities.
Categories of records in the system: Applications for waiver (usually involving physical disability); final disposition of request for waiver; and waiver renewal.
Authority for maintenance of the system: Motor Carrier Safety Act of 1984 (49 U.S.C. 31136(e) and TEA-21 (49 U.S.C. 31315).
Purpose(s): Monitor drivers of commercial motor vehicles who operate in interstate commerce and have been identified as physically impaired.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses: See Prefatory Statement of General Routine Uses. Routine use number 5 is not applicable to this system of records.
Disclosure to consumer reporting agencies: None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage: The records are maintained in file folders in file cabinets.
Retrievability: The records are filed by driver's name.
Safeguards: Files are classified as sensitive and are regularly accessible only by designated employees within the FMCSA Service Centers and the FMCSA.
Retention and disposal: The files are retained while the driver waivers are active. The inactive driver waiver files are purged every 3 years.
System manager(s) and address: Department of Transportation, Federal Motor Carrier Safety Administration, Office of Bus and Truck Standards and Operations (MC- PS), 400 7th Street, SW., Washington, DC 20590.
Notification procedure: Same as ``System Manager.''
Record access procedures: Same as ``System Manager.''
Contesting record procedures: Same as ``System Manager.''
Record source categories: Application for Waiver or Waiver Renewal.
Exemptions claimed for the system: None.
DOT/FMCSA 005
System name:
Electronic Document Management System (EDMS)
Security classification:
Unclassified, Sensitive
System location:
Department of Transportation, Volpe National Transportation Systems Center, 55 Broadway, Cambridge, MA 02142
Categories of individuals covered by the system of records:
The input of information into EDMS is discretionary. Field users have been instructed to upload all compliance review, inspection and enforcement documents related to motor carriers generated after October 1, 2005, but some divisions have uploaded older documents in accordance with NARA’s FMCSA Field Records Schedule in order to destroy paper copies of documents covered by the schedule. Use of the administrative (non-carrier related) sections of EDMS are also at the discretion of the Division/Field Administrator and may or may not contain certain types of information including, but not limited to, sensitive personnel documents such as Travel Vouchers (which include Social Security Numbers). Therefore, there is the potential for the following categories of individuals to be covered by this system:
Operators and operators of interstate commercial motor vehicles; Federal Motor Carrier Safety Administration (FMCSA) employees.
Categories of records in the system:
The input of information into EDMS is discretionary. Field users have been instructed to upload all compliance review, inspection and enforcement documents related to motor carriers generated after October 1, 2005, but some divisions have uploaded older documents in accordance with NARA’s FMCSA Field Records Schedule in order to destroy paper copies of documents covered by the schedule. Use of the administrative (non-carrier related) sections of EDMS are also at the discretion of the Division/Field Administrator and may or may not contain certain types of information including, but not limited to, sensitive personnel documents such as Travel Vouchers (which include Social Security Numbers). Therefore, there is the potential for the following categories of documents to reside in this system:
Authority for maintenance of the system:
49 U.S. C. 31136 (e), Motor Carrier Safety Act of 1984, 49 U.S.C. 31315, and the Transportation Equity Act for the 21st Century (TEA-21) which was enacted June 9, 1998 as Public Law 105-178.
Purposes:
To provide FMCSA personnel with a centralized document repository application for archiving and accessing documents relevant to FMCSA business processes. The mission of FMCSA is to improve the safety of commercial motor vehicles and save lives by enforcing the laws and regulations set forth to govern motor carrier operations. The business processes included in realizing this mission are the performance of compliance reviews and inspections on motor carrier operations and inspections of commercial motor vehicles, which may result in enforcement actions being taken against a motor carrier for failure to adhere to motor carrier laws and regulations. EDMS contains the documents related to these processes and allows all authorized users access to these documents in the performance of their duties.
EDMS is also used in the administrative process as a central repository in the operation of a specific office within FMCSA. Travel, procurement, budget and other administrative documents are housed in this system to support the migration to a “paperless” work environment.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses:
See Prefatory Statement of General Routine Uses.
Disclosure to consumer reporting agencies:
None.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage:
Documents are stored on this system on a dedicated server. Metadata specific to each document is stored on a separate database server and is dynamically linked to each document.
Retrievability:
Records are retrievable by USDOT number, carrier census information (carrier name, DBA, address, etc.), Division, Service Center, Driver Name, Employee Name, Document Category, Document Date, Author, and Fiscal Year.
Safeguards:
The electronic records uploaded to EDMS are stored in one server on a secure web-based system. The index data associated with these documents is stored on a database server. Both of these servers are physically protected by virtue of the fact that they are housed in a limited-access controlled server room. The entire EDMS application is electronically safeguarded through the use of HTTPS and SSL (Secure Socket Links) and is accessible only to users within the FMCSA network, or from specific IP addresses of authorized contractors. All users of the system are required to obtain a user name through FMCSA Technical Support, the contractor support group which provides technical support to the majority of FMCSA Information Technology systems. All applications for accounts must first be approved by the FMCSA Organizational Coordinator for the area in which the user works. All requests are then reviewed by FMCSA Technical Support to ensure conformance with FMCSA’s security standards. Once a user is approved, FMCSA Technical Support contacts the user via email and requests that the user call FMCSA Technical Support to obtain their temporary password to the system. The temporary password is configured to expire and force the user to change his/her password upon first login attempt. All FMCSA employees are eligible for an account in EDMS, but access to certain libraries contained on the system is dependent upon the user’s role
Retention and disposal:
The files are retained and disposed of according to the FMCSA Field Records Schedule according to the National Archives and Records Administration, and FMCSA policy.
System Manager(s) and address:
Department of Transportation, Federal Motor Carrier Safety Administration, Office of Data Analysis and Information Systems, 400 7th Street, SW, Washington, DC 20590
Notification procedure:
Same as “System Manager”
Record access procedures:
Same as “System Manager”
Contesting record procedures:
Same as “System Manager”
Record source categories:
Same as “System Manager”
Exemptions claimed for the system:
None
OMB Control Number:
DOT/FMCSA 006
System name:
SAFETYNET
Security classification:
Unclassified, sensitive
System location:
Records are located at Federal Motor Carrier Safety Administration (FMCSA) field offices throughout the United States as well as the offices of State agencies responsible for the enforcement of interstate and intrastate motor carrier operations within their jurisdiction.
Categories of individuals covered by the system of records:
SAFETYNET covers companies and drivers of commercial motor vehicles (CMV) (i.e., trucks with a gross combination weight of 10,001 pounds or more, buses used to transport more than 9 passengers (including the driver), and vehicles transporting hazardous materials). It also includes information on shipping and freight forwarding companies registered with FMCSA. SAFETYNET systems deployed and operated by State agencies may also contain information on motor carrier companies and operations residing in that State. Specific personal information related to individuals is maintained on:
Categories of records in the system:
Records and reports in this system may include:
Authority for maintenance of the system:
49 U.S. C. 31136 (e), Motor Carrier Safety Act of 1984; 49 U.S.C. 31315, Transportation Efficiency Act for the 21st Century, TEA-21.
Purposes:
SAFETYNET is used to maintain records of the safety performance of interstate carriers and hazardous materials shippers that are subject to the Federal Motor Carrier Safety Regulations (FMCSR) or Hazardous Materials Regulations (HMR). SAFETYNET also contains information on intrastate carriers (carriers who collect, deliver, or transfer commodities within state boundaries only) that are registered with a State implementing the SAFETYNET system. A large subset of information, collected locally using the SAFETYNET systems, is uploaded to FMCSA centralized systems. Conversely, information collected by other States, and the centralized Federal systems, are distributed to the field-deployed SAFETYNET systems.
Routine uses of records maintained in the system, including categories of users and the purposes of such uses:
See Prefatory Notice of General Routine Uses.
Disclosure to consumer reporting agencies:
No.
Policies and practices for storing, retrieving, accessing, retaining, and disposing of records in the system:
Storage:
Records are stored electronically in databases on physical systems located at FMCSA field offices throughout the United States as well as the offices of State agencies responsible for the enforcement of interstate and intrastate motor carrier operations within their jurisdictions.
Retrievability:
Records are retrieved by the driver’s name, date of birth, vehicle identifier, mailing address, and phone number.
Safeguards:
SAFETYNET information is accessible only to FMCSA and State enforcement personnel with specifically assigned user IDs and passwords. Some limited personnel under contract to FMCSA or State agencies responsible for carrying out enforcement activities or supporting the SAFETYNET system also have access via specifically assigned IDs and passwords.
All SAFETYNET IDs and passwords are issued to users only after approval by local SAFETYNET System Managers, or their designees.
All Federal and State enforcement related access to SAFETYNET is limited to FMCSA or State internal networks. The upload of data to centralized FMCSA systems is through the FMCSA internal network, specifically designated trusted source networks, or other approved encryption communication protocols.
Physical security and access to the hosting facility is managed and maintained by the local SAFETYNET System Manager. FMCSA Division and Service Center offices keep their servers in a secure room. It is the responsibility of each participating state agency to properly secure the server within their facility.
Retention and Disposal:
SAFETYNET records are currently undergoing scheduling with the National Archives.
System Manager(s) and address:
Director, Office of Information Management, FMCSA, 400 7th Street, SW, Washington, DC 20590.
Notification procedure:
Individuals seeking to determine whether this system of records contains information pertaining to them should write to the Privacy Officer, Office of Management Information and Services, FMCSA, 400 7th Street, SW, Washington, DC 20590.
Record access procedures:
Same as “Notification procedure.”
Contesting record procedures:
Same as “Notification procedure.”
Record source categories:
In addition to individual user input through the client/server interface, SAFETYNET collects information from other enforcement systems such as ASPEN, which is roadside CMV inspection software, for vehicle and driver inspections. The SAFETYNET software may be configured at the State level to interface with and receive data from State inspection, crash, or carrier registration information systems.
Exemptions claimed for the system:
None.
Last updated 12/20/2006