Transportation Safety
Medical Certification and Background Check Requirements for Pilots, Vessel Masters, and Commercial Drivers Vary Gao ID: GAO-08-421R February 27, 2008Federal laws and regulations require that safety-related transportation professionals undergo screening to ensure that they can safely perform their jobs. Medical certification and background checks of selected pilots, vessel masters, and commercial drivers are part of the requirements for licensing these workers. Certification or licensing also includes testing workers' knowledge and skills required for the jobs. These checks are critical because physically or mentally unfit transportation workers pose a danger to themselves and to the public. Because of concerns raised by recent investigations of the reliability of pilot medical certifications, Congress asked us to first describe the requirements for medical and background checks for selected transportation workers. Accordingly, we addressed the following questions for (1) medical certification and (2) background checks: What are the regulations governing pilots, vessel masters, and commercial drivers and what role do government entities have in completing the certifications and background checks? A second report, which will be issued mid-2008, will provide information about the steps that the Federal Aviation Administration (FAA) takes to check the accuracy of pilot medical certificates. Federal regulations require that pilots have both pilot certificates and medical certificates prior to operating an aircraft and meet several requirements, depending on the level of certificate FAA issues the applicant. Coast Guard issues merchant mariner licenses and documents to officers such as vessel masters only after they meet certain regulatory requirements. For example, officers must meet physical requirements, pass written knowledge tests, and have specified amounts and types of experience and training, among other requirements. Vessel masters also must undergo certain background checks prior to obtaining a license or document to ensure they can safely assume the responsibilities of a credentialed mariner, do not present a threat to national or transportation security, and do not have connections to terrorism. Drivers of commercial motor vehicles must meet federal minimum requirements before operating a commercial vehicle. FMCSA develops requirements for operating commercial vehicles while states issue commercial drivers' licenses. Federal regulations also require that state driver licensing agencies check applicants' driving records for safety violations before issuing a commercial driver's license and that motor carriers check drivers' employment histories before hiring them. In addition, federal regulations require that TSA complete a security check for drivers seeking an endorsement to haul hazardous materials.
Federal regulations require that pilots, vessel masters, and commercial drivers undergo physical examinations by licensed physicians or other health care professionals to ensure they meet minimum physical fitness standards. Vessel masters and commercial drivers select licensed medical professionals to complete the exam while pilots need to be examined by an FAA-certified aviation medical examiner. For these workers, the physical examination generally entails a review of the applicant's medical history, including prescribed medication, and a physical examination, including testing the applicant's vision and hearing acuity and measuring heart rate and blood pressure. Medical professionals generally look for signs of pathological or disqualifying conditions such as heart disease; diabetes; impaired vision or hearing; psychosis; drug or alcohol dependence; and any disease, condition, defect, or treatment that prevents or could prevent the applicant from safely performing his or her duties. For pilots and commercial drivers, the aviation medical examiner or licensed medical examiner, respectively, issues the medical certificates in cases where applicants pass a physical examination. Coast Guard issues mariner credentials for vessel masters once it receives and reviews a completed medical examination report from a licensed medical professional, when the applicant is found qualified in all other respects. TSA and Coast Guard are responsible for conducting background checks for selected pilots and vessel masters, respectively, while FMCSA is responsible for checking that state driver licensing agencies do not issue commercial licenses to drivers that have not undergone required checks. For example, TSA conducts criminal history and security checks for pilots working for aircraft operators and those requiring unescorted access to sensitive areas in commercial airports and vessel master license applicants applying for a Transportation Worker Identification Credential to ensure they are not threats to national and transportation security. Coast Guard checks license applicants' criminal histories and driving records for convictions. The agencies complete the background checks for both pilots and vessel masters using many of the same databases. For example, criminal background checks for both positions make use of the Federal Bureau of Investigation Criminal Justice Information Center databases, as well as the National Driver Register. TSA's security checks for selected pilots and vessel masters include use of terrorist, criminal, and immigration watch lists. Unlike FAA and Coast Guard, FMCSA has no direct role in conducting background checks of commercial drivers.
GAO-08-421R, Transportation Safety: Medical Certification and Background Check Requirements for Pilots, Vessel Masters, and Commercial Drivers Vary
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February 27, 2008:
The Honorable James L. Oberstar:
Chairman:
Committee on Transportation and Infrastructure:
House of Representatives:
Subject: Transportation Safety: Medical Certification and Background
Check Requirements for Pilots, Vessel Masters, and Commercial Drivers
Vary:
Dear Mr. Chairman,
Federal laws and regulations require that safety-related transportation
professionals undergo screening to ensure that they can safely perform
their jobs. Medical certification and background checks of selected
pilots,[Footnote 1] vessel masters,[Footnote 2] and commercial drivers
are part of the requirements for licensing these workers. Certification
or licensing also includes testing workers' knowledge and skills
required for the jobs. These checks are critical because physically or
mentally unfit transportation workers pose a danger to themselves and
to the public.
Because of concerns raised by recent investigations of the reliability
of pilot medical certifications,[Footnote 3] you asked us to first
describe the requirements for medical and background checks for
selected transportation workers. Accordingly, we addressed the
following questions for (1) medical certification and (2) background
checks: What are the regulations governing pilots, vessel masters, and
commercial drivers and what role do government entities have in
completing the certifications and background checks? A second report,
which will be issued mid-2008, will provide information about the steps
that the Federal Aviation Administration (FAA) takes to check the
accuracy of pilot medical certificates.
To identify federal requirements and procedures for medical
certification of pilots, vessel masters, and commercial drivers, we
reviewed agency guidance and federal regulations and met with officials
from FAA, the U.S. Coast Guard (Coast Guard), and the Federal Motor
Carrier Safety Administration (FMCSA) to discuss regulations and
practices relating to assessing and certifying the physical condition
of pilots, vessel masters, and commercial drivers. To identify federal
requirements and procedures for background checks of pilots, vessel
masters, and commercial drivers, we reviewed agency guidance and
federal regulations and met with officials from FAA, Coast Guard,
FMCSA, and the Transportation Security Administration (TSA) to discuss
relevant regulations and practices. We conducted our performance audit
from July 2007 through February 2008 in accordance with generally
accepted government auditing standards. Those standards require that we
plan and perform the audit to obtain sufficient, appropriate evidence
to provide a reasonable basis for our findings and conclusions based on
our audit objectives. We believe that the evidence obtained provides a
reasonable basis for our findings based on our audit objectives.
Background:
To obtain a professional certificate or license, pilots, vessel
masters, and commercial drivers must meet a variety of minimum federal
requirements that vary according to the type of certificate. Generally,
the certification requirements for these transportation workers include
skills and knowledge tests, medical examinations, and background
checks.
Federal regulations require that pilots have both pilot certificates
and medical certificates prior to operating an aircraft and meet
several requirements, depending on the level of certificate FAA issues
the applicant. In order for FAA to issue a pilot certificate,
applicants must demonstrate various piloting skills; pass written tests
of aeronautical knowledge; log specified hours of flying time; read,
speak, write, and understand the English language; and meet certain age
restrictions, in addition to meeting the physical qualifications for a
medical certificate and undergoing certain background checks. FAA
authorizes pilots to fly specific types of airplanes or use specific
types of aeronautical instruments after they meet certain training and
testing requirements. During calendar year 2006, FAA received 439,885
applications for medical certification, including applications for new
certificates and renewals of certificates.
Coast Guard issues merchant mariner licenses and documents to officers
such as vessel masters only after they meet certain regulatory
requirements. For example, officers must meet physical requirements,
pass written knowledge tests, and have specified amounts and types of
experience and training, among other requirements. Vessel masters also
must undergo certain background checks prior to obtaining a license or
document to ensure they can safely assume the responsibilities of a
credentialed mariner, do not present a threat to national or
transportation security, and do not have connections to terrorism.
According to Coast Guard officials, about 60,000 mariners apply for
mariner credentials each year.[Footnote 4]
Drivers of commercial motor vehicles must meet federal minimum
requirements before operating a commercial vehicle. FMCSA develops
requirements for operating commercial vehicles while states issue
commercial drivers' licenses. Federal regulations require that drivers
of commercial motor vehicles are 21 years old, can read and speak the
English language, have a current and valid commercial motor vehicle
operator's license, have successfully completed a driver's road test,
and are physically qualified to drive, among other requirements.
Federal regulations also require that state driver licensing agencies
check applicants' driving records for safety violations before issuing
a commercial driver's license and that motor carriers check drivers'
employment histories before hiring them. In addition, federal
regulations require that TSA complete a security check for drivers
seeking an endorsement to haul hazardous materials. In most states,
applicants seeking commercial drivers' licenses must certify that they
meet the physical qualifications. According to FMCSA officials, in
2006, 12 states required applicants to provide evidence that they were
examined by a medical professional and had a current medical
certificate. Because this is a self-certification process in most
states, there is no national data on the number of commercial drivers
that annually apply for medical certification.[Footnote 5]
Results:
The Regulatory Requirements for Pilot, Vessel Master, and Commercial
Driver Medical Certification Are Similar but Government Entities' Roles
and Procedures Vary:
Federal regulations require that pilots, vessel masters, and commercial
drivers undergo physical examinations by licensed physicians or other
health care professionals to ensure they meet minimum physical fitness
standards. Vessel masters and commercial drivers select licensed
medical professionals to complete the exam while pilots need to be
examined by an FAA-certified aviation medical examiner. For these
workers, the physical examination generally entails a review of the
applicant's medical history, including prescribed medication, and a
physical examination, including testing the applicant's vision and
hearing acuity and measuring heart rate and blood pressure. Medical
professionals generally look for signs of pathological or disqualifying
conditions such as heart disease; diabetes; impaired vision or hearing;
psychosis; drug or alcohol dependence; and any disease, condition,
defect, or treatment that prevents or could prevent the applicant from
safely performing his or her duties.
For pilots and commercial drivers, the aviation medical examiner or
licensed medical examiner, respectively, issues the medical
certificates in cases where applicants pass a physical examination.
Coast Guard issues mariner credentials for vessel masters once it
receives and reviews a completed medical examination report from a
licensed medical professional, when the applicant is found qualified in
all other respects. In all cases, licensed medical professionals may
deny or defer an applicant's certification when the applicant does not
meet the physical standards. In such cases, applicants can appeal the
decision. Federal regulations require that pilots and commercial
drivers keep a copy of their medical certification in their possession
when they are operating their respective vehicles. Employers of vessel
masters on seagoing vessels must keep a copy of vessel masters' medical
certification.
The frequency with which pilots, vessel masters, and commercial drivers
must apply for medical certification varies. For pilots, the frequency
of their medical examination depends on the type of position they hold
and their age.[Footnote 6] For example, federal regulations require
pilots in command positions and exceeding certain age limits to undergo
medical examinations more frequently. Required examination frequencies
for pilots range from 6 months to 3 years.[Footnote 7] Vessel masters
must undergo medical examinations every 5 years when they renew their
professional credential, or more frequently when they apply for a
license for a higher-grade position or hold a specialized position,
such as first-class pilot. Commercial drivers must apply for a new
medical certificate every 2 years, unless the driver has a condition
that needs more frequent monitoring.
The role of federal agencies in reviewing the medical examination
report varies. Both FAA and Coast Guard review medical examination
reports for anomalies and questionable medical conditions. FMCSA is not
responsible for reviewing medical examination reports. Federal
regulations call for commercial drivers to self-certify that they meet
the physical fitness standards or are exempt from them when they apply
for a driver's license. However, federal regulations hold motor
carriers (employers of commercial drivers) responsible for ensuring
their drivers meet certain qualifications. Additional information about
the procedures these agencies use to medically screen applicants is
contained in enclosure I.
The Required Background Checks for Pilots, Vessel Masters, and
Commercial Drivers Are Similar But Agencies' Roles and Procedures Vary:
Federal regulations require government agencies and private employers
to check the backgrounds of pilots, vessel masters, and commercial
drivers to help ensure these workers can safely perform their jobs and
do not pose a security risk. The required checks for these workers are
similar, but the agencies' roles differ. Regulations require agencies
and employers to check records for a variety of safety-related and
other concerns, including driving safety records, criminal histories,
evidence of illegal drug and alcohol use, and connections to terrorism,
among other things.
TSA and Coast Guard are responsible for conducting background checks
for selected pilots and vessel masters, respectively, while FMCSA is
responsible for checking that state driver licensing agencies do not
issue commercial licenses to drivers that have not undergone required
checks. For example, TSA conducts criminal history and security checks
for pilots working for aircraft operators and those requiring
unescorted access to sensitive areas in commercial airports and vessel
master license applicants applying for a Transportation Worker
Identification Credential to ensure they are not threats to national
and transportation security. Coast Guard checks license applicants'
criminal histories and driving records for convictions. While not
required by regulation, FAA checks names appearing on government watch
lists against its list of certified pilots as well as all new student
pilots and foreign pilots applying for equivalent U.S. certificates
against TSA-managed watch lists. According to FAA officials, they began
doing the checks following the events of September 11, 2001.
The agencies complete the background checks for both pilots and vessel
masters using many of the same databases. For example, criminal
background checks for both positions make use of the Federal Bureau of
Investigation Criminal Justice Information Center databases, as well as
the National Driver Register.[Footnote 8] TSA's security checks for
selected pilots and vessel masters include use of terrorist, criminal,
and immigration watch lists. TSA conducts a comparable criminal and
security check for commercial driver's license holders seeking a
special endorsement for their commercial licenses enabling them to haul
hazardous materials.
Unlike FAA and Coast Guard, FMCSA has no direct role in conducting
background checks of commercial drivers. Federal regulations require
state licensing agencies and employers to conduct various background
checks for commercial license applicants, including driving record and
employment history checks. Federal regulations require TSA to conduct
security background checks for commercial license holders seeking a
hazardous materials endorsement. FMCSA has the authority to regulate
states' commercial driver's license programs and prescribe requirements
and procedures for states to observe in order to issue commercial
drivers' licenses. More information about the procedures these agencies
and employers use to screen for criminal activity is located in
enclosure I.
Agency Comments and Our Evaluation:
We provided a draft of this report to FAA and FMCSA within the
Department of Transportation and Coast Guard and TSA within the
Department of Homeland Security for review and comment. FMCSA, Coast
Guard, and TSA officials provided technical clarifications, which we
incorporated as appropriate. FAA officials provided technical
clarifications as well as information about their background check
activities, which we incorporated into the report.
We will send copies of this report to congressional committees and
subcommittees with responsibilities for aviation, commercial motor
vehicle, and maritime safety issues; the Secretary of Transportation;
and Secretary of Homeland Security. We will also make copies available
to others upon request. In addition, the report will be available at no
charge on GAO's Web site at [hyperlink, http://www.gao.gov].
Should you or your staff have any questions on matters discussed in
this report, please contact me at (202) 512-2834 or flemings@gao.gov.
Contact points for our Offices of Congressional Relations and Public
Affairs may be found on the last page of this report. Key contributors
to this report were Cathy Colwell (Assistant Director), Gail Marnik,
Michael Mgebroff, Elizabeth A. Marchak, Tina Paek, Colin Fallon, and
Crystal Wesco.
Sincerely,
Signed by:
Susan Fleming:
Director, Physical Infrastructure Issues:
Enclosure:
Enclosure I:
Medical and Background Check Requirements and Procedures:
Federal Aviation Administration Screening Procedures:
Pilot Medical Certification Requirements:
Federal regulations establish three classes of medical certification
that correspond to the duties that pilots perform. (See table 1.)
Airline transport pilots that serve as pilots in command of scheduled
air carriers must hold class I medical certificates. Pilots that fly
for compensation or hire and serve as non-airline commercial pilots,
cargo pilots, flight engineers, flight navigators, and air traffic
control tower operators must hold class II certificates. Private,
recreational, and student pilots that fly for pleasure or personal
business without compensation must hold class III certificates. Pilots
must undergo medical examinations to renew medical certificates.
Table 1: Frequency of Pilot Medical Examinations:
Class of certificate: Class I;
Frequency: Every 6 months.
Class of certificate: Class II;
Frequency: Every year.
Class III;
Frequency: Every 2 years if 40 years of age or older;
Every 3 years if under 40 years of age.
Source: GAO analysis of federal regulations and FAA information. See 14
CFR Part 61.23.
[End of table]
Federal regulations require that Federal Aviation Administration-(FAA)
designated physicians (aviation medical examiners) examine pilot
license candidates to ensure they meet the medical standards for
certification. Aviation medical examiners are physicians whom FAA has
delegated the authority to perform physical examinations to determine
if applicants are qualified to receive airman medical certificates and
student pilot certificates. A pilot must have both a pilot certificate
and a medical certificate in order to fly an aircraft, with the
exception of sport, glider, and balloon pilots, who are not required to
have a medical certificate.
Federal regulations also require that pilots disclose to FAA drug-or
alcohol-related convictions, including convictions for drug-and alcohol-
related driving offenses. Convictions or failure to report such
convictions to FAA can result in denial, suspension, or revocation of a
pilot's license. Additionally, FAA can revoke, suspend, or modify a
pilot's medical certificate for failing to provide medical information
necessary to determine whether the pilot meets FAA medical standards.
(See table 2.)
Table 2: Summary of Federal Regulations Governing Pilot Medical Fitness
Requirements:
Regulation: 14 CFR Part 67;
Description of Requirements: Requires that FAA-designated physicians
examine pilot license candidates to ensure they meet the medical
standards for certification. The standards for medical certification
include visual, auditory, cardiovascular, and mental health standards,
among other things. The regulation also requires that applicants grant
FAA access to their National Driver Register[A] records to determine
whether the applicant has convictions for drug-and alcohol-related
driving offenses.
Regulation: 14 CFR Part 61;
Description of Requirements: Requires pilots to have a medical
certificate before acting as pilot in command or as a crew member of an
aircraft. Also requires that pilots report to FAA drug-or alcohol-
related convictions, including convictions for drug-and alcohol-related
driving offenses within 60 days of conviction.
Source: GAO analysis of federal regulations and FAA information.
[A] The National Driver Register is a computerized database of
information about drivers who have had their licenses revoked or
suspended. The Register also shows driver convictions for serious
traffic violations such as driving while impaired by alcohol or drugs.
State motor vehicle agencies provide the National Driver Register with
information.
[End of table]
Pilot Medical Certification Procedures:
In general, the medical certification procedures include the following
steps:
* On the FAA airman medical examination form, applicants provide
medical examiners information about their medical history, drug-related
convictions, drug-and alcohol-related driving offenses, felony
convictions, and any government action that resulted in denial,
suspension, cancellation, or revocation of driving privileges or that
resulted in attendance at an educational or a rehabilitation program.
* As part of the examination, examiners review applicants' medical
histories and responses to questions about convictions, driving
privileges, and attendance at educational or rehabilitation programs.
* Examiners verify applicants' identities by matching names provided on
examination forms with names on government-issued identification, such
as state-issued drivers' licenses, and examine the applicant.
* During the medical examination, examiners measure applicants' vision,
hearing, height, and weight, and perform a general physical
examination, looking for signs of pathological conditions. Conditions
that disqualify applicants for medical certification include, among
other things:
- heart disease;
- diabetes;
- impaired hearing or vision;
- psychosis;
- drug or alcohol dependence; and:
- any disease, condition, defect, or treatment that prevents or could
prevent the pilot from safely performing duties.
* Aviation medical examiners transmit their reports to FAA
electronically.
* If the medical examination provides a reason to doubt a response to
questions on the FAA medical certification form, FAA can investigate
further to determine the veracity of the response.
* Aviation medical examiners issue the medical certification for
applicants that meet medical qualification standards.[Footnote 9]
* Aviation medical examiners can deny or defer medical certification
for applicants that do not meet medical qualification standards.
* FAA stores examination data in its Document Imaging Workflow System
Airmen Medical Certification Subsystem.
FAA also checks the National Driver Register to determine whether
medical certification applicants' driving records contain convictions
for drug-and alcohol-related driving offenses. FAA staff provide the
names, dates of birth, and Social Security numbers of new or renewing
applicants to the National Driver Register. If the search results show
applicant convictions for drug-and alcohol-related driving offenses,
FAA staff verify that the record is for the applicant. When applicants
do not provide Social Security numbers, FAA staff use applicants'
demographic information to validate identities.[Footnote 10] If
individual records do not match applicants' identities, FAA staff
conduct additional research that could include requesting additional
personal information. FAA staff review applicants' medical applications
to determine whether applicants disclosed to FAA all license actions or
driving-under-the-influence convictions. If an applicant did not report
the convictions or license actions on the application for medical
certification but was aware of the action, FAA can begin an
investigation that could result in denial, suspension, or revocation of
the applicant's certificates. Applicants can appeal certificate
denials, suspensions, and revocations.
In addition, FAA staff use Department of Justice data to determine
whether applicants have unreported, nontraffic felony and misdemeanor
convictions on their applications for medical certificates. The
Department of Justice provides federal inmate data to FAA twice each
year. FAA staff check applicants' medical certification forms to
determine whether they disclosed any reported convictions. If an
applicant did not disclose a conviction, FAA investigates the applicant
for falsification of official records, which can result in FAA denying,
suspending, or revoking his or her FAA certificates. If the applicant
is in prison, FAA staff place a warning in the applicant's medical file
to alert FAA's Security and Investigations Division of the conviction
should the applicant apply again for a medical certificate.
Pilot Background Check Requirements:
The Transportation Security Administration (TSA) checks selected
pilots' backgrounds to ensure they do not present a threat to
transportation or national security. (See table 3.) TSA reviews a
variety of federal, state, and international databases for criminal
convictions and connections to organized crime and terrorist groups.
TSA performs the checks for pilots that work for aircraft operators or
require unescorted access to secure airport areas, and for foreign
student pilots. FAA can suspend or revoke a pilot's certificate if TSA
finds that the person poses a security threat. In addition to the
required checks, FAA checks names appearing on government "no fly" and
terrorist watch lists against its list of certified pilots as well as
checks the names of new student pilots and foreign pilots against TSA-
managed watch lists.[Footnote 11]
Table 3: Summary of Federal Regulations Governing Selected Pilot
Background Check Requirements:
Regulation: 49 CFR Part 1544.230;
Description of Requirements: Requires aircraft operators to conduct
criminal history records checks on their flight crew members and
restrict access to the flight deck. Pilots cannot act as flight crew
members prior to the check. Pilots must inform their employers of
convictions of any disqualifying offense within 24 hours of conviction
or finding of not guilty because of insanity.
Regulation: 49 CFR Part 1540.203;
Description of Requirements: Requires operators to ensure that pilots
with unescorted access to secure areas of commercial airports undergo a
TSA security threat assessment. The check is to ensure that these
pilots do not represent threats to national or transportation security
and do not have connections to terrorism.
Regulation: 49 CFR Part 1552;
Description of Requirements: Prohibits flight training providers from
providing training to non-U.S. citizens without a TSA background check.
Source: GAO analysis of federal regulations and FAA and TSA
information.
[End of table]
Pilot Background Check Procedures:
In general, the background check procedures include the following
steps:
* Criminal history records check procedures. Aircraft operators
transmit employee fingerprints to TSA in order to obtain a criminal
history records check for their pilots. TSA sends the fingerprints to
the Federal Bureau of Investigation (FBI), who in turn compares them
with those in criminal databases and notifies employers of the results.
TSA checks pilot identification information against terrorist watch
lists and determines whether the pilot poses a threat to national or
transportation security. TSA notifies operators of the results of its
determination. Operators must suspend or revoke the privileges of crew
members that have disqualifying felony or misdemeanor convictions.
* TSA security threat assessment procedures. Operators must ensure that
pilots with unescorted access to sensitive cargo areas undergo a TSA
security threat assessment to ensure they do not pose a threat to
national or transportation security. TSA staff use pilot personal
information to search domestic and international government databases,
including terrorist screening data. TSA determines whether the
applicant is a threat and informs the applicant about its
determination, and about the basis of its determination and appeal
procedures. The applicant generally has 60 days to appeal the TSA
determination. If the applicant does not appeal the determination or
the appeal does not result in a determination of no security threat,
TSA informs the operator that the applicant may not have access to
sensitive cargo areas.
* TSA Alien Flight Student Program security threat assessment
procedures. Non-U.S. citizens seeking flight training with FAA-
certified flight training providers must undergo a TSA security check
to ensure they are not threats to national or aviation security prior
to obtaining flight training. Non-U.S. citizens must apply online
through the TSA Alien Flight Student Program Web site and provide TSA
their fingerprints, biographical information, security documents
including passport copies, and specific information about their desired
training. TSA compares the prospective student's information such as
name, date of birth, gender, and other biographic information to
terrorism, criminal, and immigration watch lists and determines if the
prospective student is a security threat. If TSA determines that the
prospective student is a threat, it informs the prospective student and
the flight trainer of its determination that the individual cannot
receive flight training in the United States. If a prospective student
has a record of criminal convictions, FAA may initiate regulatory
action if the prospective student did not disclose convictions in the
medical certification application.
* FAA pilot vetting activities. Following the events of September 11,
2001, FAA began checking names appearing on government "no fly" and
other watch lists against its list of certified pilots and other
aviation workers (called the airman database), as well as checking the
names of new student pilots and foreign pilots applying for equivalent
U.S. certificates against TSA-managed watch lists. In July 2007, FAA
and TSA signed an interagency reimbursable agreement to transfer these
vetting activities to TSA. Under this agreement, TSA would integrate
the FAA airman data into its automated screening systems, which would
automatically recheck pilots every time terrorist screening databases
are updated. This transfer was to occur in January 2008, but it has not
been completed.
U.S. Coast Guard Screening Procedures:
Vessel Master Medical Evaluation Requirements:
Federal regulations require vessel masters to meet physical standards
and undergo a medical examination by a medical professional before the
U.S. Coast Guard (Coast Guard) can issue them merchant mariner licenses
or documents. (See table 4.) Professionals that can perform the medical
examinations include physicians, physicians' assistants, and nurse
practitioners. Vessel masters must renew their merchant mariner
credential every 5 years and must undergo medical examinations to
ensure they meet physical standards as part of the credential renewal
process.[Footnote 12]
Table 4: Summary of Federal Regulation Governing Vessel Master Medical
Fitness Requirements:
Regulation: 46 CFR Part 10.205 (d);
46 CFR Part 10.207 (e);
46 CFR Part 10.209 (d);
46 CFR Part 12.02-27 (d);
46 CFR Part 12.05-5;
Description of Requirement: Requires vessel masters to undergo a
medical examination and meet physical standards prior to receiving
mariner licenses or documents. Establishes physical standards for
mariners that include visual, auditory, and mental health standards,
among other standards.
Source: GAO analysis of federal regulations and Coast Guard
information.
[End of table]
Vessel Master Medical Evaluation Procedures:
In general, the medical evaluation procedures include the following
steps:
* Vessel masters complete the top portion of the medical examination
report.
* The applicant selects a licensed physician, physician's assistant, or
nurse practitioner to perform the examination.
* To begin the examination, medical examiners verify applicants'
identities by matching names provided on examination forms with names
on government-issued identification, such as state-issued drivers'
licenses.
* The medical examiner completes the examination and the medical
examination report, and the applicant transmits the report to Coast
Guard, through 1 of 17 regional centers, as part of the individual's
application for a mariner credential.[Footnote 13]
* Coast Guard guidance identifies potentially disqualifying conditions.
Such conditions may include:
- specified levels of vision or hearing impairment;
- cardiac surgery or heart irregularities;
- lung disease, including tuberculosis;
- amputations, deformities, or arthritis resulting in impairment of
limb motion;
- diabetes;
- history of tumor within the last 5 years;
- acute or chronic disease that may disturb equilibrium; and:
- drug or alcohol dependence.
* Coast Guard reviewers examine the completed reports.
* If the reviewer detects questionable information in a report, Coast
Guard can require applicants to undergo further medical examination.
* Reviewers check the veracity of the medical checks by calling medical
examiners and can consult additional reliable information sources for
information verification.
* After Coast Guard staff complete the reviews and find the applicants
medically qualified, Coast Guard issues mariner credentials, if the
applicants are found qualified in all other respects.
Vessel Master Background Check Requirements:
Federal regulations establish that Coast Guard and TSA check vessel
masters' backgrounds to ensure they do not endanger public safety or
security, respectively. (See table 5.) The agencies review a variety of
federal, state, and international databases for criminal convictions
and connections to organized crime and terrorist groups. Coast Guard
performs the checks for all merchant mariner license and document
applicants.
Table 5: Summary of Federal Regulations Governing Vessel Master
Background Check Requirements:
Regulation: 46 CFR Part 12.02-4;
46 CFR Part 10.201 (h);
Description of Requirements: Establishes that Coast Guard reviews
various criminal and security databases for all merchant mariner
credential (merchant mariner documents, licenses, and license upgrades
and renewals) applicants. The regulations require a "fingerprint-based"
check.
Regulation: 46 CFR Part 12.02-4 (d);
46 CFR Part 10.201 (i);
Description of Requirements: Establishes that Coast Guard checks the
National Driver Register records of all merchant mariner credential
applicants and for all applicants for renewal or upgrade of a license
or document, for alcohol-and drug-related traffic offenses.
Regulation: 46 CFR Part 12.01-11;
49 CFR Part 1572;
46 CFR Part 10.113;
Description of Requirements: Establishes a requirement that every
credentialed merchant mariner must obtain a Transportation Worker
Identification Credential by September 25, 2008. The check, conducted
by TSA, is both a "fingerprint-and name- based" criminal records check
and an intelligence-related check.
Source: GAO analysis of federal regulations and Coast Guard
information.
[End of table]
Vessel Master Background Check Procedures:
In general, the background check procedures include the following
steps:
* Coast Guard criminal history check. Coast Guard reviews various
criminal and security databases for all merchant mariner document,
license, license upgrade, and renewal applicants. The regulations
require a "fingerprint-based" check. Applicants for merchant mariner
licenses and documents must appear at 1 of 17 Coast Guard regional
offices to provide their fingerprints and other personal information.
Applicants also must disclose prior criminal convictions, serious drug
violations, or use of drugs including marijuana. Coast Guard then
transmits applicants' fingerprints to FBI, which checks its National
Crime Information Center for criminal records and notifies Coast Guard
if it identifies an applicant as a terrorist or discovers that an
applicant is associated with terrorism or other crimes. Apart from
fingerprint checks, Coast Guard staff review the information that
applicants submit to ensure it is accurate. If Coast Guard finds
information during the investigation that warrants further review,
investigators contact the applicant, courts, probation officers, local
law enforcement agencies, sheriffs' offices, the U.S. Drug Enforcement
Agency, or state agencies, as appropriate. Coast Guard can deny the
application if the applicant has prior criminal convictions. However,
if a time period specified in the regulations has elapsed since a prior
conviction, and Coast Guard may consider the applicant suitable for
service, the applicant might be approved. Coast Guard notifies the
applicant in writing if it denies the application; the applicant can
appeal the decision.
* Coast Guard National Driver Register check procedures. Coast Guard
also must check the driving records of all applicants for mariner
licenses and documents. Applicants must provide personal information,
including full legal name, mailing address, and driver's license
number, among other information, to Coast Guard Regional Centers on a
notarized letter or using a Coast Guard-provided form. Coast Guard
provides the applicant information to the National Driver Register. The
National Driver Register queries state agencies to determine whether
the applicant's driving record contains convictions for operating a
motor vehicle while under the influence of, or impaired by, alcohol or
a controlled substance; traffic violations arising in connection with a
fatal traffic accident; or reckless driving. Coast Guard cannot
consider applicant civil convictions that are more than 3 years older
than the date of the request unless that information relates to a
current suspension or revocation of an applicant driver's license.
Coast Guard can deny an application if information from the check
suggests that Coast Guard cannot trust the applicant with the duties
and responsibilities of a mariner license or document. If Coast Guard
denies an application, it notifies the applicant in writing of the
reasons for disapproval and advises the applicant that he or she can
request his or her National Driver Register records and appeal the
decision.
* TSA security threat assessment procedures. By September 25, 2008, all
credentialed merchant mariners holding a license or document must
obtain a TSA-issued Transportation Worker Identification Credential
(TWIC). Failure to obtain or hold a valid TWIC after that date may
serve as a basis for suspension or revocation of a mariner license or
document. To obtain a TWIC, applicants must undergo a TSA security
threat assessment to determine whether they are a security risk. A TWIC
expires every 5 years and mariners must undergo a TSA security check to
renew their card every 5 years. Applicants undergoing a TSA security
check supply TSA their fingerprints, personal information, the reason
they require a TWIC, including, as applicable, job descriptions and the
primary facilities, vessels, or ports where they will serve. TSA
transmits the fingerprints and applicant information to the FBI, which
conducts a criminal history records check and provides TSA with the
results. TSA checks applicants' biographic information against various
intelligence databases for connections to terrorism as well as to
criminal and immigration databases for applicable disqualifying
offenses. TSA determines applicants' status using the results of the
check and informs applicants of its decision. Applicants can appeal the
decision within 60 days or seek a waiver.
Federal Motor Carrier Safety Administration Screening Procedures:
Commercial Driver Medical Certification Requirements:
The Federal Motor Carrier Safety Administration's (FMCSA) role in
helping ensure that interstate commercial motor vehicle drivers,
including commercial driver's license holders, are physically qualified
consists of establishing physical standards for commercial motor
vehicle drivers and regulating state commercial driver's license
programs. (See table 6.)
Federal regulations establish standards for the physical qualifications
of drivers who operate commercial motor vehicles in interstate
commerce.[Footnote 14] Commercial motor vehicle drivers must obtain
from a medical examiner a certification indicating that they are
physically qualified to operate a commercial motor vehicle. With
limited exceptions, all drivers who operate commercial motor vehicles
in interstate commerce must comply with the qualification
requirements.[Footnote 15] These drivers may be required to show
evidence of their medical certification to inspectors if they are
pulled over for a roadside check and must provide copies to employers
(e.g., motor carrier companies).
Table 6: Summary of Federal Regulations Governing Commercial Driver
Medical Fitness Requirements:
Regulation: 49 CFR Part 391.41-.49;
Description of Requirements: Requires drivers of commercial motor
vehicles to be physically qualified and have a copy of a medical
examiner's certificate indicating that the driver is qualified. The
regulations also describe the physical requirements that drivers must
meet.
Regulation: 49 CFR Part 392.3;
Description of Requirements: Describes that a driver should not operate
a commercial motor vehicle while his or her ability or alertness is
impaired or may become impaired due to such causes as fatigue or
illness when it becomes unsafe for him or her to begin or continue to
operate the commercial motor vehicle.
Regulation: 49 CFR Part 383.71;
Description of Requirements: Requires that a driver seeking a
commercial driver's license must certify that he or she meets the
qualifications in 49 CFR 391, including the physical qualification, or
that he or she is exempt from 49 CFR 391.
Regulation: 49 CFR Part 384.201;
Description of Requirements: Establishes that states should test the
fitness of commercial motor vehicle operators applying for commercial
drivers' licenses to ensure they meet the established federal fitness
level.
Source: GAO analysis of federal regulations and FMCSA information.
[End of table]
Drivers of commercial motor vehicles who operate in interstate commerce
must meet a number of physical qualifications, including:
* no loss of physical limbs, including a foot, a leg, a hand, or an
arm;
* no impairment of limbs that would interfere with grasping or one's
ability to perform normal tasks;
* no established medical history or clinical diagnosis of diabetes
currently requiring insulin for control, respiratory dysfunction, or
high blood pressure that would affect one's ability to control or drive
a commercial motor vehicle;
* no current diagnosis of a variety of coronary conditions and
cardiovascular disease including congestive heart failure;
* no mental disease or psychiatric disorder that would interfere with
one's ability to drive a commercial vehicle safely;
* has distant visual acuity and hearing ability that meet stated
standards;
* does not use a controlled substance or habit-forming drug; and:
* has no current clinical diagnosis of alcoholism.
FMCSA has exemption programs for drivers with special medical
conditions, such as drivers who use insulin or have vision
deficiencies, as well as alternative standards for selected drivers,
such as limb amputee drivers.
Commercial Driver Medical Certification Procedures:
Federal regulations require that commercial drivers be examined and
certified by a licensed medical examiner, such as a licensed physician,
physician's assistant, or nurse practitioner, to ensure they meet
minimum physical qualifications prior to driving. It is the
responsibility of both drivers and motor carriers employing drivers to
ensure that drivers' medical certificates are current. The purpose of
the examination is to determine a driver's physical qualification to
operate a commercial motor vehicle in interstate commerce. According to
regulations, the medical examiner must be knowledgeable about the
regulatory physical qualifications and guidelines as well as the
driver's responsibilities and work environment. In general, the medical
certification procedures include the following steps:
* The driver provides the medical examiner with a medical certification
form provided by the medical examiner or employer. The form includes
information about the driver's name, address, Social Security number,
birth date, age, health history, and statement certifying the
completeness of the information.[Footnote 16]
* The medical examiner discusses the driver's health history and the
side effects of prescribed medication and common over-the-counter
medications.
* The medical examiner tests the driver's vision, hearing, blood
pressure and pulse rate, and urine (for sugar and protein levels).
* The medical examiner conducts a physical examination and makes a
determination on driver fitness.
* If the medical examiner determines the driver is fit to drive, the
examiner signs the medical certificate, which the driver must carry
with his or her license. The certificate must be dated. The medical
examiner keeps a copy in his or her records, and provides the driver's
employer with a copy, if authorized by the driver. In other cases, the
driver provides a copy to his or her employer.
* Under current regulations, the certificate is valid for 2 years
unless the driver has a medical condition that requires more frequent
monitoring.
* When the medical examiner finds medical conditions that prevent
certification of the physical condition of the driver and this finding
is in conflict with the findings of another medical examiner or the
driver's personal physician, the driver can apply to FMCSA for a
determination.
When operating a commercial motor vehicle, drivers must have a copy of
the medical examiner's certificate in their possession. Motor carriers,
in turn, are required to maintain a copy of the certificate in their
files. When drivers are stopped for a roadside inspection, state
inspectors can review the medical examiner's certificate. During
compliance reviews of motor carriers, FMCSA investigators may verify
there is a medical certificate on file with the motor carrier. In
addition, the inspector or investigator may verify whether the medical
practitioner is authorized to conduct physical examinations in the
state. The investigator also may contact or visit the medical examiner
to review a driver's case.
Under current regulations, states are not required to verify the
medical certification of drivers applying for a commercial driver's
license, although some states do so. Federal regulations require that
commercial driver's license applicants certify either that they meet
the physical qualification requirements or certify that they are exempt
from federal qualification requirements (e.g., government employees,
intrastate-only drivers) when they apply for a commercial license.
According to FMCSA, in 2006, 12 states reported that they require (and
review) the driver medical certificate: Alabama, Arizona, California,
Indiana, Louisiana, Maryland, Massachusetts, Nevada, New Mexico, Rhode
Island, Utah, and West Virginia. Of these states, all but Maryland also
require the driver medical examination report form as a condition for
issuance of the commercial driver's license. Alabama only requires the
medical examination report form upon initial application.
FMCSA is finalizing a proposed rule to merge information from the
medical examiner's certificate into the commercial driver's license
process as required by the Motor Carrier Safety Improvement Act of
1999. The new rule would require interstate drivers of commercial motor
vehicles who hold a commercial driver's license and are subject to
physical qualifications to provide a copy of their current medical
examiner's certificate to their state driver licensing agency. This new
rule would make the state driver licensing agencies responsible for
ensuring that holders of commercial driver's licenses have current
medical certificates.[Footnote 17] As of December 2007, the final rule
is under agency review.
Commercial Driver Background Check Requirements:
FMCSA has no direct role in conducting background checks of commercial
drivers, although it oversees state commercial driver licensing
programs.[Footnote 18] Federal regulations establish background check
requirements to be performed by other government agencies, such as
states and TSA, and employers. (See table 7.)
Table 7. Summary of Federal Regulations Governing Commercial Driver
Background Checks:
Regulation: 49 CFR Part 383.73;
Description of Requirements: Establishes minimum standards for states
for issuing commercial drivers' licenses including that states complete
a check of the applicant's driving record to ensure that the driver
does not have any disqualifying traffic violations, a suspended or
revoked license, or a driver's license from more than one state.
Regulation: 49 CFR Part 391.21-.27;
Description of Requirements: Requires employers to check a driver's
employment history and driving record, prior to employment.
Regulation: 49 CFR Part 383.141;
Description of Requirements: Indicates that that states may issue,
renew, upgrade, or transfer a hazardous materials endorsement for a
commercial driver's license only if TSA has determined that the person
does not pose a security risk warranting denial of the endorsement.
Source: GAO analysis of federal regulations and FMCSA information.
[End of table]
Commercial Driver Background Check Procedures:
For a commercial motor vehicle driver applying for a commercial
driver's license, federal regulation requires states to check
applicants' driving records. In addition, employers must conduct
background checks of commercial drivers applying for jobs. Drivers
seeking an endorsement to their commercial license that enables them to
haul hazardous materials must undergo a TSA security check. In general,
the background check procedures include the following steps:
* State driving record check procedures. State licensing agencies
complete checks of applicants' driving records, which include checking
the records maintained by states that issued current licenses.[Footnote
19] State agencies check the Commercial Driver's License Information
System to determine whether a state has issued applicants' commercial
licenses; whether the applicants' licenses have been suspended,
revoked, or cancelled; or whether states have disqualified applicants
from operating commercial motor vehicles.[Footnote 20] States check the
National Driver Register to determine whether applicants have been
disqualified by any other states from driving any motor vehicle; had
licenses other than commercial licenses suspended, revoked, or
cancelled during the 3-year period ending on the date of the
application; or been convicted of other offenses. States also request
driving records for the last 10 years from states that licensed
applicants.
* TSA hazardous materials endorsement background check procedures.
Federal regulations require that states may not issue, renew, or
transfer a hazardous materials endorsement unless TSA has determined
that the applicant poses no security risk. A hazardous materials
endorsement authorizes an individual to transport placarded hazardous
materials for commerce, and state licensing agencies indicate that
drivers hold the endorsement on each driver's commercial license.
Applicants apply for a security threat assessment at a TSA-or state-
managed enrollment center. They provide biographical information and
fingerprints to TSA. TSA checks the biographical information against
intelligence databases for connections to terrorism, as well as to
criminal and immigration databases for applicable disqualifying
offenses. FBI processes the fingerprints, checking them against
criminal history records. TSA evaluates the data and informs the
applicant of its determination. Applicants may appeal the determination
or seek a waiver. After the appeal or waiver process, TSA makes a final
determination and notifies the state and the applicant of its final
determination.
* Employer background check procedures. Federal regulations require
employers of commercial motor vehicle drivers to make several inquiries
regarding commercial drivers' background and employment history.
Employers obtain a list of past employers and check the driver's safety
performance from employers going back 10 years. The employers complete
a check of the driving record for the last 3 years in each state that
the driver held a motor vehicle license. In addition, they check the
results of drug and alcohol tests performed by the driver's previous
employers within the previous 3 years, and annually check the driving
record for every state in which the driver has held a commercial
license. Employers also annually check the driver's record to determine
whether it contains convictions for violations of motor vehicle traffic
laws or any situation for which the driver had to forfeit bond or
collateral during the previous 12 months. Employers check records
directly with the state licensing agency in states where a driver has
held a commercial driver's license. According to FMCSA officials,
employers use third parties to conduct these checks. Employers must
maintain copies of documentation they obtain during the background
check in employee files.
Footnotes:
[1] Federal regulations require background checks of selected pilots,
such as those working for aircraft operators and pilots requiring
unescorted access to secure areas of commercial airports.
[2] Vessel master is an occupational title referring to a deck officer
responsible for navigating a vessel and managing the deck department.
[3] In 2005, an investigation by the Inspector General of the
Department of Transportation found cases of pilots not disclosing
disqualifying medical conditions on their medical certification
applications and determined that the Federal Aviation Administration
lacked a strategy for independently screening applicants and
identifying false statements.
[4] According to Coast Guard officials, the term credentials generally
refers to both merchant mariner documents and licenses.
[5] Although estimates vary, according to FMCSA, in December 2007,
there were approximately 5 million drivers with commercial drivers'
licenses.
[6] Airline transport pilots (i.e., pilots in command positions for
scheduled air carriers) must hold class I medical certifications and
undergo medical examination to renew their certificates every 6 months.
Non-airline commercial pilots (i.e., pilots that fly for compensation
or hire, such as crop dusters and corporate pilots), cargo pilots,
flight engineers, flight navigators, and air traffic control tower
operators must hold class II medical certifications and renew their
certificates annually. Private, recreational, and student pilots (i.e.,
pilots that fly for pleasure or personal business without compensation)
must hold class III medical certifications and renew their certificates
every 2 years if 40 years of age or older and every 3 years if under 40
years of age.
[7] In April 2007, FAA issued a notice of proposed rule making to
extend the duration of selected medical certificates. For class I
medical certificates, FAA proposed to increase the duration of validity
from 6 months to 1 year and for class III medical certificates, from 3
years to 5 years, for those under age 40. According to an FAA official,
FAA is currently evaluating the comments it received and expects the
rule to be final later in 2008.
[8] The National Driver Register is a computerized database of
information about drivers who have had their licenses revoked or
suspended. The Register also shows driver convictions for serious
traffic violations such as driving while impaired by alcohol or drugs.
State motor vehicle agencies provide the National Driver Register with
information.
[9] Regulations provide selected FAA physicians discretion in issuing
medical certificates when applicants do not meet normal medical
standards. 14 CFR Part 67.401
[10] The Privacy Act of 1974 places limitations on the ability of
agencies to enforce a Social Security number disclosure requirement by
denying a license to an applicant for refusing to disclose his or her
Social Security number. The Privacy Act states that an agency cannot
"deny to any individual any right, benefit or privilege provided by law
because of such individual's refusal to disclose his Social Security
number" unless authorized by statute.
[11] The "no fly" list includes people the Department of Homeland
Security, TSA, and other federal agencies have determined present an
unacceptable risk if allowed on an airplane.
[12] Federal regulations generally require mariners to have a physical
examination every 5 years or within 3 years when applying for a license
for a higher-grade position. Vessel pilots are required to have a
physical examination annually. If a mariner has a medical problem,
Coast Guard can require the mariner to submit periodic physical
examination reports and other medical information as a condition of the
credential.
[13] Coast Guard is consolidating its medical examination review
processes from regional centers into the National Maritime Center at
Martinsburg, West Virginia.
[14] The physical qualification standard applies to drivers that
operate motor vehicles (1) with a gross vehicle weight rating or gross
combination weight rating, or gross vehicle weight or gross combination
weight, whichever is greater, of at least 10,001 pounds; (2) used to
transport for compensation more than eight passengers; or (3) used to
transport hazardous materials. In addition, drivers must use the
vehicles in these categories on the highways in interstate commerce to
transport passengers or property.
[15] For the purposes of this report, we are focusing our review on
commercial motor vehicle drivers who also hold a commercial driver's
license.
[16] According to FMCSA officials, the Social Security number is one of
several personal identifiers that drivers provide on the medical
physical examination form, to employers when applying for a job, and to
state driver licensing agencies when applying for a commercial driver's
license. There is no federal regulation that requires a commercial
driver to provide a Social Security number on the medical examination
report form and medical examiners are not required to verify a driver's
Social Security number if it is provided. Federal regulations do
require drivers to provide their Social Security numbers to prospective
employers (49 CFR Part 391.21(b) (2)) as well as to the state driver
licensing agency when they apply for a commercial driver's license.
Federal regulations do not require nonresident commercial driver's
license applicants to submit their Social Security numbers to the state
driver licensing agency when applying for a commercial driver's
license.
[17] The proposed rule also requires states to record on a national
commercial driver information system drivers' certification as to
whether they fall under driver qualifications, and if applicable, their
medical status.
[18] FMCSA performs state commercial driver's license compliance
reviews every 3 years on each state, or sooner if a problem or issue is
raised. The purpose of the review is to determine whether states are
substantially complying with the requirements of the commercial
driver's license program. During a review, FMCSA investigators review
state statutes, rules, and regulations related to testing and issuing a
commercial driver's license; sample transactions; and observe the
process.
[19] Federal regulations (49 CFR Part 384.225) require that states
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 committed
in any type of vehicle from another state or with the state. 49 CFR
Part 284.206 requires the state to take prompt action on any adverse
information received in these record checks.
[20] The Commercial Driver's License Information System is a nationwide
information system that state licensing agencies must use to exchange
information on applicants who may hold commercial licenses in other
states or have driving infractions that make them ineligible for
licensing.
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