[Federal Register Volume 63, Number 190 (Thursday, October 1, 1998)]
[Rules and Regulations]
[Pages 52592-52600]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-26243]



[[Page 52592]]

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DEPARTMENT OF TRANSPORTATION

National Highway Traffic Safety Administration

23 CAR Part 1345

[Docket No. NHTSA-98-4496]
RIN 2127-AH40


Occupant Protection Incentive Grants

AGENCY: National Highway Traffic Safety Administration (NHTSA), DOT.

ACTION: Interim final rule; request for comments.

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SUMMARY: This interim final rule implements a new program established 
by the Transportation Equity Act for the 21st Century (TEA-21), under 
which States can qualify for incentive grant funds if they adopt and 
implement effective programs to reduce highway deaths and injuries 
resulting from individuals riding unrestrained or improperly restrained 
in motor vehicles. This interim final rule solicits public comment.

Dates: This interim final rule becomes effective November 2, 1998. 
Comments on this interim final rule are due no later than November 30, 
1998.

Addresses: Written comments should refer to the docket number for this 
notice, and be submitted (preferably in two copies) to: Docket 
Management, Room PL-401, National Highway Traffic Safety 
Administration, Nassif Building, 400 Seventh Street, S.W., Washington, 
D.C. 20590. (Docket hours are Monday-Friday, 10 a.m. to 5 p.m., 
excluding Federal holidays.)

For further information contact: Ms. Joan Tetrault, State and Community 
Services, NSC-01, NHTSA, 400 Seventh Street, S.W., Washington, D.C. 
20590; telephone (202) 366-2121, or Ms. Heidi L. Coleman, Assistant 
Chief Counsel for General Law, NCC-30, NHTSA, 400 Seventh Street, S.W., 
Washington, D.C. 20590; telephone (202) 366-1834.

Supplementary information: The Transportation Equity Act for the 21st 
Century (TEA-21), Pub. L. 105-178, was signed into law on June 9, 1998. 
Section 2003 of the Act established a new incentive grant program under 
Section 405 of Title 23, United States Code (Section 405). Under this 
new program, States may qualify for incentive grant funds by adopting 
and implementing effective programs to reduce highway deaths and 
injuries resulting from individuals riding unrestrained or improperly 
restrained in motor vehicles. The program was designed to stimulate 
increased safety belt and child safety seat use.

Background

Effectiveness of Occupant Protection Systems

    Injuries caused by motor vehicle traffic crashes in America are a 
major health care problem and are the leading cause of death for people 
aged 6 to 27. Each year injuries caused by traffic crashes in the 
United States claim approximately 42,000 lives and cost Americans an 
estimated $150 billion. Safety belts are an effective means of reducing 
fatalities and serious injuries when traffic crashes occur. Safety 
belts are estimated to save nearly 11,000 lives each year. Lap and 
shoulder belts reduce the risk of fatal injury to front seat passenger 
car occupants by 45 percent and the risk of moderate to critical injury 
by 50 percent. For light truck occupants, safety belts reduce the risk 
of fatal injury by 60 percent and moderate to critical injury by 65 
percent.
    Child safety seats reduce the risk of fatal injury in a crash by 69 
percent for infants (less than 1 year old) and by 47 percent for 
toddlers (1-4 years old). In 1997, there were 593 occupant fatalities 
among children under 5 years of age. Of those 593 fatalities, an 
estimated 298 (54 percent) were totally unrestrained. From 1975 through 
1997, an estimated 3,894 lives were saved by the use of child 
restraints (child safety seats or adult belts). In 1997, an estimated 
312 children under age 5 were saved as a result of child restraint use.

America's Experience With Safety Belts and Child Safety Seats

    While the first safety belts were installed by automobile 
manufacturers in the 1950s, safety belt use was very low--only 10 to 15 
percent nationwide--until the early 1980s. From 1984 through 1987, belt 
use increased from 14 percent to 42 percent, as a result of the passage 
of safety belt use laws in 31 States. Belt use is now mandated in 49 
States, the District of Columbia, Puerto Rico and the U.S. Territories 
(which include the Virgin Islands, Guam, American Samoa and the 
Commonwealth of the Northern Mariana Islands), but only 13 States, the 
District of Columbia, Puerto Rico and the U.S. Territories allow police 
to stop a vehicle solely on the basis of observing a safety belt 
violation. Most States require that another violation must first be 
observed (i.e., secondary enforcement) before safety belt law violators 
can be stopped and issued a citation. Under these conditions, national 
safety belt usage seems to have reached a plateau of 69 percent.
    The first law requiring children to be in safety seats was enacted 
in 1978 in Tennessee. By 1985, all 50 States and the District of 
Columbia had passed child passenger laws. Statewide reported usage 
rates currently range between 60 and 90 percent, depending on the age 
of the child. Most safety seats, however, are used improperly to some 
degree.

The President's Call To Increase Safety Belt and Child Safety Seat 
Usage

    In 1997, President Clinton established the Presidential Initiative 
to Increase Seat Belt Usage Nationwide (Presidential Initiative), 
setting goals of achieving a safety belt use rate of 85% by the year 
2000 and a 90 percent safety belt use rate by 2005. The President also 
seeks to reduce child occupant fatalities (0-4 years) by 15 percent in 
the year 2000 and by 25 percent in 2005. The Presidential Initiative 
contained a four point strategy to meet its goals of increasing safety 
belt and child safety seat use.
    The first point in the strategy is to build public/private 
partnerships to address the issue of safety belt and child safety seat 
use. In addition, the strategy calls for States to enact strong laws 
and to embrace active, high-visibility enforcement. Finally, the 
strategy calls for public and private partners to conduct well-
coordinated, effective public education. The occupant protection 
incentive grant program enacted by Congress as part of TEA-21 
reinforces key elements of the President's national strategy, by 
encouraging States to adopt and strengthen safety belt use laws 
(including laws that provide for primary enforcement) and child safety 
seat use laws, conduct high visibility enforcement, and establish 
education programs.

Grant Criteria

    To be eligible for a grant under the new Section 405 statute, a 
State must adopt or demonstrate at least four of the following six 
criteria: a safety belt use law; a primary safety belt use law; minimum 
fines or penalty points against the driver license of an individual for 
a violation of the State's safety belt use law or a violation of the 
State's child passenger protection law; a special traffic enforcement 
program; a child passenger protection education program; and a child 
passenger protection law. The elements of these grant criteria and the 
manner in which States must demonstrate compliance are explained fully 
below:

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1. Safety Belt Use Law
    To qualify under this criterion, a State must have in effect a 
safety belt use law that makes unlawful throughout the State the 
operation of a passenger motor vehicle whenever an individual (other 
than a child who is secured in a child restraint system) in the front 
seat of the vehicle (and, beginning in fiscal year 2001, in any seat in 
the vehicle) does not have a safety belt properly secured about the 
individual's body.
    Based on the definitions contained in the statute, NHTSA has 
determined that the term ``passenger motor vehicle'' means passenger 
car, pickup truck, van, minivan, or sport utility vehicle. The statute 
did not contain a definition of the term ``child restraint system.'' 
NHTSA has determined that this term shall have the same meaning as the 
term ``child safety seat.'' The term ``child safety seat'' was defined 
by the statute. The definitions are reflected in Sec. 1345.3 of the 
regulation.
    Except for children in child restraint systems, the statute does 
not provide for any exemptions from application. However, NHTSA 
understands that all States have exemptions written into their safety 
belt laws. The agency believes that Congress' intent to aid States in 
their efforts to achieve higher belt use rates would not be served by 
reading the statute so literally as to deny an incentive grant to 
States whose laws contain any exemptions. On the other hand, some 
exemptions would either be incompatible with the language of the 
statute or would so severely undermine the safety considerations 
underlying the statute so as to render a State whose law contains the 
exemption ineligible for the incentive grant program.
    NHTSA has reviewed existing safety belt laws and has decided to 
permit exemptions covering persons with medical excuses; postal, 
utility and other commercial drivers who make frequent stops in the 
course of their business; emergency vehicle operators and passengers; 
persons riding in positions not equipped with safety belts; persons in 
public and livery conveyances; persons riding in parade vehicles and 
persons in the custody of police. Any State considering an exemption 
other than those identified as acceptable should anticipate that the 
agency would review the exemption to determine whether it is in 
accordance with the intent of the statute and applies to situations in 
which the risk to occupants is very low or in which there are exigent 
circumstances. For example, the agency would consider an exemption for 
persons in vehicles equipped with air bags to be wholly unacceptable.
    To demonstrate compliance with this criterion, the State is 
required to submit a copy of its law, regulation or binding policy 
directive interpreting or implementing the law or regulation that 
provides for each element of the safety belt use law criterion. The 
State is required to identify any exemptions to its safety belt use 
law.
2. Primary Safety Belt Use Law
    To qualify under this criterion, a State must provide for primary 
enforcement of its safety belt use law. Under a primary enforcement 
law, law enforcement officials have the authority to enforce the law 
without the need to show that they have probable cause to believe that 
another violation had been committed. Any State that provides for 
secondary enforcement of its safety belt use law will not qualify for 
funds under this criterion. A review of State laws indicates that 
currently, 13 States, the District of Columbia, Puerto Rico and all the 
U.S. Territories have primary enforcement laws and 36 States have 
secondary enforcement laws.
    To demonstrate compliance with this criterion, the State is 
required to submit a copy of its law, regulation or binding policy 
directive interpreting or implementing the law or regulation, that 
provides for each element of the primary safety belt use law criterion.
3. Minimum Fine or Penalty Points
    To qualify under this criterion, a State must impose a minimum fine 
or provide for the imposition of penalty points against the driver's 
license of an individual for a violation of the safety belt use law of 
the State and for a violation of the child passenger protection law of 
the State. In other words, a violation of either the safety belt use 
law or the child passenger protection law must trigger the imposition 
of a minimum fine or penalty points.
    Although the statute does not set a specific monetary amount as a 
``minimum fine,'' NHTSA believes it would be inconsistent for Congress 
to set a statutory requirement for a minimum fine level, but leave open 
the possibility that there would be no monetary penalty or one that is 
nominal and insignificant. Accordingly, NHTSA has determined that the 
term ``minimum fine'' shall mean a total monetary penalty of at least 
$25.00, which may include fines, fees, court costs, or any other 
additional monetary assessments collected. The definition of ``minimum 
fine'' is contained in Sec. 1345.3 of the regulation.
    States will be permitted to meet this grant criterion as either 
``Law States'' or ``Data States.'' To qualify as a Law State, the State 
must have a law, regulation, or binding policy directive interpreting 
or implementing such law or regulation that provides for each element 
of the minimum fine/penalty points criterion. A Law State may 
demonstrate compliance with this criterion by submitting a copy of its 
conforming law, regulation or binding policy directive.
    A State that does not have a law, regulation or binding policy 
directive that conforms to each element of this criterion may qualify 
instead as a Data State. A Data State may show compliance with this 
criterion by submitting data covering at least a three-month period 
within the last twelve months showing the total number of persons 
convicted of a safety belt use or child passenger protection law 
violation and that 80% of all such persons were required to pay a fine 
of at least $25.00 or had one or more penalty points assessed against 
their driver's license. The total number of persons convicted must be 
sufficient to show that the State is conducting meaningful enforcement 
and adjudication of its safety belt use and child passenger protection 
laws.
    A State is permitted to submit data based on a representative 
sample. By representative sample, the agency means that data should be 
obtained from all communities in the State or from a sample of 
communities representative of the State as a whole. The agency notes 
that a State may qualify as a Law State with respect to its safety belt 
use law and as a Data State with respect to its child passenger 
protection law, or vice versa.
4. Special Traffic Enforcement Program
    To qualify under this criterion, a State must provide for a 
statewide Special Traffic Enforcement Program for occupant protection 
that emphasizes publicity for the program.
    The term ``Special Traffic Enforcement Program'' (STEP) references 
a model program that NHTSA recommends for State and community 
implementation because it has proven effective in increasing safety 
belt use at both statewide and community levels. STEPs combine public 
education, publicity and intensified enforcement to increase safety 
belt and child safety seat use rates.
    Several States have already developed and employed effective STEPs. 
In 1993, North Carolina launched a statewide campaign to increase 
safety belt use. The ``Click It or Ticket'' program combined law 
enforcement blitzes with extensive publicity. North Carolina law

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enforcement agencies conducted 3,425 checkpoints across the State which 
resulted in nearly 34,000 safety belt and nearly 2,300 child safety 
seat citations. Safety belt use in the State rose from 63 percent to 80 
percent.
    Georgia is currently conducting a STEP operation called ``Operation 
Strap n' Snap.'' This two-year program, which began in August 1997, is 
scheduled to include eight enforcement waves. After the first 
enforcement wave, Georgia's safety belt use rate climbed to its highest 
level ever at 67.75 percent, up from 62 percent.
    To qualify under this criterion, a State must plan to implement a 
STEP that provides for periodic enforcement efforts. Each enforcement 
effort must include the following five elements in chronological order: 
(1) A pre-wave seat belt observed use survey; (2) A statewide media 
campaign to inform the public about the risks and costs of traffic 
crashes, the benefits of increased occupant protection use, and the 
need for traffic enforcement as a way to manage those risks and costs; 
(3) Local media events announcing the pending enforcement wave; (4) A 
wave of enforcement effort consisting of checkpoints, saturation 
patrols or other enforcement tactics; and (5) A post-wave observed use 
survey coupled with a post-wave media event announcing the results of 
the survey and the enforcement effort.
    By requiring that States conduct observed use surveys, NHTSA does 
not mean to require States to conduct scientifically based surveys with 
representative sample sizes. It will be sufficient if pre-wave and 
post-wave surveys are based on observed use and conducted at the same 
times (day and hour) and locations so that the measures are comparable.
    The State's program must provide for at least 2 enforcement efforts 
each year and must require the participation of both State and local 
law enforcement agencies in each enforcement effort. In addition, 
States must demonstrate that their program covers at least 70% of the 
State's population.
    Coverage can be accomplished by an area-wide or corridor approach, 
or a combination of those approaches. Under the area-wide approach, the 
population covered by the program is estimated based on the populations 
covered by each of the participating local law enforcement 
jurisdictions and the total State population. Under the corridor 
approach, the population covered is estimated based on traffic volumes 
over specified transportation routes, with concentrated enforcement/
education efforts focused on that ``mobile'' population, and the total 
traffic volumes statewide on comparable roadways.
    To demonstrate compliance in the first year the State receives a 
grant based on this criterion, the State must submit a plan to conduct 
a program that includes the elements described above. The plan must 
provide the approximate dates, durations and locations of the 
enforcement efforts planned in the upcoming year and must specify the 
types of enforcement methods that will be used during each enforcement 
effort. The State must also provide a listing of the law enforcement 
agencies that will participate in the enforcement efforts along with an 
estimate of the approximate cumulative percentage of the State's 
population served by those agencies or the approximate percentage of 
the traffic volume on roadways covered by the enforcement program.
    In addition, the State must document the activities it plans to 
conduct to provide the public with information on the importance of 
occupant restraints and to publicize each enforcement effort and its 
results. This information should include a sample or synopsis of the 
content of the public information messages that will accompany the 
enforcement efforts and the strategy the State intends to use to 
deliver each message to its target audience.
    To qualify for funding in subsequent years, the State must submit 
an updated plan for conducting its STEP and information documenting 
that the prior year's plan was effectively implemented. The information 
shall document that enforcement efforts were conducted; which police 
agencies were involved; and the dates, duration and location of each 
enforcement effort. The State must also submit samples of materials 
used, and document activities that took place to reach the target 
population. For example, the State may submit copies of news articles 
about the program or document press events, television and radio 
coverage or other publicity about the program and the enforcement 
efforts.
5. Child Passenger Protection Education Program
    To qualify under this criterion, a State must plan to implement a 
statewide comprehensive child passenger protection education program 
that includes education programs about proper seating positions for 
children in air bag equipped motor vehicles and instruction on how to 
reduce the improper use of child restraint systems.
    To qualify under this criterion, State child passenger protection 
education programs must meet the following four elements: (1) The 
program must provide information to the public about proper seating 
positions for children in air bag equipped motor vehicles, the 
importance of restraint use, and instruction on how to reduce the 
improper use of child restraint systems; (2) The program must provide 
for child passenger safety (CPS) training and retraining to establish 
or update child passenger safety technicians, police officers, fire and 
emergency personnel and other educators to function at the community 
level for the purpose of educating the public about proper restraint 
use and to teach child care givers how to install a child safety seat 
correctly. The training should encompass the goals and objectives of 
NHTSA's Standardized Child Passenger Safety technician curriculum; (3) 
The program must provide for child safety seat clinics conducted by 
State and or local agencies (health, medical, hospital, enforcement, 
etc.); and (4) Each of the State's program activities (with the 
exception of the training and retraining activities) must cover at 
least 70% of the State's population; that is, the public information 
and clinic components of State programs must reach counties or other 
subdivisions of the State that collectively contain at least 70% of the 
State's population.
    To demonstrate compliance in the first fiscal year a State receives 
a grant based on this criterion, the State shall submit a comprehensive 
plan to conduct a statewide comprehensive child passenger protection 
education program that meets the elements set forth above. In its plan, 
the State must include a sample or synopsis of the content of the 
planned public information program and the strategy that will be used 
to reach 70% of the targeted population.
    Also, the State must describe the activities that will be used to 
train and retrain child passenger safety technicians, police officers, 
fire and emergency personnel and other educators and provide the 
durations and locations of such training activities. In addition, the 
State must provide information on the approximate number of people who 
will participate in the training and retraining activities. The State 
must also describe its plan to conduct clinics that will serve at least 
70% of the targeted population.
    To qualify for funding in subsequent years, the State must submit 
an updated plan for conducting a child passenger protection education 
program and information documenting that the prior year's plan was 
effectively implemented. The information shall document that a public 
information program, training and child safety seat

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clinics were conducted; which agencies were involved; and the dates, 
durations and locations of these programs.
6. Child Passenger Protection Law
    To qualify under this criterion, a State must have in effect a law 
that requires minors who are riding in a passenger motor vehicle to be 
properly secured in a child safety seat or other appropriate restraint 
system.
    The terms ``passenger motor vehicle'' and ``child safety seat'' 
which are used to describe this criterion are defined by statute. The 
statutory definitions are reflected in Sec. 1345.3 of the regulation. 
The statute did not define the term ``minor.''
    NHTSA has determined that, to comply with this grant criterion, a 
State must make unlawful the operation of a passenger motor vehicle 
whenever an individual who is less than 16 years of age is not properly 
secured in a child safety seat or other appropriate restraint system in 
any seating position of the vehicle. NHTSA believes that Congress' 
intent to aid the States in their efforts to achieve higher child 
safety seat and safety belt use would not be served if children under 
age 16 were allowed to ride unrestrained in a passenger motor vehicle. 
NHTSA's review of State laws indicates that some States currently allow 
some children under age 16 to ride unrestrained if they are in the rear 
seat of passenger vehicles. Other States' laws allow some children 
under 16 who ride in certain types of excepted vehicles to be 
unrestrained. NHTSA believes that the intent of the legislation was to 
eliminate these gaps in coverage. In addition, the agency believes that 
defining minor to mean under age 16 is consistent with the majority of 
State driver licensing laws that allow individuals at ages 16 and 
higher to obtain driver's licenses.
    To demonstrate compliance, a State must submit a copy of its law, 
regulation, or binding policy directive interpreting or implementing 
such law or regulation adopting each element of the child passenger 
protection law requirement. In addition, the State is required to 
identify any exemptions to its child passenger protection law.
    The agency notes that children age 12 and under should always sit 
in the back seat of a motor vehicle. Frontal crashes are the most 
serious types of crashes. The back seat is the safest seat because it 
is farthest away from the impact of such a crash. In addition, people 
sitting in the back seat have the soft back of the front seat in front 
of them, instead of hard surfaces like the windshield, mirror or 
dashboard.
    Children should also sit in the back seat to guard against injuries 
from air bags. Air bags can seriously injure or kill children who are 
in the front seat. In a crash, the air bag must deploy in a fraction of 
a second. The energy of the air bag's deployment can harm anyone in the 
front seat who is too close to the air bag. Children age 12 and under 
who are not properly restrained are particularly at risk.
    In addition, the agency wishes to stress the importance of placing 
children under age 4 in child safety seats. Specifically, the agency 
recommends that children less than 20 pounds, or less than one year 
old, be placed in a rear facing infant seat secured in the rear seat of 
the vehicle by the safety belts. Children from about 20 to 40 pounds 
and at least one year old should be placed in a forward-facing child 
seat secured in the rear seat of the vehicle by a safety belt. Children 
more than 40 pounds should sit in a booster seat secured in the rear 
seat of the vehicle with both portions of a lap/shoulder belt (except 
only the lap portion is used with some booster seats equipped with a 
front shield). Finally, the agency recommends that children whose 
sitting height is high enough so that they can, without the aid of a 
booster seat, wear the shoulder belt comfortably across their shoulder 
and secure the lap belt across their pelvis and whose legs are long 
enough to bend over the front of the seat when their backs are against 
the vehicle seat back be secured with both portions of a lap/shoulder 
belt.

Certifications in Subsequent Years

    NHTSA believes that if a State has qualified under a criterion 
based on its laws and there have been no changes in the laws since the 
time of the original application, there is little reason to require the 
State to resubmit its laws in its application for subsequent year 
funds. In lieu of resubmitting its laws to demonstrate compliance in 
subsequent years the State receives a grant based on its compliance 
with Criterion No. 1 (Safety Belt Use Law), Criterion No. 2 (Primary 
Safety Belt Use Law), Criterion No. 3 (Minimum Fine or Penalty Points) 
or Criterion No. 6 (Child Passenger Protection Law), the State may 
submit a statement certifying that there have been no changes in the 
State's laws. A State demonstrating compliance as a Data State under 
Criterion No. 3 would still be required to submit all necessary data.

Limitations on Grant Amounts

    Section 405 provides, in subsection (c), that an eligible State may 
receive as a grant an amount that shall not exceed 25 percent of its 
fiscal year 1997 highway safety grant (Section 402) apportionment under 
23 U.S.C. 402.
    No State may receive a grant in more than six fiscal years. A total 
of $68 million has been authorized for the Section 405 program over a 
period of five years. Specifically TEA-21 authorizes $10 million for 
fiscal year 1999, $10 million for fiscal year 2000, $13 million for 
fiscal year 2001, $15 million for fiscal year 2002 and $20 million for 
fiscal year 2003. Under Section 405, States are required to match the 
grant funds they receive as follows: the Federal share can not exceed 
75 percent of the cost of implementing and enforcing the occupant 
protection program adopted to qualify for these funds in the first and 
second fiscal years the State receives funds; 50 percent in the third 
and fourth fiscal years it receives funds; and 25 percent in the fifth 
and sixth fiscal years.
    No grant may be made to a State unless the State certifies that it 
will maintain its aggregate expenditures from all other sources for its 
occupant protection programs at or above the average level of such 
expenditures in fiscal years 1996 and 1997 (either State or Federal 
fiscal year 1996 and 1997 can be used).
    The agency will accept a ``soft'' match in Section 405's 
administration, as it has for the agency's Section 402 and 410 
programs. By this, NHTSA means the State's share may be satisfied by 
the use of either allowable costs incurred by the State or the value of 
in-kind contributions applicable to the period to which the matching 
requirement applies. A State could not, however, use any Federal funds, 
such as its Section 402 funds, to satisfy the matching requirements. In 
addition, a State can use each non-Federal expenditure only once for 
matching purposes.

Award Procedures

    To receive a grant in any fiscal year, the State is required to 
submit an application to NHTSA, through the appropriate NHTSA Regional 
Administrator, which demonstrates that the State meets the requirements 
of the grant being requested. The particular requirements of these 
grants are defined in detail in Sec. 1345.5 of the regulation. The 
State also must submit certifications that: (1) it has an occupant 
protection program that meets the grant requirements; (2) it will use 
the funds awarded only for the implementation and enforcement of 
occupant protection programs; (3) it will administer the funds in 
accordance with relevant regulations and OMB Circulars; and (4)

[[Page 52596]]

it will maintain its aggregate expenditures from all other sources for 
its occupant protection programs at or above the average level of such 
expenditures in fiscal years 1996 and 1997. State or Federal fiscal 
years may be used.
    In both the first and in subsequent years, once a State has been 
informed that it is eligible for a grant, the State must include 
documentation in the State's Highway Safety Plan, prepared under 
Section 402, that indicates how it intends to use the grant funds. The 
documentation must include a Program Cost Summary (HS Form 217) 
obligating the section 405 funds to occupant protection programs.
    To be eligible for grant funds in fiscal year 1999, States must 
submit their applications no later than August 1, 1999. To be eligible 
for grant funds in any subsequent fiscal years, States must submit 
their applications no later than August 1 of the fiscal year in which 
they are applying for funds. The agency will permit (and strongly 
encourages) States to submit all of these materials in advance of the 
regulatory deadlines.
    Upon receipt and subsequent approval of a State's application, 
NHTSA will award grant funds to the State and will authorize the State 
to incur costs after receipt of an HS Form 217. Vouchers must be 
submitted to the appropriate NHTSA Regional Administrator and 
reimbursement will be made to States for authorized expenditures. The 
funding guidelines applicable to the Section 402 Highway Safety Program 
will be used to determine reimbursable expenditures under the Section 
405 program. As with requests for reimbursement under the Section 402 
program, States should indicate on the vouchers what amount of the 
funds expended are eligible for reimbursement under Section 405.
    The release of the full grant amounts shall be subject to the 
availability of funding for that fiscal year. If there are expected to 
be insufficient funds to award full grant amounts to all eligible 
States in any fiscal year, NHTSA may release less than the full grant 
amounts upon initial approval of the State's application and 
documentation and the remainder of the full grant amounts, up to the 
State's proportionate share of available funds, before the end of that 
fiscal year. Project approval, and the contractual obligation of the 
Federal government to provide grant funds, shall be limited to the 
amount of funds released.
    The Secretary may transfer any amounts remaining available under 
Sections 405, 410 and 411 to the amounts made available under any other 
of these programs to ensure, to the maximum extent possible, that each 
State receives the maximum incentive funding for which it is eligible.

Interim Final Rule

    These regulations are being published as an interim final rule. 
Accordingly, the new regulations in Part 1345 are fully in effect 30 
days after the date of the document's publication. No further 
regulatory action by the agency is necessary to make these regulations 
effective.
    These regulations have been published as an interim final rule 
because insufficient time was available to provide for prior notice and 
opportunity for comment. Grants will be available beginning in FY 1999. 
Many of the grant criteria require States to enact legislation in order 
to comply. States are preparing their legislative agendas now for their 
1999 legislative sessions. The States have a need to know what the 
criteria for grants under this program will be as soon as possible so 
they can enact conforming legislation.
    In the agency's view, the States will not be impeded by the use of 
an interim final rule. The procedures that States must follow under 
this new program are similar to procedures that States have followed in 
other grant programs administered by NHTSA. These procedures were 
established by rulemaking and were subject to prior notice and 
opportunity for comment.
    Moreover, the criteria are derived from the Federal statute and 
their implementation does not involve a significant amount of 
discretion on the part of the agency. For these reasons, the agency 
believes that there is good cause for finding that providing notice and 
comment in connection with this rulemaking action is impracticable, 
unnecessary, and contrary to the public interest.
    The agency requests written comments on these new regulations. All 
comments submitted in response to this document will be considered by 
the agency. Following the close of the comment period, the agency will 
publish a document in the Federal Register responding to the comments 
and, if appropriate, will make revisions to the provisions of Part 
1345.

Written Comments

    Interested persons are invited to comment on this interim final 
rule. It is requested, but not required, that two copies be submitted.
    All comments must be limited to 15 pages in length. Necessary 
attachments may be appended to those submissions without regard to the 
15 page limit. (49 CFR 553.21.) This limitation is intended to 
encourage commenters to detail their primary arguments in a concise 
fashion.
    Written comments to the public docket must be received by November 
30, 1998. All comments received before the close of business on the 
comment closing date will be considered and will be available for 
examination in the docket at the above address before and after that 
date. To the extent possible, comments received after the closing date 
will also be considered. However, the rulemaking action may proceed at 
any time after that date. NHTSA will continue to file relevant material 
in the docket as they become available after the closing date, and it 
is recommended that interested persons continue to examine the docket 
for new materials.
    Those persons desiring to be notified upon receipt of their 
comments in the docket should enclose, in the envelope with their 
comments, a self-addressed stamped postcard. Upon receiving the 
comments, the docket supervisor will return the postcard by mail.
    Copies of all documents will be placed in Docket No. NHTSA-98-4496; 
in Docket Management, Room PL-401, Nassif Building, 400 Seventh Street, 
SW, Washington, DC 20590.

Regulatory Analyses and Notice

Executive Order 12778 (Civil Justice Reform)

    This interim final rule will not have any preemptive or retroactive 
effect. The enabling legislation does not establish a procedure for 
judicial review of rules promulgated under its provisions. There is no 
requirement that individuals submit a petition for reconsideration or 
other administrative proceedings before they may file suit.

Executive Order 12866 (Regulatory Planning and Review) and DOT 
Regulatory Policies and Procedures

    The agency has examined the impact of this action and has 
determined that it is not significant under Executive Order 12866 and 
the Department of Transportation's Regulatory Policies and Procedures.
    The action will not have an annual effect on the economy of $100 
million or more or adversely affect in a material way a sector of the 
economy, competition, jobs, the environment, public health or safety, 
or State, local or tribal governments or communities. It will not 
create a serious inconsistency or otherwise interfere with an action 
taken or planned by another agency, and it will not materially alter 
the budgetary impact of entitlements, grants, user fees, or loan 
programs or the rights and

[[Page 52597]]

obligations of recipients thereof. Nor does it raise novel legal or 
policy issues.

Regulatory Flexibility Act

    In compliance with the Regulatory Flexibility Act (Pub. L. 96-354, 
5 U.S.C. 601-612), the agency has evaluated the effects of this action 
on small entities. Based on the evaluation, we certify that this action 
will not have a significant impact on a substantial number of small 
entities. States are the recipients of any funds awarded under the 
Section 405 program, and they are not considered to be small entities, 
as that term is defined in the Regulatory Flexibility Act.

Paperwork Reduction Act

    This interim final rule contains information collection 
requirements. As required by the Paperwork Reduction Act of 1995 (44 
U.S.C. 3507(d)), the agency has submitted a copy of this section to the 
Office of Management and Budget for its review.
    The public information and recordkeeping burden for this collection 
of information is estimated to be 1736 hours annually. The total number 
of respondents is estimated to be up to 56. The average number of hours 
per respondent is 31 (1736 hours/56 = 31 hours).
    Organizations and individuals desiring to submit comments on the 
information collection requirements should submit them to Docket 
Management, Room PL-401, National Highway Traffic Safety 
Administration, Nassif Building, 400 Seventh Street, S.W., Washington, 
D.C. 20590. Comments should refer to the docket number for this notice 
and should be sent within 30 days of the publication of this interim 
final rule.
    The agency considers comments by the public on this collection of 
information in: evaluating whether the collection of information is 
necessary for the proper performance of the functions of the agency, 
including whether the information will have a practical use; evaluating 
the accuracy of the agency's estimate of the burden of the collection 
of information, including the validity of the methodology and 
assumptions used; enhancing the quality, usefulness, and clarity of the 
information to be collected; and minimizing the burden of collection of 
information on those who are to respond, including through the use of 
appropriate automated electronic, mechanical, or other technological 
collection techniques or other forms of information technology; e.g., 
permitting electronic submission of responses.
    According to the Paperwork Reduction Act of 1995, no persons are 
required to respond to a collection of information unless it displays a 
valid OMB control number. The valid OMB control number for this 
information collection will be published in the Federal Register after 
it is approved by the OMB.
    For more details see the Paperwork Reduction Act Analysis available 
for copying and review in the public docket.
    The title, description, and respondent description of the 
information collection are shown below with an estimate of the annual 
burden.
    Title: Occupant Protection Incentive Grants.
    OMB Clearance number: Not assigned.
    Description of the need for the information and proposed use of the 
information: To determine whether States comply with grant criteria, 
NHTSA is requiring States to submit copies of relevant safety belt and 
child passenger protection statutes, plans and/or reports on statewide 
special traffic enforcement and child passenger protection education 
programs and possibly some traffic court records. In addition, to allow 
the agency to track grant funds, NHTSA is requiring States to submit a 
Program Cost Summary (Form 217), allocating the section 405 funds to 
occupant protection programs.
    Description of likely respondents (including estimate of frequency 
of response to the collection of information): The respondents are the 
States. All respondents would submit an application and Form 217 to 
NHTSA in each year they seek to qualify for incentive grant funds.
    Estimate of total annual reporting and record keeping burden 
resulting from the collection of information: NHTSA estimates that each 
respondent will take 30 hours to prepare and submit the grant 
application and one hour to prepare and submit a Program Cost Summary 
(Form 217) for an estimated total hour burden on all respondents of 
1736 hours (31 hours x 56 respondents). Based on an estimated cost of 
$50.00 per hour employee cost, each response is estimated to cost a 
State $1550. If every jurisdiction considered a ``State'' under this 
program were to apply, the total cost on all respondents per year would 
be $86,800. It is not anticipated, however, that all 56 jurisdictions 
will apply each year.

National Environmental Policy Act

    The agency has analyzed this action for the purpose of the National 
Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.) and has 
determined that it will not have any significant impact on the quality 
of the human environment.

The Unfunded Mandates Reform Act

    The Unfunded Mandates Reform Act of 1995 (Public Law 104-4) 
requires agencies to prepare a written assessment of the costs, 
benefits and other affects of final rules that include a Federal 
mandate likely to result in the expenditure by State, local or tribal 
governments, in the aggregate, or by the private sector, of more than 
$100 million annually. This interim final rule does not meet the 
definition of a Federal mandate, because the resulting annual 
expenditures will not exceed the $100 million threshold. In addition, 
this incentive grant program is completely voluntary and States that 
choose to apply and qualify will receive incentive grant funds.

Executive Order 12612 (Federalism)

    This action has been analyzed in accordance with the principles and 
criteria contained in Executive Order 12612, and it has been determined 
that this action will not have sufficient federalism implications to 
warrant the preparation of a Federalism Assessment. Accordingly, a 
Federalism Assessment has not been prepared.

List of Subjects in 23 CFR Part 1345

    Grant programs--Transportation, Highway safety, Reporting and 
recordkeeping requirements.

    In consideration of the foregoing, a new Part 1345 is added to 
Chapter III of Title 23 of the Code of Federal Regulations to read as 
follows:

PART 1345--INCENTIVE GRANT CRITERIA FOR OCCUPANT PROTECTION 
PROGRAMS

Sec.
1345.1  Scope.
1345.2  Purpose.
1345.3  Definitions.
Sec. 1345.4  General requirements.
1345.5  Requirements for a grant.
1345.6  Award procedures.

    Authority: Pub. L. 105-178; 23 U.S.C. 405; delegation of 
authority at 49 CFR 1.50.


Sec. 1345.1  Scope.

    This part establishes criteria, in accordance with section 2003 of 
the Transportation Equity Act for the 21st Century, for awarding 
incentive grants to States that adopt and implement effective programs 
to reduce highway deaths and injuries resulting from individuals riding 
unrestrained or improperly restrained in motor vehicles.


Sec. 1345.2  Purpose.

    The purpose of this part is to implement the provisions of section

[[Page 52598]]

2003 of the Transportation Equity Act for the 21st Century, 23 U.S.C. 
405, and to encourage States to adopt effective occupant protection 
programs.


Sec. 1345.3  Definitions.

    (a) Child restraint system means child safety seat.
    (b) Child safety seat means any device (except safety belts) 
designed for use in a motor vehicle to restrain, seat, or position a 
child who weighs 50 pounds or less.
    (c) Minimum fine means a total monetary penalty which may include 
fines, fees, court costs, or any other additional monetary assessments 
collected.
    (d) Passenger motor vehicle means a passenger car, pickup truck, 
van, minivan, or sport utility vehicle.
    (e) State means any of the fifty States, the District of Columbia, 
Puerto Rico, the Virgin Islands, Guam, American Samoa or the 
Commonwealth of the Northern Mariana Islands.


Sec. 1345.4  General requirements.

    (a) Qualification requirements. To qualify for a grant under 23 
U.S.C. 405, a State must, for each year it seeks to qualify:
    (1) Submit an application to the appropriate NHTSA Regional 
Administrator demonstrating that it meets the requirements of 
Sec. 1345.5 and include certifications that:
    (i) It has an occupant protection program that meets the 
requirements of 23 U.S.C. 405;
    (ii) It will use the funds awarded under 23 U.S.C. 405 only for the 
implementation and enforcement of occupant protection programs;
    (iii) It will administer the funds in accordance with 49 CFR part 
18 and OMB Circulars A-102 and A-87 and
    (iv) It will maintain its aggregate expenditures from all other 
sources for its occupant protection programs at or above the average 
level of such expenditures in fiscal years 1996 and 1997 (either State 
or Federal fiscal year 1996 and 1997 can be used); and
    (2) After being informed by NHTSA that it is eligible for a grant, 
submit to the agency, within 30 days, a Program Cost Summary (HS Form 
217) obligating the section 405 funds to occupant protection programs.
    (3) The State's Highway Safety Plan, which is required to be 
submitted by September 1 of each year, pursuant to 23 U.S.C. 402 and 23 
CFR 1200, should document how it intends to use the Section 405 grant 
funds.
    (4) To qualify for grant funds in any fiscal year, the application 
must be received by the agency not later than August 1 of the fiscal 
year in which the State is applying for funds.
    (b) Limitation on grants. A State may receive a grant for up to six 
fiscal years beginning after September 30, 1998, subject to the 
following limitations:
    (1) The amount of a grant, under Sec. 1345.5 shall equal up to 25 
percent of the State's 23 U.S.C. 402 apportionment for fiscal year 
1997, subject to availability of funds.
    (2) In the first and second fiscal years a State receives a grant, 
it shall be reimbursed for up to 75 percent of the cost of its occupant 
protection program adopted pursuant to 23 U.S.C. 405.
    (3) In the third and fourth fiscal years a State receives a grant, 
it shall be reimbursed for up to 50 percent of the cost of its occupant 
protection program adopted pursuant to 23 U.S.C. 405.
    (4) In the fifth and sixth fiscal years a State receives a grant, 
it shall be reimbursed for up to 25 percent of the cost of its occupant 
protection program adopted pursuant to 23 U.S.C. 405.


Sec. 1345.5  Requirements for a grant.

    To qualify for an incentive grant, a State must adopt and implement 
effective programs to reduce highway deaths and injuries resulting from 
individuals riding unrestrained or improperly restrained in motor 
vehicles. A State must adopt and implement at least four of the 
following criteria:
    (a) Safety belt use law. (1) In fiscal years 1999 and 2000, a State 
must make unlawful throughout the State the operation of a passenger 
motor vehicle whenever an individual (other than a child who is secured 
in a child restraint system) in the front seat of the vehicle does not 
have a safety belt properly secured about the individual's body.
    (2) Beginning in fiscal year 2001, a State must make unlawful 
throughout the State the operation of a passenger motor vehicle 
whenever an individual (other than a child who is secured in a child 
restraint system) in any seating position in the vehicle does not have 
a safety belt properly secured about the individual's body.
    (3) To demonstrate compliance with this criterion, a State shall 
submit a copy of the State's safety belt use law, regulation or binding 
policy directive interpreting or implementing the law or regulation 
that provides for each element of paragraphs (a)(1) or (a)(2), as 
appropriate, of this section. The State is also required to identify 
any exemptions to its safety belt use law.
    (b) Primary safety belt use law. (1) A State must provide for 
primary enforcement of its safety belt use law.
    (2) To demonstrate compliance with this criterion, the State shall 
submit a copy of its law, regulation or binding policy directive 
interpreting or implementing the law or regulation that provides for 
each element of paragraph (b)(1) of this section.
    (c) Minimum fine or penalty points. (1) A State must provide for 
the imposition of a minimum fine of not less than $25.00 or one or more 
penalty points on the driver's license of an individual:
    (i) For a violation of the State's safety belt use law; and
    (ii) for a violation of the State's child passenger protection law.
    (2)(i) To demonstrate compliance with this criterion, a Law State 
shall submit a copy of the law, regulation or binding policy directive 
interpreting or implementing the law or regulation that provides for 
each element of paragraph (c)(1) of this section.
    (ii) For purposes of this paragraph, a ``Law State'' means a State 
that has a law, regulation or binding policy directive interpreting or 
implementing the law or regulation that provides for each element of 
the minimum fines or penalty points criterion including the imposition 
of a minimum fine of not less than $25.00 or one or more penalty points 
for a violation of the State's safety belt use and child passenger 
protection laws.
    (3)(i) To demonstrate compliance with this criterion, a Data State 
shall submit data covering a period of at least three months during the 
past twelve months showing the total number of persons who were 
convicted of a safety belt use or child passenger protection law 
violation and that 80 percent or more of all such persons were required 
to pay at least $25 in fines, fees or court costs or had one or more 
penalty points assessed against their driver's license. The State can 
provide the necessary data based on a representative sample.
    (ii) For purposes of this paragraph, a ``Data State'' means a State 
that does not require the mandatory imposition of a minimum fine of not 
less than $25.00 or one or more penalty points for a violation of the 
State's safety belt use and child passenger protection laws.
    (d) Special traffic enforcement program. (1) A State must establish 
a statewide Special Traffic Enforcement Program for occupant protection 
that emphasizes publicity for the program. The program must provide for 
periodic enforcement efforts. Each enforcement effort must include the 
following five elements, in chronological order:
    (i) A seat belt observed use survey conducted before any 
enforcement wave;
    (ii) A media campaign to inform the public about the risks and 
costs of traffic

[[Page 52599]]

crashes, the benefits of increased occupant protection use, and the 
need for traffic enforcement as a way to manage those risks and costs.
    (iii) Local media events announcing a pending enforcement wave;
    (iv) A wave of enforcement effort consisting of checkpoints, 
saturation patrols or other enforcement tactics.
    (v) A post-wave observed use survey coupled with a post-wave media 
event announcing the results of the survey and the enforcement effort.
    (2) The State's program must provide for at least two enforcement 
efforts each year and must require the participation of State and local 
police in each effort.
    (3) The State's program must cover at least 70% of the State's 
population.
    (4) To demonstrate compliance with this criterion in the first year 
the State receives a grant based on this criterion, the State shall 
submit a plan to conduct a program that covers each element identified 
in paragraphs (d)(1) through (d)(3) of this section. Specifically, the 
plan shall:
    (i) Provide the approximate dates, durations and locations of the 
efforts planned in the upcoming year;
    (ii) Specify the types of enforcement methods that will be used 
during each enforcement effort and provide a listing of the law 
enforcement agencies that will participate in the enforcement efforts 
along with an estimate of the approximate cumulative percentage of the 
State's population served by those agencies or the approximate 
percentage of the traffic volume on roadways covered by the enforcement 
program; and
    (iii) Document the activities the State plans to conduct to provide 
the public with information on the importance of occupant restraints 
and to publicize each enforcement effort and its results. This 
information should include a sample or synopsis of the content of the 
public information messages that will accompany the enforcement efforts 
and the strategy that the State intends to use to deliver each message 
to its target audience.
    (5) To demonstrate compliance with this criterion in subsequent 
fiscal years the State receives a grant based on this criterion, the 
State shall submit an updated plan for conducting a special traffic 
enforcement program in the following year and information documenting 
that the prior year's plan was effectively implemented. The information 
shall document that enforcement efforts were conducted; which police 
agencies were involved; and the dates, duration and location of each 
enforcement effort. The State must also submit samples of materials 
used, and document activities that took place to reach the target 
population.
    (e) Child passenger protection education program. (1) A State must 
provide an effective system for educating the public about the proper 
use of child safety seats. The program must, at a minimum:
    (i) Provide information to the public about proper seating 
positions for children in air bag equipped motor vehicles, the 
importance of restraint use, and instruction on how to reduce the 
improper use of child restraint systems;
    (ii) Provide for child passenger safety (CPS) training and 
retraining to establish or update child passenger safety technicians, 
police officers, fire and emergency personnel and other educators to 
function at the community level for the purpose of educating the public 
about proper restraint use and to teach child care givers how to 
install a child safety seat correctly. The training should encompass 
the goals and objectives of NHTSA's Standardized Child Passenger Safety 
Technician Curriculum;
    (iii) Provide periodic child safety seat clinics conducted by State 
and local agencies (health, medical, hospital, enforcement, etc.); and
    (iv) The State's program activities (with the exception of the 
training and retraining activities) must cover at least 70% of the 
State's population; that is, the program activities must take place in 
counties or other subdivisions of the State that collectively contain 
at least 70% of the State's population.
    (2) To demonstrate compliance with this criterion in the first 
fiscal year the State receives a grant based on this criterion, the 
State shall submit a plan to conduct a child passenger protection 
education program that covers each element identified in paragraph (e) 
(1) of this section. The information shall include:
    (i) A sample or synopsis of the content of the planned public 
information program and the strategy that will be used to reach 70% of 
the targeted population;
    (ii) A description of the activities that will be used to train and 
retrain child passenger safety technicians, police officers, fire and 
emergency personnel and other educators and provide the durations and 
locations of such training activities;
    (iii) An estimate of the approximate number of people who will 
participate in the training and retraining activities; and
    (iv) A plan to conduct clinics that will serve at least 70% of the 
targeted population.
    (3) To demonstrate compliance with this criterion in subsequent 
fiscal years the State receives a grant based on this criterion, the 
State shall submit an updated plan for conducting a child passenger 
protection education program in the following year and information 
documenting that the prior year's plan was effectively implemented. The 
information shall document that a public information program, training 
and child safety seat clinics were conducted; which agencies were 
involved; and the dates, durations and locations of these programs.
    (f) Child passenger protection law. (1) The State must make 
unlawful the operation of a passenger motor vehicle whenever an 
individual who is less than 16 years of age is not properly secured in 
a child safety seat or other appropriate restraint system.
    (2) To demonstrate compliance with this criterion, a State shall 
submit a copy of the law(s), regulation or binding policy directive 
interpreting or implementing the law or regulation that provides for 
each element of paragraph (f)(1) of this section. In addition, the 
State must identify any exemptions to its child passenger protection 
law(s).
    (g) Certifications in subsequent years. (1) To demonstrate 
compliance in subsequent years the State receives a grant based on 
criteria in paragraphs (a), (b), (c) or (f) of this section, if the 
State's law, regulation or binding policy directive has not changed, 
the State, in lieu of resubmitting its law, regulation or binding 
policy directive as provided in paragraphs (a)(3), (b)(2), (c)(2)(i) or 
(f)(2) of this section, may submit a statement certifying that there 
have been no substantive changes in the State's laws, regulations or 
binding policy directives.
    (2) The certifying statement shall be worded as follows:

(Name of certifying official), (position title), of the (State or 
Commonwealth) of ____________________, do hereby certify that the 
(State or Commonwealth) of ____________________ has not changed and 
is enforcing a law, that conforms to 23 U.S.C. 405 and 23 CFR 1345.5 
(insert reference to section and paragraph), (citations to State 
law).


Sec. 1345.6  Award procedures.

    (a) In each Federal fiscal year, grants will be made to eligible 
States upon submission and approval of the application required by 
Sec. 1345.4(a) and subject to the limitation in Sec. 1345.4(b). The 
release of grant funds under this part shall be subject to the 
availability of funding for that fiscal year. If there are expected to 
be insufficient funds to award full grant amounts to all eligible

[[Page 52600]]

States in any fiscal year, NHTSA may release less than the full grant 
amounts upon initial approval of the State's application and 
documentation and the remainder of the full grant amounts, up to the 
State's proportionate share of available funds, before the end of that 
fiscal year. Project approval, and the contractual obligation of the 
Federal government to provide grant funds, shall be limited to the 
amount of funds released.
    (b) If any amounts authorized for grants under this part for a 
fiscal year are expected to remain unobligated in that fiscal year, the 
Administrator may transfer such amounts to the programs authorized 
under 23 U.S.C. 410 and 23 U.S.C. 411, to ensure to the extent possible 
that each State receives the maximum incentive funding for which it is 
eligible.
    (c) If any amounts authorized for grants under 23 U.S.C. 410 and 23 
U.S.C. 411 are transferred to the grant program under this part in a 
fiscal year, the Administrator shall distribute the transferred amounts 
so that each eligible State receives a proportionate share of these 
amounts, subject to the conditions specified in Sec. 1345.4.

    Issued on: September 25, 1998.
Ricardo Martinez,
Administrator, National Highway Traffic Safety Administration.
[FR Doc. 98-26243 Filed 9-28-98; 12:12 pm]
BILLING CODE 4910-59-P