[Federal Register Volume 61, Number 57 (Friday, March 22, 1996)]
[Proposed Rules]
[Pages 11794-11796]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7020]



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DEPARTMENT OF TRANSPORTATION

Federal Highway Administration
National Highway Traffic Safety Administration

23 CFR Part 1206

[Docket No. 96-02; Notice 1]
RIN 2127-AG10


Rules of Procedure for Invoking Sanctions Under the Highway 
Safety Act of 1966

AGENCY: Federal Highway Administration (FHWA) and National Highway 
Traffic Safety Administration (NHTSA), Department of Transportation.

ACTION: Notice of proposed rulemaking.

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SUMMARY: This document proposes to replace the outdated rules of 
procedure contained in 23 CFR Part 1206 with new procedures as a part 
of the regulatory review directed by President Clinton on March 4, 
1995. It proposes to change the regulation to reflect the current 
sanction authority of 23 U.S.C. 402 and to replace the present 
burdensome hearing process with a simplified review process.

DATES: Comments must be received no later than May 6, 1996.

ADDRESSES: Comments should refer to the docket number set forth above 
and be submitted (preferably in 10 copies) to the Docket Section, Room 
5109, National Highway Traffic Safety Administration, 400 Seventh 
Street, S.W., Washington, DC 20590. Docket hours are from 9:30 a.m. to 
4 p.m., Monday through Friday.

FOR FURTHER INFORMATION CONTACT: In FHWA, Mila Plosky, Office of 
Highway Safety, 202-366-6902; or Raymond W. Cuprill, Office of the 
Chief Counsel, 202-366-1377. In NHTSA, Gary Butler, Office of State and 
Community Services, 202-366-2121; or Heidi L. Coleman, Office of the 
Chief Counsel, 202-366-1834.

SUPPLEMENTARY INFORMATION:

Background

    On March 4, 1995, President Clinton directed all Federal 
Departments and agencies to overhaul the nation's regulatory system. 
One of the actions required by the directive was to revise any 
regulation that had become outdated or otherwise in need of reform. The 
Department has identified 23 CFR Part 1206 as a regulation that should 
be revised to conform to the current provisions of 23 U.S.C. 402.
    This regulation was first promulgated in May 1974, and it has not 
been

[[Page 11795]]
changed since then. Since that time, 23 U.S.C. 402 has been amended to 
provide more flexibility to the States regarding the planning and 
implementation of highway safety programs.
    When the Section 402 program was first established, under the 
Highway Safety Act of 1966, the Act required DOT to establish uniform 
standards for State highway safety programs to assist States and local 
communities in organizing their highway safety programs. Eighteen such 
standards were established. Until 1976, the Section 402 program was 
principally directed towards achieving State and local compliance with 
these 18 standards, which were considered mandatory requirements with 
financial sanctions for non-compliance.
    Under the Highway Safety Act of 1976, Congress provided for a more 
flexible implementation of the program so the Department would not have 
to require State compliance with every uniform standard or with each 
element of every uniform standard. As a result, the standards become 
more like guidelines for use by the States, and management of the 
program shifted from enforcing standards, to problem identification and 
countermeasure development and evaluation, using the standards as a 
framework for State programs. In 1987, Section 402 of the Highway 
Safety Act was formally amended to provide that the standards be 
changed to guidelines.
    To reflect these changes, this notice proposes to amend the 
regulation by removing from Section 1206.1, Scope, the requirement that 
States must comply with highway safety program standards, and by 
removing the term ``highway safety program standards'' from the 
definitions contained in Section 1206.3. The notice also proposes to 
remove from Section 1206.3, definitions of other terms which are 
proposed to no longer appear in the regulation.
    The notice also proposes to make additional revisions to the 
regulation to reflect other changes that have been made to the Section 
402 statute, and to the manner in which the Section 402 program is 
implemented.
    In 1974, when Part 1206 was first promulgated, States were required 
to submit to DOT both a Comprehensive Highway Safety Plan (a multi-year 
plan of the State and its political subdivisions for implementing the 
highway safety program standards) and an Annual Highway Safety Work 
Program (detailing the activities and proposed expenditures of the 
State and its political subdivisions for implementing selected 
components of the State's Comprehensive Highway Safety Plan during the 
year) for approval. Any state which was not implementing a highway 
safety program approved by DOT would be subject to the reduction of its 
Federal aid highway Section 104 apportionments by 10 percent.
    The documentation States are required to submit for approval has 
since been dramatically reduced, and the sanction contained in Section 
402 has been changed. The 10 percent reduction in Section 104 (Federal 
aid highway) apportionments was replaced in 1976 by a 50 percent 
reduction of Section 402 (highway safety grant) apportionments. The 
NPRM proposes to revise the definition of the term ``highway safety 
program'' contained in Section 1206.3, and provisions in Section 
1206.4, Sanctions, to reflect these changes and to conform the 
regulation to the current provisions of 23 U.S.C. 402.
    The existing regulation requires that extensive procedures be 
followed to determine whether a sanction is to be invoked against a 
State. The regulation provides, for example, that upon making a 
proposed recommended determination to invoke sanctions against a State, 
DOT must send to the Governor of that State and publish in the Federal 
Register a notice proposing the recommended determination. A hearing 
must be held before a three-member hearing board, and a prehearing 
conference and consent determination may be sought by the State or by 
DOT.
    These procedures have not been followed since 1976, when the 
Section 402 program changed, as described above. Accordingly, this 
notice proposes to update and streamline these outdated procedures. It 
proposes to replace the extensive hearing process with a simplified 
process based on documentation. The agencies believe this revision to 
the regulation will continue to ensure that States have a full and fair 
opportunity to be heard on the issues involved, should the agencies 
propose to invoke sanctions against a State, but in a manner that would 
be less costly and burdensome for the State and the Federal agencies.

Regulatory Analyses and Notices

Executive Order 12778 (Civil Justice Reform)

    This proposed rule would not have any preemptive or retroactive 
effect. It imposes no requirements on the States, but rather simply 
proposes to revise outdated or burdensome provisions in the regulation. 
The enabling legislation does not establish a procedure for judicial 
review of final 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 in court.

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

    The agencies have determined that this proposed action is not a 
significant regulatory action within the meaning of Executive Order 
12866 or significant within the meaning of Department of Transportation 
Regulatory Policies and Procedures. This proposed rule would not impose 
any additional burden on the public. It is technical in nature and 
would not change the requirements of the program. It is anticipated 
that there would be no economic impact as a result of this rulemaking. 
Accordingly, a full regulatory evaluation is not required.

Regulatory Flexibility Act

    In compliance with the Regulatory Flexibility Act (Pub. L. 96-354, 
5 U.S.C. 601-612), the agencies have evaluated the effects of this 
proposed action on small entities. Based on the evaluation, we certify 
that this proposed action would not have a significant impact on a 
substantial number of small entities. Accordingly, the preparation of a 
Regulatory Flexibility Analysis is unnecessary.

Paperwork Reduction Act

    This proposed action does not contain a collection of information 
requirement for purposes of the Paperwork Reduction Act of 1995, 44 
U.S.C. 3501 et seq.

National Environmental Policy Act

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

Executive Order 12612 (Federalism Assessment)

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

[[Page 11796]]


Comments to the Docket

    The agencies are providing a 30-day comment period for interested 
parties to present data, views, and arguments on the proposed action. 
The agencies invite comments on the issues raised in this notice and 
any other issues commenters believe are relevant to this action. All 
comments must not exceed 15 pages in length (49 CFR 553.21). This 
limitation is intended to encourage commenters to detail their primary 
arguments in a concise fashion. Necessary attachments may be appended 
to these submissions without regard to the 15-page limit.
    All comments received before the close of business on the comment 
closing date indicated above for the proposal will be considered and 
will be available for examination in the docket at the above address 
both before and after that date. To the extent possible, comments filed 
after the closing date will also be considered. Comments received too 
late for consideration in regard to the final rule, if one is issued, 
will be considered as suggestions for further rulemaking action. The 
agencies will continue to file relevant information in the docket as it 
becomes available after the closing date and it is recommended that 
interested persons continue to examine the docket for new material.
    Those persons desiring to be notified of receipt of their comments 
by the docket should enclose a self-addressed, stamped postcard in the 
envelope with their comments. Upon receipt of the comments, the docket 
supervisor will return the postcard by mail.

List of Subjects in 23 CFR Part 1206

    Grant programs--transportation, Highway safety.

    In accordance with the foregoing, Part 1206 of Title 23 of the Code 
of Federal Regulations would be revised to read as follows:

PART 1206--RULES OF PROCEDURE FOR INVOKING SANCTIONS UNDER THE 
HIGHWAY SAFETY ACT OF 1966

Sec.
1206.1  Scope
1206.2  Purpose
1206.3  Definitions
1206.4  Sanctions
1206.5  Review Process

    Authority: 23 U.S.C. 402; delegation of authority at 49 CFR 1.48 
and 1.50.


Sec. 1206.1  Scope.

    This part establishes procedures governing determinations to invoke 
the sanctions applicable to any State that does not comply with the 
highway safety program requirements in the Highway Safety Act of 1966, 
as amended (23 U.S.C. 402).


Sec. 1206.2  Purpose.

    The purpose of this part is to prescribe procedures for determining 
whether and the extent to which the 23 U.S.C. 402 sanctions should be 
invoked, and to ensure that, should sanctions be proposed to be invoked 
against a State, the State has a full and fair opportunity to be heard 
on the issues involved.


Sec. 1206.3  Definitions.

    As used in this part:
    (a) Administrators means the Administrators of the Federal Highway 
Administration and the National Highway Traffic Safety Administration.
    (b) Highway safety program means an approved program in accordance 
with 23 U.S.C. 402, which is designed by a State to reduce traffic 
accidents, and death, injuries and property damage resulting therefrom.
    (c) Implementing means both having and putting into effect an 
approved highway safety program.


Sec. 1206.4  Sanctions.

    (a) The Administrators shall not apportion any funds under 23 
U.S.C. 402 to any State which is not implementing a highway safety 
program.
    (b) If the Administrators have apportioned funds to a State and 
subsequently determine that the State is not implementing a highway 
safety program, the Administrators shall reduce the funds apportioned 
under 23 U.S.C. 402 to the State by amounts equal to not less than 50 
per centum, until such time as the Administrators determine that the 
State is implementing a highway safety program.
    (c) The Administrators shall consider the gravity of the State's 
failure to implement a highway safety program in determining the amount 
of the reduction.
    (d) If the Administrators determine that a State has begun 
implementing a highway safety program before the end of the fiscal year 
for which the funds were withheld, they shall promptly apportion to the 
State the funds withheld from its apportionment.
    (e) If the Administrators determine that the State did not correct 
its failure before the end of the fiscal year for which the funds were 
withheld, the Administrators shall reapportion the withheld funds to 
the other States, in accordance with the formula specified in 23 U.S.C. 
402(c), not later than 30 days after such determination.


Sec. 1206.5  Review process.

    (a) In any fiscal year, if the Administrators determine, based on a 
preliminary review, that a State is not implementing a highway safety 
program in accordance with 23 U.S.C. 402, the Administrators shall 
issue jointly to the State an advance notice, advising the State that 
the Administrators expect to either withhold funds from apportionment 
under 23 U.S.C. 402, or reduce the State's apportioned funds under 23 
U.S.C. 402. The Administrators shall state the amount of the expected 
withholding or reduction. The advance notice will normally be sent not 
later than ninety days prior to final apportionment.
    (b) If the Administrators issue an advance notice to a State, based 
on a preliminary review, the State may, within 30 days of its receipt 
of the advance notice, submit documentation demonstrating that it is 
implementing a highway safety program. Documentation shall be submitted 
to the Administrator for NHTSA, 400 Seventh Street SW, Washington, D.C. 
20590.
    (c) If the Administrators decide, after reviewing all relevant 
information, that a State is not implementing a highway safety program 
in accordance with 23 U.S.C. 402, they shall issue a final notice, 
advising the State either of the funds being withheld from 
apportionment under 23 U.S.C. 402, or of the apportioned funds being 
reduced under 23 U.S.C. 402 and the amount of the withholding or 
reduction. The final notice of a withholding will normally be issued on 
October 1. The final notice of a reduction will be issued at the time 
of a final decision.

    Issued on: March 19, 1996.
Rodney E. Slater,
Administrator, Federal Highway Administration.
Ricardo Martinez,
Administrator, National Highway Traffic Safety Administration.
[FR Doc. 96-7020 Filed 3-21-96; 8:45 am]
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