State Highway Safety Data and Traffic Records Improvements

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