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U.S. Department of Transportation
Privacy Impact Assessment
Federal Motor Carrier Safety Administration (FMCSA)
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Drug and Alcohol Clearinghouse
Responsible Official
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David Yessen
Chief, Compliance Division
FMCSA Office of Enforcement and Compliance
(202) 366-1812
[email protected]
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Reviewing Official
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Claire W. Barrett
Chief Privacy & Information Asset Officer
Office of the Chief Information Officer
[email protected]
signed by CLAIRE W BARRETT
CLAIRE W BARRETT Digitally
Date: 2019.06.20 12:18:01 -04'00'
FMCSA
Drug and Alcohol Clearinghouse
Executive Summary
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The Federal Motor Carrier Safety Administration (FMCSA) is an operating administration within the U.S. Department
of Transportation (DOT). It’s core mission to reduce commercial motor vehicle-related crashes and fatalities. To
further this mission, under the authority of the Moving Ahead for Progress in the 21st Century Act (MAP-21) (codified
at 49 U.S.C. 31306a), FMCSA published a final rule titled, “Commercial Driver’s License Drug and Alcohol
Clearinghouse” (81 FR 87686). The rule amended the Federal Motor Carrier Safety Regulations to establish
requirements for the Commercial Driver’s License Drug and Alcohol Clearinghouse (Clearinghouse).
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The Clearinghouse, a web-based system found at (https://clearinghouse.fmcsa.dot.gov), will provide FMCSA and
employers of commercial motor vehicle (CMV) drivers with the necessary tools to identify drivers who are
prohibited from operating CMVs due to DOT drug and alcohol program violations. The Clearinghouse will help
ensure that such drivers receive the evaluation and treatment required by DOT regulation before being permitted to
operate a CMV on public roads. Information maintained in the Clearinghouse will enable employers to identify
drivers who commit a drug or alcohol program violation while working for one employer, but fail to subsequently
inform another employer. Records of drug and alcohol program violations will remain in the Clearinghouse for five
years, or until the driver has completed the return-to-duty process, whichever is later.
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What is a Privacy Impact Assessment?
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This Privacy Impact Assessment (PIA) is necessary to provide information regarding the Drug and Alcohol
Clearinghouse system and its collection and use of Personally Identifiable Information (PII).
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The Privacy Act of 1974 articulates concepts for how the federal government should treat individuals and their
information and imposes duties upon federal agencies regarding the collection, use, dissemination, and maintenance
of personally identifiable information (PII). The E-Government Act of 2002, Section 208, establishes the requirement
for agencies to conduct privacy impact assessments (PIAs) for electronic information systems and collections. The
assessment is a practical method for evaluating privacy in information systems and collections, and documented
assurance that privacy issues have been identified and adequately addressed. The PIA is an analysis of how
information is handled to—i) ensure handling conforms to applicable legal, regulatory, and policy requirements
regarding privacy; ii) determine the risks and effects of collecting, maintaining and disseminating information in
identifiable form in an electronic information system; and iii) examine and evaluate protections and alternative
processes for handling information to mitigate potential privacy risks.1
Making informed policy and system design or procurement decisions. These decisions must be based on an
understanding of privacy risk, and of options available for mitigating that risk;
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Conducting a PIA ensures compliance with laws and regulations governing privacy and demonstrates the DOT’s
commitment to protect the privacy of any personal information we collect, store, retrieve, use and share. It is a
comprehensive analysis of how the DOT’s electronic information systems and collections handle personally
identifiable information (PII). The goals accomplished in completing a PIA include:
Accountability for privacy issues;
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Analyzing both technical and legal compliance with applicable privacy law and regulations, as well as accepted
privacy policy; and
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Office of Management and Budget’s (OMB) definition of the PIA taken from guidance on implementing the privacy provisions of
the E-Government Act of 2002 (see OMB memo of M-03-22 dated September 26, 2003).
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Drug and Alcohol Clearinghouse
Providing documentation on the flow of personal information and information requirements within DOT
systems.
Upon reviewing the PIA, you should have a broad understanding of the risks and potential effects associated with the
Department activities, processes, and systems described and approaches taken to mitigate any potential privacy risks.
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Introduction & System Overview
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The Clearinghouse is a database operated by FMCSA that will contain information about commercial driver’s license
(CDL) holders or commercial learner’s permit (CLP) applicants’ violations of FMCSA's drug and alcohol testing
program The Clearinghouse will provide FMCSA and employers the tools necessary to identify drivers who are
prohibited from operating a CMV due to DOT drug and alcohol program violations and ensure that such drivers
receive the required evaluation and treatment before operating a CMV on public roads. Specifically, information
maintained in the Clearinghouse will enable employers to identify drivers who commit a drug or alcohol program
violation while working for one employer, but fail to subsequently inform another employer (as required by current
regulations).
To ensure that such drivers are identified, the following actions will be completed within the Clearinghouse:
Employers will conduct pre-employment queries on prospective employees and if drug and alcohol violations
are identified, those employees will be prohibited from performing safety-sensitive functions, until successful
completion of the return-to-duty (RTD) process. Safety-sensitive functions are defined in 49 CFR § 382.107 as
the time from when a driver begins to work or is required to be in readiness to work until the time he/she is
relieved from work and all responsibility for performing work. Safety-sensitive functions include the time a
driver is driving a CMV on public roads.
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Employers will query the Clearinghouse annually for each driver they currently employ, and if drug and alcohol
violations are identified, those employees will be prohibited from performing safety-sensitive functions until
successful completion of the RTD process;
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State Driver’s License Agencies (SDLAs) will query the Clearinghouse before issuing, renewing, transferring, or
upgrading a CLP or CDL;
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When requested by the National Transportation Safety Board (NTSB) as part of a crash investigation, FMCSA
will provide NTSB information contained in the Clearinghouse concerning drivers who are involved in the crash
under investigation.
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Clearinghouse System Components
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There are four main components of functionality within the Clearinghouse. These components are user registration,
violation reporting, querying a driver record and requesting/providing consent to access a record. Each process is
described below.
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Registration:
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All Clearinghouse users will be required to register for an account.
FMCSA and SDLA users will be required to log into the Clearinghouse via the FMCSA Portal. The Portal is a webenabled system that is designed to authenticate users for various FMCSA IT Systems. User accounts are assigned
access rights based on the roles and responsibilities of the individual user. For more information about the FMCSA
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Portal, you may read the PIA for the FMCSA Portal, which is published on the DOT Privacy website
(www.dot.gov/privacy).
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Substance abuse professional (SAPs), medical review officers (MROs), and consortia/third-party administrators
(C/TPAs) will be required to register for an account using login.gov. Login.gov is a General Services Administration
(GSA) service developed as a single sign-on trusted identify platform for individuals to access government websites
that require user authentication. After creating a login.gov account, users will single-sign on to the Clearinghouse,
where they will register for specific rights based on the roles and responsibilities of the individual user. The PIA for
login.gov is published by GSA and available for review at https://login.gov/docs/Privacy-Impact-Assessment%20918.pdf.
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SAPs, MROs, C/TPAs and employers may designate assistants to query, and/or report, within the Clearinghouse.
Assistants will receive an invitation from their respective SAP, MRO, C/TPA or employer to register for a
Clearinghouse account once an account and permissions have been established for them. The Assistants will not be
able to register for a Clearinghouse account unless they receive an invitation. Once an assistant receives an
invitation, he or she may login to the Clearinghouse using login.gov on behalf of their SAP, MRO, C/TPA, or
employer.
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Violation Reporting:
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Once a user account is established, employers, MROs, SAPs, and C/TPAs and their assistants may use the
Clearinghouse to report information related to violations of the drug and alcohol regulations (49 CFR parts 40 and
382) by current and prospective employees.
Table 1 below identifies when information must be reported by a required reporting entity to the Clearinghouse.
When information will be reported to the Clearinghouse
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An alcohol confirmation test with a concentration of 0.04
or higher
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Refusal to test (alcohol) as specified in 49 CFR 40.261
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Refusal to test (drug) not requiring a determination by the
MRO as specified in 49 CFR 40.191
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Actual knowledge, as defined in 49 CFR 382.107, that a
driver has used alcohol on duty, used alcohol within four
hours of coming on duty, used alcohol prior to postaccident testing, or has used a controlled substance
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Negative RTD test results (drug and alcohol testing, as
applicable)
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Completion of follow-up testing
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Prospective/Current Employer
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Reporting Entity
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FMCSA
Drug and Alcohol Clearinghouse
When information will be reported to the Clearinghouse
Service Agent (C/TPA)
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An alcohol confirmation test with a concentration of 0.04 or
higher
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Refusal to test (alcohol) as specified in 49 CFR 40.261
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Refusal to test (drug) not requiring a determination by the
MRO as specified in 49 CFR 40.191
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Actual knowledge, as defined in 49 CFR 382.107, that a
driver has used alcohol on duty, used alcohol within four
hours of coming on duty, used alcohol prior to post-accident
testing, or has used a controlled substance
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Negative RTD test results (drug and alcohol testing, as
applicable)
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Completion of follow-up testing
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Verified positive, adulterated, or substituted drug test result
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Refusal to test (drug) requiring a determination by the MRO
as specified in 49 CFR 40.191
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Identification of driver and the date of the initial assessment
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Successful completion of treatment and/or education and
the determination of eligibility for RTD testing
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SAP
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MRO
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Reporting Entity
Table 1 - Reporting Entities and Circumstances
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Query:
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Employers or their designated C/TPAs are required to query the Clearinghouse for drug and alcohol program
violations before hiring a prospective driver, and at least annually for all current drivers. A limited query will advise
the employer or C/TPA if the Clearinghouse contains information about the driver; however, it does not result in the
release of other information about the driver. However, when an employer initially queries the driver, a full query
must be conducted. A full query will release detailed information contained in the Clearinghouse to the querying
employer or C/TPA. An annual query may be conducted as either a limited query or a full query.
A full query will return the following information about the driver:
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Employer details
Test details, including the type of test and violation details
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Driver details
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Information about who entered the test result
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Consent Management:
Both limited and full queries require a driver’s consent before any information can be released about that driver. A
limited query requires a general consent. The general consent for the limited query may include consent to conduct
limited queries that is effective for more than one year. General consent may be provided for an unlimited number
of limited queries, such as for the duration of employment. The receipt of general consent for the limited query will
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FMCSA
Drug and Alcohol Clearinghouse
be handled outside of the Clearinghouse between the employer and employee. Once the employer obtains general
consent, the employer will log into the Clearinghouse, select limited query, enter the driver’s information, and
submit the query. The Clearinghouse will return a message to the employer indicating whether the Clearinghouse
contains drug or alcohol violation information for the queried driver.
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If the limited query indicates that the Clearinghouse contains information on the driver, the employer or C/TPA must
conduct a full query. The employer or C/TPA must obtain specific consent from the driver by logging into the
Clearinghouse and requesting that the driver provide consent to release full query results (§ 382.703). When an
employer requests a full query, the driver will receive notification of the request for specific consent via the
preferred contact method indicated in their Clearinghouse account. To grant or decline specific consent, the driver
will log into their Clearinghouse account. Once logged in, the driver will be able to either grant or decline consent to
the requesting employer. If the driver provides consent, the employer will receive notification of the consent via
email. The employer will then log into their account to view the detailed information for the queried driver.
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If an employer is unable to obtain either general consent from a driver for a limited query, or specific consent for a
full query, the employer must remove the driver from performing safety-sensitive functions, as described above.
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Other system processes
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In addition to violation reporting and querying, the Clearinghouse will be used by enforcement personnel at the
roadside. Driver information from the Clearinghouse will be transmitted, whenever a driver’s record is queried at
the roadside using FMCSA’s CDLIS Gateway and QueryCentral. Additionally, driver eligibility information will be
transmitted to the National Law Enforcement Telecommunications System (Nlets) via the FMCSA Service Centers.
This information will be used by roadside enforcement personnel and law enforcement officers to improve roadway
safety by removing drivers who have tested positive for alcohol or drugs and have not completed their required
return to duty (RTD) process. CDLIS Gateway, QueryCentral and Nlets will use a driver name, date of birth, CDL/CLP
number and state of issuance to indicate a driver’s eligibility in real-time when a driver is queried during roadside
enforcement. Only a driver status of prohibited or not prohibited will be transferred to the roadside systems and
specific violation information will not be transferred to these systems. PIA for all FMCSA systems may be found at
https://www.transportation.gov/privacy
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Personally Identifiable Information and the Drug and Alcohol Clearinghouse
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The Clearinghouse maintains information about drivers who operate CMVs in interstate and intrastate commerce in
the United States and are subject to the CDL requirements in 49 CFR part 382 or their Canadian and Mexican
equivalents. In addition, the Clearinghouse will contain information on motor carrier employers, C/TPAs, SAPs, and
MROs. FMCSA is responsible for ensuring appropriate protections governing the collection, use, sharing, storage,
and retention of driver information under its control are properly implemented. As such, it is critical to ensure that
positive drug and alcohol test results, test refusals, and employer reports of actual knowledge that a driver has
violated any of the prohibitions under part 382 are accurately reported and are correctly attributed to the driver.
Driver information maintained in the Clearinghouse includes, driver name, address, date of birth, CDL/CLP number,
state of issuance, contact information, and login information.
There are several distinct user roles within the Clearinghouse. These roles are specific to: MROs, employers or
C/TPAs and SAPs. Their roles are as follows:
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Drug and Alcohol Clearinghouse
MROs are required to report to the Clearinghouse, within two business days, the following driver information
for verified positive, adulterated or substituted test results and refusals to test (as provided in 49 CFR §
40.191):
2. Federal Drug Testing Custody and Control Form specimen ID number;
3. Collection site name and address;
4. Driver’s name, date of birth, and CDL/CLP number and state of issuance;
5. Date of test;
6. Date of the verified result;
7. Specimen test result; and
Employers, or C/TPAs acting on behalf of an employer, including a driver who employs himself or herself, are
required to report the following information to the Clearinghouse for: (1) an alcohol test result with an alcohol
concentration of 0.04 or greater; (2) a negative RTD alcohol and/or controlled substances test result; (3) a
refusal to take an alcohol test pursuant to 49 CFR 40.261; and (4) a refusal to provide a specimen for
controlled substances testing pursuant to 49 CFR 40.191:
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8. Employer information.
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1. Reason for test (e.g., pre-employment, post-accident, random, reasonable suspicion, RTD, refusal to test,
or follow-up);
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1. Reason for the test;
2. Driver’s name, date of birth, and CDL/CLP number and state of issuance;
3. Employer name, address, and USDOT number;
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4. Date of the test;
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5. Date of verified result;
6. Test category
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7. Date the result was reported; and
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Additionally, employers are required to report each instance in which they have actual knowledge of any of
the prohibitions a driver would be subject to in part 382. The information reported to the Clearinghouse must
include the following information:
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8. Test result.
1. Driver’s name, date of birth, and CDL/CLP number and state of issuance;
2. Employer name, address, and USDOT Number, if applicable;
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3. Date employer obtained actual knowledge of violation;
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4. Witnesses to the violation, if any, including contact information;
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5. Description of violation; and
6. Evidence supporting each fact alleged in the description of the violation.
a. Evidence supporting each fact alleged may include, but is not limited to, affidavits, photographs, video
or audio recordings, employee statements (other than admissions) correspondence, or other
documentation.
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Drug and Alcohol Clearinghouse
b. Employers reporting “failure to appear” drug or alcohol test refusals are required to provide
contemporaneous documentation that the driver was notified to appear at the testing site and that
the driver had not resigned or been terminated by the employer at the time the notification occurred.
49 CFR Part 40 Subpart O, Substance Abuse Professionals and the Return-to-Duty Process, requires SAPs to
report the following information to the Clearinghouse:
1. SAP name, address, and telephone numbers;
2. Driver’s name, date of birth, and CDL/CLP number and state of issuance;
3. Date of the initial SAP assessment; and
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4. Date when driver has successfully completed the education and /or treatment process and is eligible for
RTD testing.
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Fair Information Practice Principles (FIPPs) Analysis
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The DOT PIA template based on the fair information practice principles (FIPPs). The FIPPs, rooted in the tenets of the
Privacy Act, are mirrored in the laws of many U.S. states, as well as many foreign nations and international
organizations. The FIPPs provide a framework that will support DOT efforts to appropriately identify and mitigate
privacy risk. The FIPPs-based analysis conducted by DOT is predicated on the privacy control families articulated in
the Federal Enterprise Architecture Security and Privacy Profile (FEA-SPP) v32, sponsored by the National Institute of
Standards and Technology (NIST), the Office of Management and Budget (OMB), and the Federal Chief Information
Officers Council and the Privacy Controls articulated in Appendix J of the NIST Special Publication 800-53 Security and
Privacy Controls for Federal Information Systems and Organizations3.
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Transparency
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Sections 522a(e)(3) and (e)(4) of the Privacy Act and Section 208 of the E-Government Act require public notice of an
organization’s information practices and the privacy impact of government programs and activities. Accordingly,
DOT is open and transparent about policies, procedures, and technologies that directly affect individuals and/or their
personally identifiable information (PII). Additionally, the Department should not maintain any system of records the
existence of which is not known to the public.
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FMCSA clearly discloses its policies and practices concerning all PII collected, maintained, used and disseminated
pursuant to the implementation of all FMCSA rules. FMCSA provides notice to individuals several different ways.
These include the publication of the Drug and Alcohol Clearinghouse Notice of Proposed Rulemaking and Final Rule4;
the privacy policy on the FMCSA website (www.fmcsa.dot.gov); and the System of Records Notice (SORN) that will
be published in the Federal Register and on the DOT Privacy Program website. The SORN will provide notice as to
the conditions of disclosure and FMCSA’s routine uses for the information collected in the system. The SORN will
also require that any dissemination of information maintained within the system be compatible with the purpose for
which the information was originally collected. In addition, FMCSA will issue press releases, post information on the
Clearinghouse website (https://clearinghouse.fmsa.dot.gov), send emails via a Clearinghouse listserv, provide
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http://www.cio.gov/documents/FEA-Security-Privacy-Profile-v3-09-30-2010.pdf
http://csrc.nist.gov/publications/drafts/800-53-Appdendix-J/IPDraft_800-53-privacy-appendix-J.pdf
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https://www.regulations.gov/docket?D=FMCSA-2011-0031
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periodic updates at industry outreach events, and post information related to the Clearinghouse on various social
media outlets.
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The publication of this PIA further demonstrates FMCSA’s commitment to providing appropriate transparency into
the Drug and Alcohol Clearinghouse. This PIA is available to the public on the DOT website at
http://www.dot.gov/privacy.
Individual Participation and Redress
DOT should provide a reasonable opportunity and capability for individuals to make informed decisions about the
collection, use, and disclosure of their PII. As required by the Privacy Act, individuals should be active participants
in the decision-making process regarding the collection and use of their PII and be provided reasonable access to
their PII and the opportunity to have their PII corrected, amended, or deleted, as appropriate.
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FMCSA will ensure that individuals have the right to (a) obtain confirmation of whether or not FMCSA has PII relating
to him or her; (b) access the PII related to him or her within a reasonable time, cost, and manner and in a form that
is readily intelligible to the individual; (c) obtain an explanation if a request made under (a) and (b) is denied and
challenge such denial; and (d) challenge PII relating to him or her and, if the challenge is successful, have the data
erased, rectified, completed, or amended.
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Drivers who register with the Clearinghouse will have access to review their information stored in the Clearinghouse.
These drivers can view their record as often as they wish at no charge.
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FMCSA will notify a driver when information about him or her has been entered or removed from the
Clearinghouse, or has been revised. FMCSA will notify drivers by sending a letter via U.S. mail to the address on
record with the SDLA that issued the CDL. A driver may also provide the Clearinghouse with an alternative means or
address for notification. The driver will be alerted each time a change occurs to his or her record in the
Clearinghouse.
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Drivers have the right to review information about themselves in the Clearinghouse, except as restricted by law.
Drivers may petition FMCSA to correct inaccurate information contained in the Clearinghouse. A correction may be
requested if the alleged erroneous record is retained in the Clearinghouse.
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Drivers are not able to challenge the accuracy or validity of the alcohol or controlled substance results under 49 CFR
§ 382.717(a)(1). However, exemptions are established under 49 CFR § 382.717(a)(2) to correct clerical errors, such
as attributing drug or alcohol testing results to the wrong driver, reporting an incorrect driver name or CDL number,
misidentifying the type of test performed (i.e., pre-employment screening versus random testing), and correcting
other inaccuracies in the Clearinghouse. The petition can be submitted by the driver via the FMCSA DataQs system.
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DataQs is a FMCSA electronic system for filing challenges, known as Requests for Data Review (RDR), to data that is
maintained by FMCSA. To file a RDR, a driver or their authorized representative would need to create an account in
DataQs and select “Add a Request”. The RDR must include the petitioner name, address, phone number, CDL/CLP
number, state of issuance, and detailed description and evidence supporting the inaccuracy. FMCSA will review the
RDR in DataQs, and provide a notice of decision to remove, retain, or correct information in the Clearinghouse to the
driver within 45 days of receipt. If data in the Clearinghouse is preventing a driver from performing safety-sensitive
functions, they may request an expedited review within DataQs. FMCSA will notify the driver of its decision to any
expedited requests within 14 days of receipt.
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The DataQs procedures above can also be used by a driver to request that an employer’s report of actual knowledge
of a traffic citation for operating a CMV under the influence of drugs or alcohol be removed from the Clearinghouse
if the citation did not result in a conviction. In addition, drivers can request that other reports of actual knowledge
violations, as well as “failure to appear” test refusals, be removed from the Clearinghouse if they were not reported
by the employer or C/TPA in accordance with 49 CFR § 382.705(b)(5). FMCSA will resolve petitions and notify drivers
of its decisions within 45 days of receiving a complete petition. If the resolution of a petition will affect a driver’s
ability to perform safety-sensitive functions, he or she may request an expedited review. If FMCSA grants an
expedited review, the Agency will inform the driver of its decision within 14 days of receiving a completed petition.
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Under 49 CFR § 382.717(f) drivers may request that FMCSA conduct an administrative review if they believe that a
decision resulting from the submitted petition was made in error. The driver will submit his or her request
electronically, via the DataQs system (https://dataqs.fmcsa.dot.gov) or in writing to the Associate Administrator for
Enforcement (MC-E), Federal Motor Carrier Safety Administration, 1200 New Jersey Avenue SE, Washington, DC
20590. The request must explain the error that the driver believes FMCSA has made and provide information and/or
documents to support the driver’s argument. FMCSA will complete its administrative review no later than 30 days
after receiving the driver’s request for review and this will constitute final Agency action.
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Independent of the provisions provided in the final rule, individuals may request access to their own records that are
maintained in a system of records in the possession or under the control of DOT by complying with DOT Privacy Act
regulations found in 49 CFR part 10. Privacy Act requests for access to an individual’s record must be in writing
(either handwritten or typed), and may be mailed, faxed or emailed. DOT regulations require that the request
include a description of the records sought, the requester’s full name, current address, and date and place of birth.
The request must be signed and either notarized or submitted under penalty of perjury. Additional information and
guidance regarding DOT’s FOIA/Privacy Act program may be found on the DOT website. Privacy Act requests
concerning information in the Clearinghouse may be addressed to:
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Federal Motor Carrier Safety Administration
Attn: FOIA Team MC-MMI
1200 New Jersey Avenue SE
Washington, DC 20590
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In addition, under 49 CFR part 10, subpart E, individuals may request that their records be corrected by submitting a
written request detailing the correction requested and the reasons the correction should be made. If FMCSA does
not make the requested correction to the individual’s record, the individual may file a concise statement of
disagreement setting forth the reason for disagreement with the Agency’s refusal to amend the record. 49 CFR part
10, subpart F explains the individual’s right to appeal the Agency’s initial determination not to amend the record.
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Purpose Specification
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DOT should (i) identify the legal bases that authorize a particular PII collection, activity, or technology that impacts
privacy; and (ii) specify the purpose(s) for which its collects, uses, maintains, or disseminates PII.
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FMCSA will use the information reported to the Clearinghouse to combat the problem of CDL or CLP holders testing
positive for drugs or alcohol, or committing other drug or alcohol violations, and then continuing to operate CMVs
without completing the required evaluation and treatment.
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The reporting of positive test results and other drug and alcohol program violations will supplement the database
employers must check to determine whether current or prospective employees are prohibited from operating CMVs
under the DOT drug and alcohol testing program.
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All violation information collected within the Clearinghouse will be used to address the problem of a driver who
previously tested positive being able to obtain work without prospective employers knowing of and acting on that
test information. This could occur if a driver does not inform employers about a previous positive test result. This
could also occur if a new driver tests positive for drugs or alcohol during a pre-employment test, waits for the drugs
to leave his/her system, then takes and passes another pre-employment test, and the results of the second test are
used by the hiring employer without having any knowledge of the previous, failed test.
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Additionally, FMCSA enforcement users will use the Clearinghouse data to ensure that employers are following the
query procedures specified in 49 CFR § 382.701 and that MROs, SAPs, C/TPAs and employers are following the
reporting procedures of 49 CFR § 382.705.
To determine whether the driver is qualified to operate a CMV, SDLAs may query the Clearinghouse any time a
driver seeks to obtain, renew, transfer, or upgrade a CDL.
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NTSB accident investigators will be provided information contained in the Clearinghouse to determine if CDL holders
involved in crashes under investigation had an existing drug or alcohol program violation when the crash occurred.
Data Minimization & Retention
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DOT should collect, use, and retain only PII that is relevant and necessary for the specified purpose for which it was
originally collected. DOT should retain PII for only as long as necessary to fulfill the specified purpose(s) and in
accordance with a National Archives and Records Administration (NARA-approved record disposition schedule.
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As required by 49 CFR §382.705, information reported to the Clearinghouse must include the driver’s name, date of
birth, CDL/CLP number and state of Issuance. This information will only be used to identify and verify a driver within
the Clearinghouse. Social security numbers will not be collected or stored within the Clearinghouse.
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As required by 49 U.S.C. 31306a(g)(6)(B), information will remain in the Clearinghouse indefinitely if a driver fails to
complete the RTD process. Information will be removed from the Clearinghouse if: (1) the SAP reports that the
driver has successfully completed the prescribed education and/or treatment as required by 49 CFR § 40.305 and is
eligible for RTD) testing; (2) the employer or C/TPA reports that the driver has received negative RTD test results; (3)
the driver’s present employer or C/TPA acting on the employer’s behalf reports that the driver has successfully
completed all follow-up tests as prescribed in the SAP’s report in accordance with 49 CFR §§40.307, 40.309, and
40.311; and (4) five years have passed since the date of the violation determination. Clearinghouse records may be
removed earlier than five years under procedures pertaining to the correction or removal of inaccurate information
established in the final rule and in 49 CFR part 10.
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Required Clearinghouse documents, including drug and alcohol violation evidence and driver notification letters will
be stored for the Clearinghouse in the FMCSA Cloud Environment. The Cloud Environment is FedRAMP complaint,
commercial cloud environment and infrastructure (Amazon Webservices [AWS] Cloud). All documents that are
stored will be encrypted.
Records will be retained and disposed in accordance with the records control schedule DAA-0557-2016-0001,
“Commercial Driver’s License Drug and Alcohol Clearinghouse” approved by the National Archive and Records
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FMCSA
Drug and Alcohol Clearinghouse
Administration (NARA) on December 22, 2016. Records in the Clearinghouse will be closed after 5 years and
destroyed when 7 years old or destroyed 7 years after cutoff.
Use Limitation
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DOT shall limit the scope of its PII use to ensure that the Department does not use PII in any manner that is not
specified in notices, incompatible with the specified purposes for which the information was collected, or for any
purpose not otherwise permitted by law.
FMCSA may use the information in the Clearinghouse to identify and take enforcement action against employers,
MROs, SAPs, C/TPAs, and CDL/CLP drivers that are not in compliance with the Agency’s regulations. In addition,
driver data may be used to remove a driver with unresolved drug or alcohol program violations from performing
safety-sensitive functions. State Enforcement personnel will have access to a driver’s eligibility via other FMCSA
systems, such as Query Central and the CDLIS Gateway.
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FMCSA will provide the NTSB information about a driver’s drug and alcohol violations contained in the
Clearinghouse when that driver is involved in a crash under investigation by the NTSB.
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SDLAs may use information contained in the Clearinghouse to determine whether an individual is eligible to operate
a CMV by querying the Clearinghouse any time a CDL/CLP is issued, renewed, transferred, or upgraded. SDLAs are
prohibited from making any other use of the information or further disseminating the information obtained by
conducting driver-specific queries.
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Data Quality and Integrity
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Employers may only use information obtained from the Clearinghouse to determine whether a driver is prohibited
from operating a CMV or from other safety-sensitive activities. Employers are strictly prohibited from making any
other use of the information or further disseminating the information. Unauthorized use of Clearinghouse data is
subject to civil and criminal penalties.
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In accordance with Section 552a(e)(2) of the Privacy Act of 1974, DOT should ensure that any PII collected and
maintained by the organization is accurate, relevant, timely, and complete for the purpose for which it is to be used,
as specified in the Department’s public notice(s).
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The Agency will have a variety of protocols in place to validate and verify that the information collected in the
Clearinghouse is associated with the correct person to ensure the accuracy and reliability of the data collected.
Those protocols include using a driver’s CDL/CLP number and state of issuance as a unique identifier. This data will
be checked against the master CDL record at the State of Issuance. Additional data checks will be in place
throughout the Clearinghouse system to ensure that data is of the highest quality. These include checks for
completeness and validity for each data field type and required data element. The petition and administrative
review processes allows drivers to request that FMCSA review and correct inaccurately reported information.
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FMCSA ensures that the PII collected, used, and maintained in the Clearinghouse is relevant to the purposes for
which it is to be used, is accurate, complete, and up-to-date. FMCSA also ensures that proper access controls,
information input restrictions, data validity checks, error handling mechanisms, information output handling and
audit logs, and accountability protocols, are in place.
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Drug and Alcohol Clearinghouse
Security
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DOT shall implement administrative, technical, and physical measures protect PII collected or maintained by the
Department against loss, unauthorized access, or disclosure, as required by the Privacy Act, and to ensure that
organizational planning and responses to privacy incidents comply with OMB policies and guidance.
Ensure the security and confidentiality of PII
Protect against any reasonably anticipated threats or hazards to the security or integrity of PII
Protect against unauthorized access to or use of PII
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PII is protected by reasonable security safeguards against loss or unauthorized access, destruction, misuse,
modification, or disclosure. These safeguards incorporate standards and practices required for federal information
systems under FISMA and the information security standards issued by National Institute of Standards and
Technology (NIST), including Federal Information Processing Standards (FIPS) Publication 200 and NIST SP 800-53
Revision.4, Recommended Privacy and Security Controls for Federal Information Systems. FMCSA has a
comprehensive information security and privacy program that contains administrative, technical, and physical
safeguards that are appropriate for the protection of data. These safeguards are designed to achieve the following
objectives:
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The Clearinghouse will maintain an auditing function that tracks all user activities in relation to data including access
and modification. Through technical controls including firewalls, intrusion detection, encryption, access control list,
and other security methods, FMCSA will prevent unauthorized access to data stored in its Clearinghouse. These
controls will meet federally mandated information assurance and privacy requirements.
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No one will be permitted to access the Clearinghouse without a valid username and password. The Clearinghouse
will have controls to limit access based on FMCSA-approved user roles and responsibilities, and need to know. No
person or entity will be able to share, distribute, publish, or otherwise release any information in the Clearinghouse
except as specifically authorized by law. Reporting inaccurate or misleading information to the Clearinghouse will be
expressly prohibited and subject to civil and criminal penalties. The Clearinghouse personnel, including government
personnel and contractors, are required to take annual security awareness and privacy training offered by FMCSA as
well as role-specific training. This will allow individuals with varying roles to understand how privacy impacts their
role and retain knowledge of how to properly and securely act in situations where they may use PII in the course of
performing their duties.
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The Clearinghouse will undergo the security assessment and authorization process under NIST Special Publication
800-53, Revision 4 prior to attaining full operational status.
Accountability and Auditing
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DOT shall implement effective governance controls, monitoring controls, risk management, and assessment
controls to demonstrate that the Department is complying with all applicable privacy protection requirements
and minimizing the privacy risk to individuals.
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FMCSA will follow the Fair Information Practice Principles for the protection of PII associated with the
implementation of the Clearinghouse. In addition to these practices, additional policies and procedures will be
consistently applied, especially as they relate to protection, retention, and destruction of records.
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FMCSA
Drug and Alcohol Clearinghouse
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As with any collection of PII, there is a risk of misuse of the information. To mitigate the risk, FMCSA will restrict
access to the Clearinghouse by establishing strict registration procedures for drivers, employers and their C/TPAs,
MROs and SAPs. All Clearinghouse users will be required to provide names, addresses, telephone numbers, and
other information necessary to validate identity. Employers will be required to submit the names of all persons
authorized to access the Clearinghouse on behalf of the employer. Employers will be required to designate
authorized C/TPAs and drivers will be required to identify authorized SAPs before a C/TPA or SAP can be granted
access to enter information into the Clearinghouse on behalf of that employer or driver. MROs and SAPs will be
required to provide evidence that they meet DOT qualifications and training requirements. Employers and C/TPAs
will be required to update annually the names of the people they authorize to access the Clearinghouse on their
behalf. This information will be subject to specific registration protocol for MROs and SAPs. The initial registration
term will be five years unless FMCSA has revoked or canceled a user’s registration. FMCSA will also cancel
registrations that are inactive for two years. FMCSA prohibits anyone from knowingly reporting false or inaccurate
information. FMCSA will have the right to revoke the registration of anyone who fails to comply with any of the
prescribed rights and restrictions on accessing the Clearinghouse, which will include (but not be limited to)
submission of inaccurate information, misuse or misappropriation of access rights, misuse of protected information,
and failure to maintain the requisite qualifications, certifications, or training requirements included in 49 CFR Part
40. Anyone violating these provisions will be subject to the civil and criminal penalties included in 49 CFR Part
382.507, as well as any other applicable penalties.
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Responsible Official
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In addition, FMCSA is responsible for identifying, training, and holding agency personnel accountable for adhering to
agency privacy and security policies and regulations. FMCSA has incorporated its Best Practices for Protection of PII
in the design and implementation process for the Clearinghouse. The FMCSA Security Officer and FMCSA Privacy
Officer will conduct regular periodic security and privacy compliance reviews of the L&I consistent with the
requirements of the Office of Management and Budget (OMB) Circular A-130, Managing Information as a Strategic
Resource.
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David Yessen”
Chief, Compliance Division
FMCSA Office of Enforcement and Compliance
(202) 366-1812
[email protected]
Reviewing Official
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Claire W. Barrett
Chief Privacy & Information Asset Officer
Office of the Chief Information Officer
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| File Type | application/pdf |
| File Title | Drug and Alcohol Clearinghouse Privacy Impact Assessment |
| Subject | privacy FMCSA drug alcohol |
| Author | FMCSA |
| File Modified | 2019-06-20 |
| File Created | 2019-06-20 |