[Federal Register Volume 63, Number 195 (Thursday, October 8, 1998)]
[Rules and Regulations]
[Pages 54044-54050]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-26924]
=======================================================================
-----------------------------------------------------------------------
DEPARTMENT OF TRANSPORTATION
National Highway Traffic Safety Administration
23 CFR Part 1335
[Docket No. NHTSA-98-4532]
RIN 2127-AH43
State Highway Safety Data and Traffic Records Improvements
AGENCY: National Highway Traffic Safety Administration (NHTSA),
Department of Transportation.
ACTION: Interim final rule; request for comments.
-----------------------------------------------------------------------
SUMMARY: This document specifies requirements that States must meet to
be eligible for incentive grants for improved highway safety data and
traffic records systems. It is being adopted in accordance with the
provisions of the Transportation Equity Act for the 21st Century.
To enable States to begin qualifying for grants as soon as
possible, the requirements are being published in an interim final
rule, which will go into effect prior to providing notice and the
opportunity for comments. However, NHTSA requests comments on the rule.
Following the close of the comment period, NHTSA will publish a
separate document responding to the comments and, if appropriate, will
amend the regulation.
DATES: This interim final rule becomes effective November 9, 1998.
Comments on this interim rule are due no later than December 7, 1998.
ADDRESSES: Written comments should refer to the docket number of this
notice, and be submitted (preferably 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: Mr. John Oates, Chief, Implementation
Division, Office of State and Community Services, NSC-01, National
Highway Traffic Safety Administration, 400 Seventh Street, S.W.,
Washington, D.C. 20590, telephone (202) 366-2121 or Ms. Sharon Y.
Vaughn, 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) was signed into law on June 9, 1998, as Public Law
105-178. Section 2005 of TEA-21 established a new Section 411, entitled
State Highway Safety Data Improvements, in Title 23, United States Code
(Section 411). Under this new program, States may qualify for incentive
grant funds by adopting and implementing effective highway safety data
and traffic records improvement programs which meet specified statutory
criteria.
Background
For a highway safety program to be effective, it must include a
process that identifies highway safety problems, develops measures to
address the problems, implements the measures, and evaluates the
results. Each stage of the process depends on the availability of
highway safety data and traffic records. If these data and records are
not accurate, comprehensive, and timely, the program will not be likely
to achieve its goals. For this reason, highway safety program managers
have always sought improved data and traffic records.
By including Section 411 in TEA-21, Congress has created a grant
program to assist the States in developing more accurate, timely and
complete highway safety data and traffic records systems. A State that
satisfies each of Section 411's criteria will have increased its
ability to ensure that its actions to reduce highway deaths and
injuries will be effective.
For the purpose of this program, a 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.
Components required by Section 411
Section 411 provides that a State's highway safety data and traffic
records system should have three basic components, all of which must be
present if the State is to receive multiple-year grants: a committee to
coordinate the development and use of highway safety data and traffic
records; a systematic assessment of the State's highway safety data and
traffic records; and a strategic plan for the continued improvement of
highway safety data and traffic records. Experience has shown that each
of these components is essential for a successful highway safety data
and traffic records program. The following sections discuss each of
these components.
[[Page 54045]]
1. Coordinating Committee
In Section 411, Congress recognized that many agencies and
organizations within each State have information relevant to highway
safety and that coordination among them is essential in order for
States to fulfill their role in highway safety. Improved coordination
leads to more efficient and effective data collection and analysis
methods, promotes data collection and analysis standards, and results
in traffic safety data that is timely, accurate and complete.
Additionally, coordination may expand the dissemination of
comprehensive data as well as the use of the data.
The rule accordingly provides that a qualifying State must have a
coordinating committee for highway safety data and traffic records. As
provided in Sec. 1335.4 of the rule, the members of the committee must
be drawn from the agencies and organizations throughout the State that
administer, collect and use highway safety data and traffic records,
and the committee must include representatives of highway safety,
highway infrastructure, traffic enforcement, public health, injury
control, and motor carrier organizations.
Among its enumerated powers, the coordinating committee must have
authority to review any of the State's highway safety data and traffic
records systems and to review changes to those systems before the
changes are implemented. This oversight authority is vital to the
effectiveness of the committee. The rule requires that, to receive a
grant in subsequent years, the State must certify that the committee
continues to operate and supports the strategic plan.
2. Highway Safety Data and Traffic Records Assessment
The second prerequisite for multiple-year grants under Section 411
is that the State must have conducted, within the preceding five years,
an assessment of its highway safety data and traffic records. An
assessment is an in-depth formal review of a State's highway safety
data and traffic records system. The objective of an assessment is to
provide the State with an impartial report of the status of the highway
safety data and traffic records system in the State. For the purpose of
this rule, an assessment includes an audit or strategic planning
analysis.
As embodied in Sec. 1335.5 of the rule, the assessment must be
conducted by an organization or group that is knowledgeable about
highway safety data and traffic records systems, but independent from
the organizations involved in the administration, collection and use of
the highway safety data and traffic records systems in the State. Final
reports prepared by an assessment team provide States with
documentation that can be used constructively by the State to obtain
resources to make improvements to the highway safety data and traffic
records system.
To guide the States in their assessment process, NHTSA strongly
recommends that the States use the model assessment process jointly
developed by NHTSA and the Federal Highway Administration (FHWA). At a
meeting of an expert panel, held in Washington, D.C. on April 30--May
1, 1998, the agencies presented their criteria in the form of a Traffic
Records Advisory and an accompanying Traffic Records Assessment. The
expert panel was formed specifically to assist NHTSA and the FHWA to
revise the current Traffic Records Highway Safety Program Advisory.
These documents describe the elements that each system of highway
safety data and traffic records should contain and outline the steps
that a State can take to ensure that its system contains these
elements.
The assessment process has already shown results in States that
have used it. States have used assessment reports as a basis for
requesting resources for system improvements and for developing
strategic traffic records plans. Many of the plans have resulted in
short term, relatively low cost improvements (e.g. elimination of
duplicate data entry procedures) to State systems as well as improved
coordination for future system improvements.
3. Strategic Plan
The third prerequisite for multiple-year Section 411 grants is that
the State must have developed a strategic plan for the improvement of
its highway safety data and traffic records system.
As provided in Sec. 1335.6 of the rule, a strategic plan must be a
multi-year plan that identifies and prioritizes the highway safety data
and traffic records needs and goals of a State and identifies
performance-based measures by which progress towards those goals will
be determined. A strategic plan provides a framework for implementing a
system and identifies a statewide approach toward improving
coordination, management, integration, and expanded use of highway
safety data systems and information for traffic safety plans, programs
and policies. The strategic plan defines a shared vision for
systematically improving a State's highway safety data and traffic
records system and is based on issues and needs identified in its most
recent highway safety data and traffic records system assessment.
As a condition for a State's continued eligibility for a grant, the
rule requires that the State submit or update its strategic plan each
year and that it include information in each application for a
subsequent-year grant that shows the progress that the State has made
in achieving the goals of the strategic plan.
In developing their strategic plans, States are encouraged to use
the ``National Agenda for the Improvement of Highway Safety Information
Systems,'' as developed by the Traffic Records Committee of the
National Safety Council, in cooperation with NHTSA and the FHWA. The
agenda is designed to influence policy makers to adopt six major goals
for improving traffic records systems nationwide:
Instilling an appreciation of the value of highway safety
information systems among state, local and national leaders;
Assuring a coordinated approach to the collection,
management and use of data among all organizations with responsibility
for transportation policy;
Integrating the planning of highway safety programs and
highway safety information systems;
Providing managers and users with resources to select
appropriate technologies to support information needs;
Establishing a cadre of professionals in each state
trained in analytic methods appropriate for evaluation of highway
safety information; and
Establishing technical standards for characteristics of
highway safety information systems.
Model Data Elements
Paragraph (a)(2) of Section 411 requires the Secretary, in
consultation with States and other appropriate parties, to determine
the model data elements necessary to observe and analyze national
trends in crash occurrences, rates, outcomes, and circumstances.
As provided in the directive of Section 411, NHTSA has determined
that the Model Minimum Uniform Crash Criteria (MMUCC) serve the
purposes of the law and has defined ``model data elements'' to mean the
elements specified in the MMUCC. The agency developed the MMUCC
criteria in cooperation with the FHWA and the National Association of
Governor's Highway Safety Representatives, and presented them in final
form at the National Safety Council's 24th
[[Page 54046]]
International Forum on Traffic Records and Highway Information Systems
in July 1998. While conformity to the MMUCC is not required for grant
eligibility under Section 411, NHTSA strongly encourages the States to
employ the criteria in their highway safety data and traffic records
systems, and to consider these criteria when conducting their
assessments and developing their strategic plans.
Types of Grant
Section 411 anticipates that some States may not be able to meet
all three prerequisites in the first or even the second year of the
Section 411 program. The statute further anticipates that the strategic
plan will be the most complex, and the most time-consuming,
prerequisite to meet.
Accordingly, the section provides for three types of grants: a
``start-up'' grant, in the amount of $25,000, to each State that is not
eligible for the other grants, provided that the State certifies that
it will use the grant to meet the requisite components in the following
year; an ``initiation'' grant, in the amount of $125,000, to each State
that has established a coordinating committee, has performed or updated
an assessment within the last five years, and has initiated the
development of a strategic plan; and an ``implementation'' grant, in
the amount described below, to each State that has established a
coordinating committee, has performed or updated an assessment within
the last five years, and has developed a strategic plan.
The first two types of grants are available for one year only; the
third grant is available for multiple years. A State that initially
qualifies for a start-up grant may qualify for an initiation or an
implementation grant in a subsequent fiscal year, if the State meets
the criteria for these types of grants. A State that qualifies for an
initiation or an implementation grant in any fiscal year may only
receive implementation grants in subsequent fiscal years.
The amount a State receives for an implementation grant is
determined by a formula. The amount will be determined by multiplying
the amount appropriated to carry out 23 U.S.C. 411 by the ratio that
the funds apportioned to the State under 23 U.S.C. 402 for fiscal year
1997 bears to the funds apportioned to all States under 23 U.S.C. 402
for fiscal year 1997, with the following exceptions. If the State has
not received an initiation or an implementation grant under the Section
411 program in a previous fiscal year, the State shall receive no less
than $250,000. If the State has received either of these two grants
under the Section 411 program in a previous fiscal year, the State
shall receive no less than $225,000.
All grant amounts are subject to the availability of funds, as
specified in Sec. 1335.9 of these regulations.
Limitations on Grant Amounts
No State may receive a grant in more than six fiscal years. A total
of $32 million has been authorized for the Section 411 program over a
period of four years. Specifically TEA-21 authorizes $5 million for
fiscal year 1999, $8 million for fiscal year 2000, $9 million for
fiscal year 2001, and $10 million for fiscal year 2002. Funds may be
used by States only to adopt and implement improvements to their
highway safety data and traffic records programs. The particular
activities for which funds may be used are identified in the statute
and are listed in Sec. 1335.10(b).
Under Section 411, States are required to match the grant funds
they receive as follows: the Federal share cannot exceed 75 percent of
the cost of implementing the highway safety data and traffic records
programs 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
highway safety data and traffic records 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).
NHTSA will accept a ``soft'' match in Section 411's administration,
as it has for the agency's Section 402 and 410 programs. By this, the
agency 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 cannot, 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.
Application 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. 1335.7 of the regulation. The
State also must submit the documentation that is listed in
Sec. 1335.12, including such items as certifications that the State
will use the funds awarded only for the improvement of highway safety
data and traffic records programs and that it will administer the funds
in accordance with relevant regulations and OMB Circulars.
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 the
Section 402 program, that indicates how the State intends to use the
grant funds. The documentation must include a Program Cost Summary (HS
Form 217) obligating the Section 411 funds to highway safety data and
traffic records programs.
To be eligible for grant funds, States must submit their
applications no later than January 15 of the year in which they are
applying for a grant. The first applications will be due by January 15,
1999. 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
411 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 411.
As provided in the statute and this implementing regulation, States
that qualify for grants under the Section 411 program are to receive no
less than $25,000 for a ``start-up'' grant, $125,000 for an
``initiation'' grant, $250,00 for an ``implementation'' grant (if the
State has not received an initiation or an implementation grant in a
previous fiscal year), and $225,000 for an ``implementation'' grant (if
the State has received either an initiation or an implementation grant
in a previous fiscal year).
NHTSA intends to distribute all grant funds that are available
under Section 411 once the agency has determined which States are
eligible to receive
[[Page 54047]]
grants. In addition, 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. Accordingly, if funds remain available under the
Section 405 or 410 program, additional grant funds may be transferred
to the Section 411 program and distributed to eligible States.
However, the agency's release and the States' receipt of the
minimum grant amounts identified above will be subject to the
availability of funding for each fiscal year. If there are insufficient
funds to award these minimum grant amounts to all eligible States in
any fiscal year, each eligible State will receive a proportionate share
of the available funds.
Project approval, and the contractual obligation of the Federal
government to provide grant funds, shall be limited to the amount of
funds released.
Interim final rule
These regulations are being published as an interim final rule.
Accordingly, the new regulations in Part 1335 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,
and applications for FY 1999 grants must be received by the agency
under this regulation by January 15, 1999. To meet the grant criteria
for an implementation grant, States must have established a
coordinating committee, completed an assessment and completed a
strategic plan. The States have a need to know what the criteria for
grants under this program will be as soon as possible so they can take
steps to meet these criteria.
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 that an interim final rule is in the public interest.
The agency requests written comments on these new regulations. All
comments submitted in response to this document will be considered.
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 1335.
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. 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 December
7, 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-98-4532;
in Docket Management, Room PL-401, Nassif Building, 400 Seventh Street,
SW, Washington, DC 20590.
Regulatory Analyses
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 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, the agency certifies 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 411 program, and they are not considered to be small
entities, as that term is defined under 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 112 hours annually. The total number
of respondents is estimated to be up to 56. The average number of hours
per respondent is 2 (112 hours/56 = 2 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
[[Page 54048]]
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: State Highway Data and Traffic Records Improvements
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 a list of membership of
the coordination committees, assessments and strategic plans. 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 2 hours to prepare and submit the grant
application and 1 hour to prepare and submit a Program Cost Summary
(Form 217) for an estimated total hour burden on all respondents of 168
hours (3 hours x 56 respondents). Based on an estimated cost of $50.00
per hour employee cost, each response is estimated to cost a State
$150. If every jurisdiction considered a ``State'' under this program
were to apply, the total cost on all respondents per year would be
$8,400. 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 have
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 (Pub. L. 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 1335
Grant programs--transportation, Highway safety, Reporting and
recordkeeping requirements.
In consideration of the foregoing, a new Part 1335 is added to
Chapter III of Title 23 of the Code of Federal Regulations to read as
follows:
PART 1335--STATE HIGHWAY SAFETY DATA IMPROVEMENTS
Sec.
1335.1 Scope.
1335.2 Purpose.
1335.3 Definitions.
1335.4 Coordinating committee.
1335.5 Assessment.
1335.6 Strategic plan.
1335.7 Grant requirements.
1335.8 Grant amounts.
1335.9 Availability of funds.
1335.10 Grant limitations.
1335.11 Application procedures.
1335.12 Contents of application.
Authority: 23 U.S.C. 411; delegation of authority at 49 CFR
1.48.
Sec. 1335.1 Scope.
This part prescribes the requirements necessary to implement
Section 411 of Title 23, United States Code, which encourages States to
adopt and implement effective data improvement programs.
Sec. 1335.2 Purpose.
The purpose of this part is to improve the timeliness, accuracy,
completeness, uniformity, and accessibility of the data needed by each
State to identify highway safety priorities; to evaluate the
effectiveness of these improvements; to link highway safety data
systems with other data systems within each State; and to improve the
compatibility of the data system of each State with national data
systems and data systems of other States to enhance the observation and
analysis of national trends in crash occurrences, rates, outcomes, and
circumstances.
Sec. 1335.3 Definitions.
As used in this part:
(a) Highway safety data and traffic records means data and records
relating to crashes, roadways, drivers, vehicles, traffic offense
citations/convictions, emergency medical services, locations and other
data and records relating to highway safety.
(b) Coordinating committee means a committee that meets the
requirements of Sec. 1335.4 of this part.
(c) Assessment means a review of a State's highway safety data and
traffic records system that meets the requirements of Sec. 1335.5 of
this part. For the purpose of this Part, an assessment includes an
audit or a strategic planning analysis.
(d) Strategic plan means a multi-year plan that meets the
requirements of Sec. 1335.6 of this part.
(e) Model data elements means the data elements contained in the
final Model Minimum Uniform Crash Criteria (MMUCC) published by the
National Highway Traffic Safety Administration
[[Page 54049]]
and the Federal Highway Administration (DOT HS 808 745, August 1998).
(f) 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. 1335.4. Coordinating committee.
A coordinating committee shall--
(a) Include representatives from the administrators, collectors,
and users of State highway safety data and traffic records, including
representatives of highway safety, highway infrastructure, traffic
enforcement, public health, injury control, and motor carrier
organizations;
(b) Have authority to review any of the State's highway safety data
and traffic records systems and to review any changes to such systems
before the changes are implemented;
(c) Provide a forum for the discussion of highway safety data and
traffic records issues and report on any such issues to the
organizations in the State that create, maintain, and use highway
safety data and traffic records;
(d) Consider the views of the organizations in the State that are
involved in the administration, collection and use of the highway
safety data and traffic records system; coordinate these views among
the organizations; and represent the interests of the organizations
within the traffic records system to outside organizations;
(e) Review and evaluate new technologies to keep the highway safety
data and traffic records systems up-to-date; and
(f) Develop, implement, and administer the strategic plan specified
in Sec. 1335.6 of this part.
Sec. 1335.5. Assessment.
An assessment shall--
(a) Be an in-depth, formal review of a State's highway safety data
and traffic records system that considers the criteria contained in the
model data elements;
(b) Generate an impartial report of the status of the highway
safety data and traffic records system in the State; and
(c) Be conducted by an organization or group that is knowledgeable
about highway safety data and traffic records systems, but independent
from the organizations involved in the administration, collection and
use of the highway safety data and traffic records systems in the
State.
Sec. 1335.6 Strategic plan.
A strategic plan shall--
(a) Be a multi-year plan that identifies and prioritizes the
highway safety data and traffic records needs and goals based upon an
assessment;
(b) Identify performance-based measures by which progress toward
those goals will be determined; and
(c) Be submitted to the coordinating committee for approval.
Sec. 1335.7 Grant requirements.
(a) Start-up grant. To receive a start-up grant in a fiscal year
under this part, a State shall submit an application that complies with
Sec. 1335.12, and must have--
(1) Not met the requirements of paragraph (b) or (c) of this
section; and
(2) Not received any grant under this Part in a previous fiscal
year.
(b) Initiation grant. To qualify for an initiation grant in a
fiscal year under this part, a State shall submit an application that
complies with Sec. 1335.12, and must have--
(1) Established a coordinating committee;
(2) Completed or updated an assessment within the five years
preceding the date of its application;
(3) Initiated the development of a strategic plan; and
(4) Not received an initiation or an implementation grant under
this part in a previous fiscal year.
(c) Implementation grant. To qualify for an implementation grant in
a fiscal year under this part, a State shall submit an application that
complies with Sec. 1335.12, and must have--
(1) Established a coordinating committee;
(2) Completed or updated an assessment within the five years
preceding the date of its application; and
(3) Developed a strategic plan.
Sec. 1335.8 Grant amounts.
(a) Start-up grant. A State that qualifies for a start-up grant
under Sec. 1335.7(a) of this part shall be eligible to receive $25,000.
(b) Initiation grant. A State that qualifies for an initiation
grant under Sec. 1335.7(b) of this part shall be eligible to receive
$125,000.
(c) Implementation grant. A State that qualifies for an
implementation grant under Sec. 1335.7(c) of this part shall be
eligible to receive an amount determined by multiplying the amount
appropriated to carry out 23 U.S.C. 411 by the ratio that the funds
apportioned to the State under 23 U.S.C. 402 for fiscal year 1997 bears
to the funds apportioned to all States under 23 U.S.C. 402 for fiscal
year 1997, except that--
(1) If the State has not received an initiation or an
implementation grant under this part in a previous fiscal year, the
State shall receive no less than $250,000; and
(2) If the State has received an initiation or an implementation
grant under this part in a previous fiscal year, the State shall
receive no less than $225,000.
Sec. 1335.9 Availability of funds.
(a) The release of grant funds under this part in a fiscal year
shall be subject to the availability of funds for that fiscal year. If
there are expected to be insufficient funds to award the grant amounts
specified in Sec. 1335.8 to all eligible States in any fiscal year,
NHTSA may release less than these grant amounts upon approval of the
State's application and plan, up to the State's proportionate share of
available funds. 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. 405 and 23 U.S.C. 410, 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. 405 and 23
U.S.C. 410 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. 1335.8 and
paragraph (a) of this section.
Sec. 1335.10 Grant limitations.
(a) No State may receive a grant under this part in more than six
fiscal years.
(b) Grants may be used by States only to adopt and implement
effective highway safety data and traffic records programs:
(1) To improve the timeliness, accuracy, completeness, uniformity,
and accessibility of the data of the State that is needed to identify
priorities for national, State and local highway and traffic safety
programs;
(2) To evaluate the effectiveness of efforts to make such
improvements;
(3) To link these State data systems, including traffic records,
with other data systems within the State, such as systems that contain
medical and economic data; and
[[Page 54050]]
(4) To improve the compatibility of the data system of the State
with national data systems and data systems of other States and to
enhance the ability of the Secretary to observe and analyze national
trends in crash occurrences, rates, outcomes, and circumstances.
(c) In the first and second Federal fiscal years a State receives a
grant under this part, the Federal share of the costs of adopting and
implementing an effective highway safety data and traffic records
program shall not exceed 75 percent.
(d) In the third and fourth Federal fiscal year in which a State
receives a grant under this part, the Federal share of the costs of
adopting and implementing an effective highway safety data and traffic
records program shall not exceed 50 percent.
(e) In the fifth and sixth Federal fiscal years a State receives a
grant under this part, the Federal share of the costs of adopting and
implementing an effective highway safety data and traffic records
program shall not exceed 25 percent.
Sec. 1335.11 Application procedures.
(a) A State applying for a grant under this part shall submit an
original and two copies of its application to the NHTSA Regional
Administrator for the Region in which the State is located.
(b) To be considered for a grant in any fiscal year, an application
must be received by the agency not later than January 15 of that fiscal
year.
(c) Within 30 days of being informed by NHTSA that it is eligible
for a grant, a State shall submit to the agency a Program Cost Summary
(HS Form 217) obligating the funds under this part to highway safety
data and traffic records programs.
(d) The State shall document how it intends to use the funds under
this part in the Highway Safety Plan it submits pursuant to 23 CFR
1200.
Sec. 1335.12 Contents of application.
(a) Start-up grant. An application for a start-up grant under
Sec. 1335.7(a) shall certify that the State --
(1) Does not meet the requirements of Sec. 1335.7 (b) or (c) of
this part; and
(2) Will use the grant funds to conduct activities necessary to
qualify for a grant under Sec. 1335.7 (b) or (c) of this part in the
next fiscal year.
(b) Initiation grant. An application for an initiation grant under
Sec. 1335.7(b) shall--
(1) Certify that the State has established a coordinating
committee, and include the name, title and organizational affiliation
of each member of the coordinating committee;
(2) Certify that the State has conducted or updated an assessment
within the last five years, and submit a copy of the assessment and any
updates of the assessment; and
(3) Certify that the State has initiated the development of a
strategic plan, with the supervision and approval of the coordinating
committee.
(c) Implementation grant. (1) An application for an implementation
grant under Sec. 1335.7(c), if the State has not received an initiation
or an implementation grant under this part in a previous fiscal year,
shall--
(i) Certify that the State has established a coordinating
committee, and include the name, title and organizational affiliation
of each member of the coordinating committee;
(ii) Certify that the State has conducted or updated an assessment
within the last five years, and submit a copy of the assessment and any
updates of the assessment;
(iii) Submit a strategic plan that specifies how the grant funds
awarded to the State under this part for the fiscal year will be used
to address the needs and goals identified in the plan; and
(iv) Certify that the coordinating committee continues to operate
and supports the strategic plan.
(2) An application for an implementation grant under
Sec. 1335.7(c), if the State has received an initiation or an
implementation grant under this part in a previous fiscal year, shall--
(i) Certify that the coordinating committee continues to operate
and supports the strategic plan and identify any changes to the
membership of the coordinating committee;
(ii) Submit a strategic plan or an update to the plan that
specifies how the grant funds awarded to the State under this part for
the fiscal year will be used to address the needs and goals identified
in the plan; and
(iii) Report on the progress of the State in implementing the
strategic plan since the State's previous application.
(d) Any grant under this part. An application for a grant under
Sec. 1335.7 (a), (b), or (c) of this part shall certify that the State
will:
(1) Use the funds awarded under 23 U.S.C. 411 only to adopt and
implement an effective highway safety data and traffic records program,
in accordance with 23 CFR 1335.10(b);
(2) Administer the funds in accordance with 49 CFR part 18 and OMB
Circulars A-102 and A-87; and
(3) Maintain its aggregate expenditures from all other sources for
highway safety data and traffic records programs at or above the
average level of such expenditures in Federal fiscal years 1996 and
1997 (either State or federal fiscal year 1996 and 1997 can be used).
Issued on: October 2, 1998.
Philip R. Recht,
Deputy Administrator, National Highway Traffic Safety Administration.
[FR Doc. 98-26924 Filed 10-2-98; 4:53 pm]
BILLING CODE 4910-59-P