[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]


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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.

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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