Appendix C to Part 240 - Procedures for Obtaining and Evaluating Motor Vehicle Driving Record Data
49:4.1.1.1.34.7.137.1.95 : Appendix C
Appendix C to Part 240 - Procedures for Obtaining and Evaluating
Motor Vehicle Driving Record Data
The purpose of this appendix is to outline the procedures
available to individuals and railroads for complying with the
requirements of section 4(a) of the Railroad Safety Improvement Act
of 1988 and §§ 240.109, 240.111, and 240.205. Those provisions
require that railroads consider the motor vehicle driving record of
each person prior to issuing him or her certification or
recertification as a locomotive engineer.
To fulfill that obligation, a railroad must review a
certification candidate's recent motor vehicle driving record.
Generally, that will be a single record on file with the State
agency that issued the candidate's current license. However, it can
include multiple records if the candidate has been issued a motor
vehicle driving license by more than one State agency or foreign
country. In addition, the railroad must determine whether the
certification candidate is listed in the National Driver Register
and, if so listed, to review the data that caused the candidate to
be so listed.
Access to State Motor Vehicle Driving Record Data
The right of railroad workers, their employers, or prospective
employers to have access to a State motor vehicle licensing
agency's data concerning an individual's driving record is
controlled by State law. Although many States have mechanisms
through which employers and prospective employers such as railroads
can obtain such data, there are some States in which privacy
concerns make such access very difficult or impossible. Since
individuals generally are entitled to obtain access to driving
record data that will be relied on by a State motor vehicle
licensing agency when that agency is taking action concerning their
driving privileges, FRA places responsibility on individuals who
want to serve as locomotive engineers to request that their current
State driver licensing agency or agencies furnish such data
directly to the railroad considering certifying them as a
locomotive operator. Depending on the procedures adopted by a
particular State agency, this will involve the candidate's either
sending the State agency a brief letter requesting such action or
executing a State agency form that accomplishes the same effect. It
will normally involve payment of a nominal fee established by the
State agency for such a records check. In rare instances, when a
certification candidate has been issued multiple licenses, it may
require more than a single request.
The National Driver Register
In addition to seeking an individual State's data, each engineer
candidate is required to request that a search and retrieval be
performed of any relevant information concerning his or her driving
record contained in the National Driver Register (NDR). The NDR is
a system of information created by Congress in 1960. In essence, it
is a nationwide repository of information on problem drivers that
was created in an effort to protect motorists. It is a voluntary
State/Federal cooperative program that assists motor vehicle driver
licensing agencies in gaining access to data about actions taken by
other State agencies concerning an individual's motor vehicle
driving record. The NDR is designed to address the problem that
occurs when chronic traffic law violators, after losing their
license in one State travel to and receive licenses in another
State. Today, each State and the District of Columbia are required
to send information on all revocations, suspensions, and license
denials within 31 days of receipt of the convictions from the
courts to the NDR and each of these driver licensing agencies has
the capability to provide NDR's data. 49 U.S.C. 30304. The NDR data
can also be obtained by contacting the National Highway Traffic
Safety Administration (NHTSA) of the Department of Transportation
directly.
The information submitted to NHTSA contains, at a minimum, three
specific pieces of data: The identification of the State authority
providing the information, the name of the person whose license is
being affected, and the date of birth of that person. It may be
supplemented by data concerning the person's height, weight, color
of eyes, and social security account number, if a State collects
such data.
Access to NDR Data
Essentially only individuals and State licensing agencies,
including the District of Columbia, can obtain access to the NDR
data. Since railroads have no direct access to the NDR data, FRA
requires that individuals seeking certification as a locomotive
engineer request that an NDR search be performed and direct that
the results be furnished to the railroad. FRA requires that each
person request the NDR information directly from NHTSA unless the
prospective operator has a motor vehicle driver license issued by a
State motor vehicle licensing agency or the District of Columbia.
Participating States and the District of Columbia can directly
access the NDR data on behalf of the prospective engineer.
Requesting NHTSA To Perform the NDR Check
The procedures for requesting NHTSA performance of an NDR check
are as follows:
1. Each person shall submit a written request to the National
Highway Traffic Safety Administration at the following address:
Chief, National Driver Register, National Highway Traffic Safety
Administration, 1200 New Jersey Avenue SE, Washington, DC
20590.
2. The request must contain:
(a) The full legal name;
(b) Any other names used by the person (e.g., nickname or
professional name);
(c) The date of birth;
(d) Sex;
(e) Height;
(f) Weight;
(g) Color of eyes; and
(h) Driver's license number (unless that is not available).
3. The request must authorize NHTSA to perform the NDR check and
to furnish the results of the search directly to the railroad.
4. The request must identify the railroad to which the results
are to be furnished, including the proper name of the railroad, and
the proper mailing address of the railroad.
5. The person seeking to become a certified locomotive engineer
shall sign the request, and that signature must be notarized.
FRA requires that the request be in writing and contain as much
detail as is available to improve the reliability of the data
search. Any person may supply additional information to that being
mandated by FRA. Furnishing additional information, such as the
person's social security account number, will help to identify more
positively any records that may exist concerning the requester.
Although no fee is charged for such NDR checks, a minimal cost may
be incurred in having the request notarized. The requirement for
notarization is designed to ensure that each person's right to
privacy is being respected and that records are only being
disclosed to legally authorized parties.
Requesting a State Agency To Perform the NDR Check
As discussed earlier in connection with obtaining data compiled
by the State agency itself, a person can either write a letter to
that agency asking for the NDR check or can use the agency's forms
for making such a request. If a request is made by letter the
individual must follow the same procedures required when directly
seeking the data from NHTSA. Since it would be more efficient for a
prospective locomotive engineer to make a single request for both
aspects of the information required under this rule, FRA
anticipates that a State agency inquiry should be the predominant
method for making these NDR checks. Requests to State agencies may
involve payment of a nominal fee established by the State agency
for such a records check.
State agencies normally will respond in approximately 30 days or
less and advise whether there is or is not a listing for a person
with that name and date of birth. If there is a potential match and
the inquiry State was not responsible for causing that entry, the
agency normally will indicate in writing the existence of a
probable match and will identify the State licensing agency that
suspended, revoked or canceled the relevant license or convicted
the person of one of the violations referenced earlier in this
appendix.
Actions When a Probable NDR Match Occurs
The response provided after performance of an NDR check is
limited to either a notification that no potential record match was
identified or a notification that a potential record match was
identified. If the latter event occurs, the notification will
include the identification of the State motor vehicle licensing
authority which possesses the relevant record. If the NDR check
results indicate a potential match and that the State with the
relevant data is the same State which furnished detailed data
(because it had issued the person a driving license), no further
action is required to obtain additional data. If the NDR check
results indicate a potential match and the State with the relevant
data is different from the State which furnished detailed data, it
then is necessary to contact the individual State motor vehicle
licensing authority that furnished the NDR information to obtain
the relevant record. FRA places responsibility on the railroad to
notify the engineer candidate and on the candidate to contact the
State with the relevant information. FRA requires the certification
candidate to write to the State licensing agency and request that
the agency inform the railroad concerning the person's driving
record. If required by the State agency, the person may have to pay
a nominal fee for providing such data and may have to furnish
written evidence that the prospective operator consents to the
release of the data to the railroad. FRA does not require that a
railroad or a certification candidate go beyond these efforts to
obtain the information in the control of such a State agency, and a
railroad may act upon the pending certification without the data if
an individual State agency fails or refuses to supply the
records.
If the non-issuing State licensing agency does provide the
railroad with the available records, the railroad must verify that
the record pertains to the person being considered for
certification. It is necessary to perform this verification because
in some instances only limited identification information is
furnished for use in the NDR and this might result in data about a
different person being supplied to the railroad. Among the
available means for verifying that the additional State record
pertains to the certification candidate are physical description,
photographs, and handwriting comparisons.
Once the railroad has obtained the motor vehicle driving
record(s) which, depending on the circumstance, may consist of more
than two documents, the railroad must afford the prospective
engineer an opportunity to review that record and respond in
writing to its contents in accordance with the provisions of §
240.219. The review opportunity must occur before the railroad
evaluates that record. The railroad's required evaluation and
subsequent decision making must be done in compliance with the
provisions of this part.
[85 FR 81322, Dec. 15, 2020]