[Federal Register Volume 63, Number 209 (Thursday, October 29, 1998)]
[Rules and Regulations]
[Pages 57904-57911]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-28811]
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DEPARTMENT OF TRANSPORTATION
National Highway Traffic Safety Administration
Federal Highway Administration
23 CFR Part 1240
[Docket No. NHTSA-98-4494]
RIN 2127-AH38
Safety Incentive Grants for Use of Seat Belts--Allocations Based
on State Seat Belt Use Rates
AGENCY: National Highway Traffic Safety Administration (NHTSA) and
Federal Highway Administration (FHWA), DOT.
ACTION: Interim final rule; request for comments.
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SUMMARY: This interim final rule establishes procedures for determining
allocations of funds under a new Federal grant program. Section 157 of
title 23, United States Code, directs the Secretary of Transportation
to allocate funds to States whose seat belt use rates meet certain
requirements. Allocations are to be based on savings in medical costs
to the Federal Government due to seat belt use rates that meet the
requirements. In order to allocate the funds, the Secretary must
determine which States have seat belt use rates that meet the
requirements and the amount of medical savings to the Federal
Government attributable to each such State's seat belt use rate. This
document sets forth the requirements that govern allocations of funds
under this program.
DATES: This interim final rule is effective on October 29, 1998.
Comments concerning this document are due no later than January 29,
1999.
ADDRESSES: Comments should refer to the docket number set forth above
and be submitted in writing to: Docket Management, Room PL-401,
National Highway Traffic Safety Administration, Nassif Building, 400
Seventh Street, SW, Washington, DC 20590. (Docket hours are Monday-
Friday, 9 a.m. to 5 p.m., excluding Federal holidays.)
FOR FURTHER INFORMATION CONTACT: The following persons at the U.S.
Department of Transportation, 400 Seventh Street, SW, Washington, DC
20590--In NHTSA: Joan Catherine Tetrault, State and Community Services,
NSC-01, (202) 366-2121; John Donaldson, Office of the Chief Counsel,
NCC-30, (202) 366-1834. In FHWA: Byron E. Dover, Office of Highway
Safety, HHS-10, (202) 366-2161; Raymond W. Cuprill, Office of the Chief
Counsel, HCC-20, (202) 366-0834.
SUPPLEMENTARY INFORMATION:
A. Background
Section 1403 of the recently enacted Transportation Equity Act for
the 21st Century (Pub. L. 105-178) added a new Section 157 to title 23
of the United States Code (replacing a predecessor Section 157). The
new section (hereafter Section 157) authorizes a State seat belt
incentive grant program covering FYs 1999 through 2003. Under this
program, the Secretary of Transportation is directed to allocate funds
each fiscal year to States that achieve a seat belt use rate that
exceeds, for the past two years, the national average seat belt use
rate, or that exceeds the highest seat belt use rate achieved by the
State in certain designated previous years. The allocated funds are to
reflect the amount of savings in medical costs to the Federal
Government, based on the seat belt use rates. States may use these
allocated funds for any projects eligible for assistance under title
23, United States Code. (Section 157 provides for the further
distribution of funds, if any funds remain unallocated after the
required allocations related to seat belt use rates are made, but
today's action does not address those provisions.)
Today's interim final rule sets forth the requirements and
procedures that will apply to the allocation of funds based on seat
belt use rates. The Secretary's authority to administer the program has
been delegated to NHTSA and FHWA. Consequently, this interim final rule
is being issued jointly by the two agencies (hereafter, the agencies).
B. General
Section 157 requires the Secretary to allocate funds, starting in
FY 1999, to States that achieve certain seat belt use rates. A State
can satisfy the requirement by meeting one of two conditions: First, if
the State's seat belt use rate in each of the preceding two calendar
years exceeded the national average seat belt use rate for those years;
and second, if the State's seat belt use rate in the previous calendar
year exceeded its ``base seat belt use rate.'' The base seat belt use
rate is defined as the State's highest seat belt use rate for any
calendar year during the period of 1996 through the calendar year
preceding the previous calendar year. (For example, for allocations
made in FY 2000 (on or about October 1, 1999), the base seat belt use
rate would be the State's highest seat belt use rate during the period
from calendar year 1996 through calendar year 1997.) Section 157
further provides that a State may receive an allocation under the
second condition only if it fails to meet the first condition. Hence,
if a State meets both conditions, it may not receive an allocation
under both conditions, and it may not receive an allocation under the
second condition. It must receive an allocation under the first
condition.
A State that meets the first condition described above is to
receive an allocation of funds that reflects the ``savings to the
Federal Government'' due to the amount by which the State seat belt use
rate for the previous calendar year exceeds the national average seat
belt use rate for that year. A State that meets the second condition
(and not the first condition) is to receive an allocation that reflects
the ``savings to the Federal Government'' due to the amount by which
the State seat belt use for the previous calendar year exceeds the
State's base seat belt use rate. Section 157 defines ``savings to the
Federal Government'' as ``the amount of Federal budget savings relating
to Federal medical costs (including savings under the medicare and
medicaid programs under titles XVIII and XIX of the Social Security Act
(42 U.S.C. 1395 et seq.)), as determined by the Secretary.''
In order to determine whether a State is eligible for an allocation
of funds during each fiscal year, based on the above-described
requirements, NHTSA must obtain and evaluate State seat belt use rate
information from two contiguous calendar years. Specifically, to make
the determinations necessary to allocate funds in FY 1999, Section 157
requires the use of seat belt use rate information submitted by the
States for calendar years 1996 and 1997. Section 157 provides that this
information is to be weighted by the Secretary to ensure national
consistency in methods of measurement. The determinations necessary to
allocate funds in FY 2000 and thereafter require the use of seat belt
use rate information for calendar year 1998 and beyond, and are subject
to different requirements. (For FY 2000 allocations only, calendar year
1997 seat belt use rate information is still required, along with the
calendar year 1998 information, and the 1997 information is subject to
the above-described weighting procedure.) Specifically, beginning in
calendar year 1998, Section 157 requires States to measure seat belt
use rates following criteria established by the Secretary, to ensure
that the measurements are ``accurate and representative.'' In
accordance with this latter mandate,
[[Page 57905]]
NHTSA recently published the Uniform Criteria for State Observational
Surveys of Seat Belt Use (hereafter, Uniform Criteria), an interim
final rule establishing the criteria to be followed by States in
measuring seat belt use rates for calendar year 1998 and beyond (23 CFR
Part 1340, 63 FR 46389, September 1, 1998).
For all calendar years during which State seat belt use rates must
be measured, NHTSA must calculate the national average seat belt use
rate, to use in eligibility and allocation determinations.
Additionally, for each State determined to be eligible for an
allocation (either based on a seat belt use rate that exceeds the
national average seat belt use rate or one that exceeds the State's own
base seat belt use rate), NHTSA must calculate the amount of medical
savings to the Federal Government due to the State's higher seat belt
use rate, to determine the amount of the allocation. These necessary
steps, along with the information needed to accomplish them, are
identified and explained in today's interim final rule.
C. Highlighted Provisions
1. Identification of Eligible States
Consistent with Section 157, the interim final rule provides that a
State will receive an allocation of funds on or about October 1, 1998
and each October 1 thereafter if its seat belt use rate either exceeds
the national average seat belt use rate for the previous two calendar
years or exceeds the State's base seat belt use rate. The interim final
rule also provides that the State may not receive an allocation under
both of these criteria. If the State meets the first criterion, its
allocation will be based on that criterion, irrespective of whether the
State also meets the second criterion. These eligibility requirements
mirror the requirements of the statute. When NHTSA makes eligibility
determinations under the regulation, it will use seat belt use rate
data rounded to the nearest tenth of one percent.
The interim final rule applies different procedures to the
identification of eligible States for allocations in FY 1999 (i.e., on
or about October 1, 1998) and in FY 2000 and beyond (i.e., on or about
October 1, 1999 and each October 1 thereafter). For fiscal year 1999, a
state will receive an allocation if it meets one of the two previously
discussed conditions, on the basis of calendar year 1996 and 1997 seat
belt use rate information. The use and adjustment of that information
is governed by other provisions in the rule. (See Determination of
State Seat Belt Use Rate for Calendar Years 1996 and 1997, below, for a
discussion of those provisions.) Since data for these two years
predates the enactment of Section 157, NHTSA is affording wide latitude
to the States, and will make adjustments to the data or substitutions,
as necessary, as discussed in greater detail below.
For seat belt use rate information for calendar year 1998 and
beyond, which affects allocations beginning in FY 2000, Congress has
directed that the information be provided by the States in accordance
with criteria established by the Secretary (the previously discussed
Uniform Criteria). Consequently, for a State to be considered for an
allocation in FY 2000 and beyond, with one exception, the interim final
rule provides that it must conduct a survey and submit a survey report
that satisfies the Uniform Criteria. The exception allows a State to
certify, with respect to calendar year 1998 only, that it has conducted
a survey using a survey design that was approved in writing by NHTSA
for the purposes of qualification under 23 U.S.C. 153 (a previous grant
program with similar survey needs), with certain specific
modifications, and to submit a copy of that survey report. The
requirement for the survey, and the details of review, approval, and
certification, are governed by other provisions of the rule. (See
Determination of State Seat Belt Use Rate for Calendar year 1998 and
Beyond, below, for a discussion of those provisions.)
The rule provides that a State is ineligible for an allocation if
it fails to conduct a seat belt use survey when one is required. States
should note that failure to comply with these survey requirements
during one calendar will affect more than one year of allocations. For
example, if a State fails to conduct a survey in calendar year 1998, it
will not be eligible to receive an allocation in either FY 2000 or FY
2001 under the first condition described above. This result is due to
the need for data from two contiguous calendar years in order to make
the determinations required for those allocations. Using the same
example, the interim final rule provides that the State will also not
be eligible to receive an allocation in FY 2000 or FY 2001 under the
second condition described above. While the second condition does not
rely upon two contiguous calendar years of data, NHTSA believes that
allowing a State to be evaluated under the second condition when it has
not met the prerequisites for evaluation under the first condition is
inconsistent with the statutory framework.
2. Determination of State Seat Belt Use Rate for Calendar Years 1996
and 1997
Section 157 requires that the State seat belt use rate for calendar
years 1996 and 1997 be weighted to ensure national consistency in
methods of measurement. The interim final rule provides a mechanism to
achieve the required national consistency. NHTSA will use existing seat
belt use rate information submitted by a State for each of calendar
years 1996 and 1997, provided it meets four requirements: (1)
Measurements of seat belt use were based on direct observation; (2) at
least 70 percent of observation sites were surveyed during the calendar
year for which the seat belt use rate is reported; (3) all passenger
motor vehicles were sampled; and (4) all front seat outboard occupants
in the sampled vehicles were counted. These requirements are also among
the requirements included in the Uniform Criteria that apply to surveys
to be conducted in calendar year 1998 and beyond, except that the
Uniform Criteria require that all observations be made during the
calendar year for which the seat belt use rate is reported. (The
Uniform Criteria include additional requirements as well.) The third
requirement, that passenger motor vehicles (passenger cars, pickup
trucks, vans, minivans, and sport utility vehicles) be sampled, is a
direct requirement of Section 157.
If the first two requirements are met, but either of the last two
requirements is not met, the interim final rule provides that the
State-submitted seat belt use rate information will be adjusted, based
on information from the most recently conducted National Occupant
Protection Use Survey (NOPUS). The NOPUS is a probability-based survey
of national seat belt use conducted by NHTSA on a periodic basis. Using
the NOPUS, an adjustment will be made based on the national ratio of
seat belt use rates for front outboard occupants in passenger motor
vehicles to the use rates for the group of occupants and vehicles that
were included in the State-submitted information. The adjustment
process will result in an estimate of seat belt use rate that includes
front seat outboard occupants for passenger motor vehicles. The details
of this process appear in Appendix A to the interim final rule.
If either of the first two requirements is not met for calendar
year 1996 or 1997 submissions, NHTSA will not use the State-submitted
seat belt use rate information for any calendar year during which a
requirement is not met, as the agency does not believe that the
information can be meaningfully
[[Page 57906]]
adjusted to ensure national consistency in methods of measurement.
Instead, the interim final rule provides that NHTSA will use
information from the Fatality Analysis Reporting System (FARS) to
arrive at an estimate of the State's seat belt use rate. The FARS is a
NHTSA database containing information, including seat belt use
statistics, about crashes that have resulted in at least one fatality.
Seat belt use rates of fatally-injured occupants from the FARS will be
correlated to observed use rates, using an algorithm that relates
historical seat belt use by fatally-injured occupants to observed use.
The details of this process appear in Appendix B to the interim final
rule.
In establishing the process for data adjustment and use of
alternate data, as discussed above, NHTSA has given careful attention
to achieving fair and nationally consistent measures of seat belt use
rates for calendar years 1996 and 1997, mindful of the fact that these
years have already ended, while allowing significant flexibility in the
use of a variety of existing information provided by the States.
3. Determination of State Seat Belt Use Rate for Calendar Year 1998 and
Beyond
Section 157 provides that States must submit seat belt use rate
information in accordance with criteria established by the Secretary,
beginning in calendar year 1998 and in each calendar year thereafter.
As discussed above, NHTSA published these criteria in an interim final
rule in the Federal Register on September 1, 1998 (63 FR 46389). States
should refer to that document for guidance on survey requirements.
Today's interim final rule requires that each State must submit its
seat belt use rate, expressed as a percentage to one decimal place, and
an accompanying survey report each calendar year by no later than March
1st after the calendar year in which the survey was conducted. The
survey report is to consist, at minimum, of the documentation required
under the Uniform Criteria (23 CFR 1340.5), including information about
design, data collection, and estimation, and is to summarize the
results of any analyses conducted under the survey.
The time-frame for submission provides ample opportunity for States
to compile information and compute seat belt use rates following the
close of the calendar year, while also providing sufficient time for
necessary agency reviews and determinations, and for the timely
allocation of funds. The interim final rule provides that NHTSA will
review each survey report to determine whether it complies with the
requirements of the Uniform Criteria, and provide written notice of
approval or disapproval to the Governor's Representative for Highway
Safety. The rule also provides that a State may submit a description of
its proposed survey methodology for advance review, prior to conducting
the survey. This will provide an extra measure of assurance to a State,
prior to committing resources, that its survey will satisfy the
requirements of the Uniform Criteria. After conducting the survey, the
State will still be required to submit its survey report for review,
along with the State's seat belt use rate.
The Uniform Criteria are substantially similar to survey guidelines
that existed under another grant program (23 U.S.C. 153). Under that
program, some States had previously submitted survey designs and
received NHTSA approval for the designs. NHTSA believes that prior
approval under that program is a strong indication that the survey will
satisfy most of the requirements of the Uniform Criteria, provided the
survey design has remained unchanged. Consequently, where a State-
submitted survey design has received previous NHTSA approval (on or
after June 29, 1992, the date of publication of the guidelines for the
previous program), the interim final rule provides that in lieu of
reviewing a survey design for calendar year 1998, NHTSA will accept the
State's seat belt use rate if the survey methodology it is following
has remained unchanged since that approval, except for the additional
requirements included under the new program, which must all be met. The
new requirements include the sampling of all passenger motor vehicles,
the measurement of seat belt use by all front outboard occupants in the
sampled vehicles, and the counting of seat belt use only within the
calendar year for which the seat belt use rate is reported. The State
must certify that its seat belt use rate is based on a survey whose
design has received such prior approval, that its survey design
incorporates the new requirements identified above and that it
otherwise has remained unchanged. The certification format appears in
Appendix C of the interim final rule. The State is still required to
submit its seat belt use rate and its survey report, which is to
consist of the documentation required under the Uniform Criteria (23
CFR 1340.5), along with the certification, by March 1st after the
calendar year during which the survey was conducted. The interim final
rule provides that NHTSA will send written notice of acceptance or
rejection of the certification to the Governor's Representative for
Highway Safety. The certification process applies only to calendar year
1998 surveys, to reduce administrative review burdens during the first
year of the survey requirement in view of the late enactment of Section
157. Thereafter (i.e., for surveys conducted in calendar year 1999 and
beyond), the review and approval process described above will apply.
4. Determination of National Average Seat Belt Use Rate
Section 157 requires a determination of each State that is eligible
for an allocation of funds based on a seat belt use rate that exceeds
the national average seat belt use rate for the past two years.
Consequently, for each calendar year for which State seat belt use
rates are required to be determined, as discussed above, NHTSA must
calculate the national average seat belt use rate. The procedure
adopted under the interim final rule provides that each State's seat
belt use rate for the relevant calendar year, adjusted as necessary
under other provisions of the rule, will be weighted to reflect the
percentage of total national vehicle miles traveled attributable to
that State. The national average seat belt use rate will be determined
by summing all of the weighted State seat belt use rates.
If a seat belt use rate is unavailable for a State during a
particular calendar year or is reported based on a survey that does not
comply with the Uniform Criteria, NHTSA will use the most recently
available seat belt use rate for the State, as determined under other
provisions of today's interim final rule, along with information from
the FARS and from the algorithm that relates historical seat belt use
by fatally-injured occupants to observed use, as discussed previously.
In this manner, the agency will arrive at an estimated seat belt use
rate for the State for the missing calendar year. NHTSA will apply this
procedure to all States for which a seat belt use rate is unavailable
during a calendar year, in order to include seat belt use rates from
every State in the calculation of the national average seat belt use
rate. The details of this process appear in Appendix D to the interim
final rule.
Appendix D to the interim final rule provides that NHTSA reserves
the option to use the results of a non-complying survey in determining
the national average seat belt use rate, if in NHTSA's judgment, the
deficiencies in the survey are not so substantial as to render the
survey less accurate than an estimate based on the FARS process. The
agency has included this option in recognition of the fact that all
estimates
[[Page 57907]]
are necessarily imperfect, and to ensure maximum flexibility in the
process of determining an accurate national average seat belt use rate.
States should note that NHTSA's estimation of a State's seat belt use
rate for the purpose of determining the national average seat belt use
rate will not alter a State's ineligibility to receive an allocation of
funds if the State has not complied with applicable survey submission
requirements.
5. Determination of Federal Medical Savings
As provided under Section 157, the measurement of savings in
Federal medical costs is to equal the amount of Federal budget savings,
including savings under the Medicare and Medicaid programs,
attributable to differences in seat belt use rates. To measure these
savings, the interim final rule first provides that NHTSA will
determine the impact of seat belt use on fatalities and injuries. The
methods used relate the effectiveness of seat belts, current use rates,
and existing injury levels to determine the impact of increasing seat
belt use on motor vehicle safety. The methods adopted in the interim
final rule are well-established, and have been used for many years in
analyses of NHTSA's regulatory programs, and in published estimates of
the impacts of seat belt use.
After estimating the number of fatalities prevented and non-fatal
injuries avoided due to increased seat belt use, NHTSA will adjust
national medical costs to individual State income levels, to reflect
local per-case costs. These per-case costs will be further adjusted for
inflation, using the most recent annual average Consumer Price Index
for medical care, and multiplied by the number of injuries and
fatalities prevented in each State to derive the total medical cost
savings from increased seat belt use. NHTSA will then determine the
Federal share of those medical costs from the best available sources.
The details of this process appear in Appendix E to the interim final
rule.
6. Allocations
As previously discussed, Section 157 provides that the amount of a
State's allocation is equal to the amount of Federal medical savings
attributable to the difference between the State's seat belt use rate
and the national average seat belt use rate or the State's base seat
belt use rate, as applicable. The interim final rule provides that, on
or about September 1 prior to each fiscal year during which allocations
are to be made, NHTSA will notify each State of its proposed
allocation. Consistent with Section 157, the rule provides that the
proposed allocations will be reduced proportionately if the allocations
would exceed the total amount of available authorizations. Allocations
will be further reduced if, in the aggregate, they exceed total
obligation limitations applicable to Section 157. Allocated funds are
available for any project eligible for assistance under Title 23,
United States Code. Within 25 days after notice of its proposed
allocation, each State must identify the amount of the allocated funds
that will be used for highway safety programs and the amount that will
be used for Federal-aid highway programs. The interim final rule
provides that this information is to be sent, in writing, jointly by
the Governor's Representative for Highway Safety and the Secretary of
the State's Department of Transportation to the appropriate NHTSA
Regional Administrator and FHWA Division Administrator. On or about
October 1, the funds will be allocated officially, in accordance with
the information received from the State. Thereafter, the State will
identify specific NHTSA program areas or FHWA accounts to which the
allocated funds are to be credited. This process will permit the proper
accounting entries to be made.
D. Interim Final Rule
This rule is being published as an interim final rule, without
prior notice and opportunity to comment. The agencies believe that
there is good cause for finding that providing prior notice and comment
in connection with this rulemaking action is impracticable,
unnecessary, and contrary to the public interest, since it concerns
actions required by statute to be taken as early as September 1, 1998.
For the same reasons, the agencies have determined that prior notice
and an opportunity for comment are not required under the Department's
regulatory policies and procedures.
The statute authorizing the grant program to which this interim
final rule applies (Pub. L. 105-178) provides that determinations of
eligibility are to be made as early as September 1, 1998, and that
allocations of funds to States are to be made on October 1, 1998. The
statute was enacted on June 9, 1998, leaving little time for
implementation of necessary procedures. These circumstances make it
necessary to implement the statutory requirements by an interim final
rule. For these reasons, pursuant to 5 U.S.C. 808 (Pub. L. 104-121)
(the Congressional review provisions of the Small Business Regulatory
Enforcement Fairness Act), the agency also, for good cause, finds that
notice and public procedure are impracticable, unnecessary, and
contrary to the public interest and, therefore, this rule can be made
effective upon publication.
In the agencies' view, the States will not be impeded by the use of
an interim final rule. The procedures that States must follow to
receive an allocation of funds under this new program are similar to
procedures that States have followed in another grant program
administered by NHTSA (23 U.S.C. 153). These procedures were subject to
prior notice and the opportunity to comment. Moreover, additional
information contained in this rule is in the nature of calculations,
adjustments, and estimation to be made by NHTSA. These methods are
well-established and have been used for many years in analyses of
NHTSA's regulatory programs.
As an interim final rule, this regulation is fully in effect upon
the date of its publication. No further regulatory action by the
agencies is necessary to make the rule effective. However, in order to
benefit from comments which interested parties and the public may have,
the agencies are requesting that comments be submitted to the docket
for this notice. All comments submitted in response to this notice, in
accordance with the procedures outlined below, will be considered by
the agencies.
E. Written Comments
The agencies are providing until January 29, 1999 for interested
parties to present data, views, and arguments concerning this interim
final rule. While the interim final rule provides notice of procedures
that are immediately in effect during the current year, it also
contains recurring procedures and requirements that affect future
years. The long comment period will afford States the opportunity to
provide more informed comments relevant to future years of the program,
on the basis of experience from this year's requirements. This comment
period coincides with the comment period for a companion rule, the
Uniform Criteria for State Observational Surveys of Seat Belt Use (63
FR 46389), allowing commenters to address both rules in a
contemporaneous time period. The agencies invite comments on the issues
raised in this notice and any other issues relevant to this action.
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
[[Page 57908]]
appended to these submissions without regard to the 15-page limit.
All comments received by the close of business on the comment
closing date indicated above 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. However, the rulemaking action
may proceed at any time after that date. Following the close of the
comment period, the agencies will publish a document responding to the
comments and, if appropriate, the agencies will amend the provisions of
this rule. The agencies will continue to file relevant material 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.
Regulatory Analyses and Notices
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 it does not have sufficient Federalism implications to warrant the
preparation of a Federalism assessment. Accordingly, a Federalism
Assessment has not been prepared.
Executive Order 12778 (Civil Justice Reform)
This interim final rule does not have any preemptive or retroactive
effect. It merely implements the statutory requirements of a new grant
program. 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 pursue other administrative proceedings before they
may file suit in court.
Executive Order 12866 (Regulatory Planning and Review) and DOT
Regulatory Policies and Procedures
This rulemaking action was reviewed under Executive Order 12866,
``Regulatory Planning and Review.'' The action has been determined to
be ``significant'' under Executive Order 12866 and under the Department
of Transportation Regulatory Policies and Procedures because it is
likely to result in significant economic impacts. The Final Economic
Assessment (FEA) for this rule describes the economic effects of this
rulemaking action in detail. A copy of the FEA has been placed in the
docket for public inspection.
Following is a summary of the cost and benefit information for this
rule. The total annual cost of conducting surveys following the
procedures of this rule and of a recently published companion rule (63
FR 46389) (if each State conducted one) is estimated to be $1.9
million. However, most States already conduct surveys similar to those
that would be required in order to qualify for funds under Section 157,
after FY 1999. The FEA concludes that there will be a one-time redesign
cost totaling $160,000 for those states that currently conduct annual
surveys, but whose surveys require revision, and an annual cost
totaling $192,750 for those States that currently do not conduct annual
surveys.
NHTSA believes that incentives provided by Section 157 could result
in safety efforts that would increase seat belt use rates by an average
of 1 to 4 percentage points. If such an increase is achieved, from 232
to 940 lives would be saved annually, from 5,700 to 23,000 nonfatal
injuries would be prevented, and medical costs would decline by $64
million to $258 million. To raise seat belt use rates, States will have
to initiate enforcement efforts and public education programs or enact
legislation to upgrade current seat belt use laws to provide for
primary enforcement. NHTSA estimates that the level of expenditure
needed to raise seat belt use rates by 1 to 4 percentage points
nationwide is approximately $200,000 per state, or $10.4 million (based
on the fifty States, the District of Columbia, and Puerto Rico).
A State may be eligible for an allocation of funds during each of
fiscal years 2000 through 2003 if it conducts a survey of seat belt use
during each of calendar years 1998 through 2001, and may be eligible
for an allocation of funds during fiscal year 1999 without conducting a
survey. Eligibility is dependent on whether the results of the survey
meet certain statutory criteria. Allocations available to the States,
provided they meet the statutory criteria, total $82,000,000 for fiscal
year 1999, $92,000,000 for fiscal year 2000, $102,000,000 for fiscal
year 2001, and $112,000,000 for each of fiscal years 2002 and 2003. The
exact amount of funds allocated to States that meet the statutory
criteria will vary, depending on their seat belt use rate. It is
unlikely that all available funds will be allocated under this rule,
because not all States will meet the statutory criteria and seat belt
use rates of complying States will vary.
Regulatory Flexibility Act
In compliance with the Regulatory Flexibility Act (5 U.S.C. 601 et
seq.), the agencies have evaluated the effects of this action on small
entities. States will be the recipients of any funds awarded under the
Section 157 program, and they are not small entities. We hereby certify
that this action will not have a significant economic impact on a
substantial number of small entities.
Paperwork Reduction Act
The State seat belt use surveys that are required to be submitted
by this interim final rule are considered to be information collection
requirements, as defined by the Office of Management and Budget in 5
CFR Part 1320. On August 10, 1998, the Department of Transportation
submitted an emergency processing information collection request to the
Office of Management and Budget (OMB) for review and clearance under
the Paperwork Reduction Act of 1995 (44 U.S.C. Chapter 35). On August
17, OMB approved the request for clearance, assigning the collection
OMB Clearance No. 2127-0597. The emergency clearance will expire on
February 28, 1999. Through February 28, 1999, NHTSA is authorized to
collect 17,942 burden hours from the affected States, the District of
Columbia, and Puerto Rico.
National Environmental Policy Act
The agencies have reviewed this action for the purpose of
compliance with the National Environmental Policy Act (42 U.S.C. 4321
et seq.), and have determined that it will not have a significant
effect on the human environment.
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 effects of proposed 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. It is a voluntary program, in which
States can choose to participate at their option. The costs to States
to participate in this program will not exceed the $100 million
threshold. Moreover, States that choose to participate in this program
will receive
[[Page 57909]]
allocations of Federal funds for activities that are eligible under
Title 23, United States Code.
List of Subjects in 23 CFR Part 1240
Grant programs--Transportation, Highway safety, Intergovernmental
relations, Reporting and recordkeeping requirements.
For the reasons set out in the preamble, title 23, chapter II,
subchapter B of the Code of Federal Regulations is amended as set forth
below.
1. Part 1240 is added to read as follows:
PART 1240--SAFETY INCENTIVE GRANTS FOR USE OF SEAT BELTS--
ALLOCATIONS BASED ON SEAT BELT USE RATES
Subpart A--General
Sec.
1240.1 Purpose.
1240.2 Applicability.
1240.3 Definitions.
Subpart B--Determination of Allocations
1240.10 Identification of eligible States.
1240.11 Determination of State seat belt use rate for calendar
years 1996 and 1997.
1240.12 Determination of State seat belt use rate for calendar year
1998 and beyond.
1240.13 Determination of national average seat belt use rate.
1240.14 Determination of federal medical savings and notification
of proposed allocations.
1240.15 Allocations.
Appendix A--Adjustment Procedures for State-Submitted Information
(Calendar Years 1996 and 1997)
Appendix B--Procedures for Missing or Inadequate State-Submitted
Information (Calendar Years 1996 and 1997)
Appendix C--Certification (Calendar Year 1998 Survey Based on Survey
Approved Under 23 U.S.C. 153)
Appendix D--Determination of National Average Seat Belt Use Rate
Appendix E--Determination of Federal Medical Savings
Authority: 23 U.S.C. 157; delegations of authority at 49 CFR
1.48 and 1.50.
Subpart A--General
Sec. 1240.1 Purpose.
This part establishes requirements and procedures governing the
allocation of funds to States made under 23 U.S.C. 157(c), based on
seat belt use rates.
Sec. 1240.2 Applicability.
These procedures apply to all allocations of funds to States, based
on seat belt use rates, beginning with allocations for fiscal year
1999.
Sec. 1240.3 Definitions.
As used in this part--
Base seat belt use rate means the highest State seat belt use rate
for the State for any calendar year during the period from 1996 through
the calendar year preceding the previous calendar year;
Federal medical savings means the amount of Federal budget savings
relating to Federal medical costs (including savings under the Medicare
and Medicaid programs under titles XVIII and XIX of the Social Security
Act (42 U.S.C.1395 et seq.)), as determined under this part;
FHWA means the Federal Highway Administration;
NHTSA means the National Highway Traffic Safety Administration;
Passenger motor vehicle means a passenger car, pickup truck, van,
minivan, or sport utility vehicle;
State means any of the fifty States, the District of Columbia, or
Puerto Rico.
State seat belt use rate means the seat belt use rate for a State,
rounded to the nearest tenth of one percent, after any required
weighting, adjustment, or substitution under this part, that is used in
determining eligibility for and the amount of an allocation under this
part.
Subpart B--Determination of Allocations
Sec. 1240.10 Identification of eligible States.
(a) On or about September 1, 1998, and each September 1 thereafter,
NHTSA will identify, on the basis of seat belt use rates determined, as
applicable, under Secs. 1240.11, 1240.12, and 1240.13 of this part--
(1) Each State that had a State seat belt use rate during the
previous calendar year and the year preceding the previous calendar
year that exceeded the national average seat belt use rate for each of
those years; and
(2) Each State that does not meet the requirements of paragraph
(a)(1) of this section and that had a State seat belt use rate during
the previous calendar year that exceeded the State's base seat belt use
rate.
(b) Any seat belt use rate used in making the determinations under
this part shall be rounded to the nearest tenth of one percent.
(c) A State identified under paragraph (a)(1) or (a)(2) of this
section, and not ineligible under Sec. 1240.12(a)(2) of this part,
shall receive an allocation of funds reflecting the Federal medical
savings, in accordance with the procedures of Secs. 1240.14 and 1240.15
of this part.
Sec. 1240.11 Determination of State seat belt use rate for calendar
years 1996 and 1997.
(a) Review of State-submitted information. NHTSA will review
available seat belt use rate information submitted by each State for
calendar years 1996 and 1997 to determine whether--
(1) Measurements of seat belt use were based on direct observation;
(2) At least 70 percent of observation sites were surveyed during
the calendar year for which the seat belt use rate is reported;
(3) All passenger motor vehicles were sampled; and
(4) All front seat outboard occupants in the sampled vehicles were
counted.
(b) Determination of State seat belt use rate. Seat belt use rate
information submitted by a State for calendar year 1996 or 1997 will
be--
(1) Accepted as the State seat belt use rate if it satisfies
paragraphs (a)(1), (a)(2), (a)(3), and (a)(4) of this section.
(2) Accepted after adjustment in accordance with the procedures of
Appendix A of this part, as the State seat belt use rate, if it
satisfies paragraphs (a)(1) and (a)(2) of this section, but fails to
satisfy paragraph (a)(3) or (a)(4) of this section.
(3) Rejected, and the procedures of Appendix B of this part shall
apply, if it fails to satisfy paragraph (a)(1) or (a)(2) of this
section.
Sec. 1240.12 Determination of State seat belt use rate for calendar
year 1998 and beyond.
(a) State seat belt use survey.
(1) Beginning in calendar year 1998, State seat belt use rates used
for determining allocations under this part shall be based on a survey
conducted each calendar year by each State that satisfies all the
requirements of Part 1340 of this title (the Uniform Criteria for State
Observational Surveys of Seat Belt Use).
(2) A State that does not conduct a survey required under paragraph
(a)(1) of this section in any calendar year, or that conducts a survey
that does not satisfy all the requirements of part 1340 of chapter III
of this title, shall be ineligible for an allocation of funds on the
basis of both Sec. 1240.10(a)(1) and Sec. 1240.10(a)(2) of this part
during the second and third succeeding fiscal years (e.g., if a State
fails to conduct a conforming survey in calendar year 1998, the State
is ineligible for an allocation of funds during FY 2000 and FY 2001).
(b) Submission of survey information. (1) Each State shall submit
to NHTSA, no later than March 1st after the calendar year during which
a survey required under paragraph (a)(1) of this section is conducted,
the seat belt use rate determined under the survey, reported as a
percentage to one decimal place, accompanied by a survey report,
consisting of all documentation identified in Sec. 1340.5 of chapter
III of
[[Page 57910]]
this title and summarizing the results of any analyses conducted under
the survey.
(2) NHTSA will review a survey report submitted under paragraph
(b)(1) of this section to determine whether the survey complies with
all the requirements of Sec. 1340 of chapter III of this title. Written
notice of approval or disapproval of a survey will be sent to the
Governor's Representative for Highway Safety within 30 days of receipt
of the survey report. Any notice of disapproval will be accompanied by
a detailed statement of the reasons for disapproval.
(3) A State may elect to submit a description of its proposed
survey methodology, consisting of all documentation identified in
Sec. 1340.5 (a), (b) and (c)(3) of chapter III of this title for
advance review, prior to conducting the survey.
(4) NHTSA will review a proposed survey methodology submitted under
paragraph (b)(3) of this section and inform the Governor's
Representative for Highway Safety in writing within 30 days of receipt
of the proposed methodology whether the survey, if conducted in
accordance with the methodology, would comply with all the requirements
of Sec. 1340 of chapter III of this title. Any notice indicating non-
compliance will be accompanied by a detailed statement of the reasons.
(5) A State that submits a description of its proposed survey
methodology under paragraph (b)(3) of this section continues to be
required to submit all information required under paragraph (b)(1) of
this section, after the State conducts its survey, for review under
paragraph (b)(2) of this section.
(c) Submission of Certification--calendar year 1998 surveys.
(1) A survey conducted by a State in calendar year 1998 shall be
deemed to comply with the requirements of Sec. 1340 of chapter III of
this title, if--
(i) The survey's design was approved by the agency, in writing, on
or after June 29, 1992, for the purposes of the grant program
authorized under 23 U.S.C. 153;
(ii) The survey design has remained unchanged since the survey was
approved (except to the extent that the requirements of paragraph
(c)(1)(iii) constitute a change); and
(iii) The survey samples all passenger motor vehicles, measures
seat belt use by all front seat outboard occupants in the sampled
vehicles, and counts seat belt use only within the calendar year for
which the seat belt use rate is reported.
(2) A State that meets the requirements of paragraph (c)(1) of this
section shall submit a certification signed by the Governor's
Representative for Highway Safety, in the form prescribed in Appendix C
of this part, accompanied by the information required under paragraph
(b)(1) of this section.
(3) Written notice of acceptance or rejection of a certification
will be sent to the Governor's Representative for Highway Safety within
30 days of receipt of the information required under paragraph (c)(2)
of this section. Any notice of rejection will be accompanied by a
detailed statement of the reasons for rejection.
(d) Determination of State seat belt use rate. The seat belt use
rate submitted by the State for a calendar year will be accepted as the
State seat belt use rate for that calendar year if--
(1) It was determined under a survey whose survey report was
approved under paragraph (b)(2) of this section; or
(2) For calendar year 1998 only, the State satisfies the
requirements of paragraphs (c)(1) and (c)(2) of this section, and its
certification is accepted under paragraph (c)(3) of this section.
Sec. 1240.13 Determination of national average seat belt use rate.
The national average seat belt use rate for a calendar year shall
be the sum of the individual State seat belt use rates for all the
States, after weighting each individual State seat belt use rate in
accordance with the procedures of Appendix D of this part.
Sec. 1240.14 Determination of Federal medical savings and notification
of proposed allocations.
On or about September 1, 1998, and each September 1 thereafter,
NHTSA will--
(a) Calculate, in accordance with the procedures in Appendix E of
this part, the Federal medical savings and each State's share of those
savings, due to the amount by which the State seat belt use rate for
the previous calendar year--
(1) Exceeds the national average seat belt use rate for that
calendar year, for each State described in Sec. 1240.10(a)(1) of this
part; or
(2) Exceeds the State's base seat belt use rate, for each State
described in Sec. 1240.10(a)(2) of this part; and
(b) Notify the States described in Sec. 1240.10(c) of this part of
their proposed allocations, which shall be equal to the amount of the
Federal medical savings calculated under paragraphs (a)(1) and (a)(2)
of this section, as applicable, reduced proportionately across all
States if the allocations would exceed the total amount authorized for
allocation during the fiscal year.
Sec. 1240.15 Allocations.
(a) Funds allocated under this part shall be available for any
projects eligible for assistance under title 23, United States Code.
(b) Not later than 25 days after notification under Sec. 1240.14(b)
of this part, the Governor's Representative for Highway Safety and the
Secretary of the State's Department of Transportation for each State
that receives notification shall jointly identify, in writing to the
appropriate NHTSA Regional Administrator and FHWA Division
Administrator, the amounts of the State's proposed allocations that
will be used in highway safety programs and in Federal-aid highway
programs.
(c) On or about October 1, 1998, and each October 1 thereafter, the
funds to which a State is entitled under this part will be allocated in
the proportions identified by the State under paragraph (b) of this
section, reduced proportionately across all States if the allocations
would, in the aggregate, exceed total obligation limitations applicable
to 23 U.S.C. 157.
(d) Thereafter, each State shall identify specific NHTSA program
areas and FHWA projects for which the allocated funds will be used.
Appendix A--Adjustment Procedures for State-Submitted Information
(Calendar Years 1996 and 1997)
A. In States where State-submitted information on seat belt use
rates does not include data for Front outboard occupants in
passenger motor vehicles (FOPV), an adjustment will be made based on
the national ratio of seat belt use rates for FOPV to the seat belt
use rate for the group of occupants and vehicles that were included
in the State-submitted information. The national seat belt use rates
will be derived from the most recent National Occupant Protection
Use Survey (NOPUS). For each affected State, the adjustment will be
made by dividing the NOPUS seat belt use rate for FOPV by the NOPUS
seat belt use rate for the surveyed group, or the seat belt use rate
for the closest available group to the surveyed group. The NOPUS
seat belt use rate for FOPV will be derived for each affected State
by weighting the NOPUS seat belt use rates for passenger cars and
for passenger motor vehicles that are not passenger cars (hereafter
LTVs) by the relative number of registrations of passenger cars and
LTVs in each State. This method will produce a factor which will be
multiplied by the State's survey-based seat belt use rate to produce
an adjusted seat belt use rate reflecting the required vehicle and
occupant population.
B. The process may be expressed mathematically as follows:
Ua = Us((Npc * Rpc +
Nltv * Rltv) / Ns)
Where:
Ua = the adjusted State seat belt use rate
Us = the State-submitted seat belt use rate
[[Page 57911]]
Npc = the national front outboard passenger car seat belt
use rate from NOPUS
Nltv = the national front outboard LTV seat belt use rate
from NOPUS
Rpc = the portion of State passenger motor vehicle
registrations that are passenger cars
Rltv = the portion of State passenger motor vehicle
registrations that are LTVs
Ns = the national seat belt use rate for the State-
surveyed vehicle and occupant population (or closest available group
from NOPUS)
Appendix B--Procedures for Missing or Inadequate State-Submitted
Information (Calendar Years 1996 and 1997)
A. If State-submitted seat belt use rate information is
unavailable or inadequate for both calendar years 1996 and 1997,
State seat belt use rates for calendars year 1996 and 1997 will be
estimated based on seat belt use rates of fatally-injured occupants.
Data from the Fatality Analysis Reporting System (FARS) will be
translated into estimated observed seat belt use rates using an
algorithm that relates historical belt use by fatally-injured
occupants to observed use.\1\
---------------------------------------------------------------------------
\1\ Blincoe, L.J. Estimating the Benefits of Increased Safety
Belt Use. Washington, DC: U.S. Department of Transportation, NHTSA,
DOT HS 808 133, June, 1994.
---------------------------------------------------------------------------
B. The algorithm is as follows:
u = (-.221794 + .049193 + .410769F) / .456410
Where:
u = the estimated observed seat belt use
F = the seat belt use in potentially fatal crashes
In the above formula, F is calculated as follows:
F = (f / (1-e)) / ((f / (1-e)) + 1-f)
Where:
F = the seat belt use in potentially fatal crashes
e = State-specific weighted average effectiveness of seat belts in
passenger cars and passenger motor vehicles that are not passenger
cars
f = State-specific seat belt use rate of fatally-injured occupants
of passenger vehicles
C. If State-submitted seat belt use rate information is
available for either calendar year 1996 or 1997, but not both, a
State seat belt use rate for the year for which information is
missing will be estimated by calculating the percent change in the
FARS-based observed seat belt use rate (derived from the above
algorithm) between the two years. This factor will then be applied
to the seat belt use rate from the known year to derive an estimate
of the seat belt use rate for the unknown year.
Appendix C--Certification (Calendar Year 1998 Survey Based on Survey
Approved Under 23 U.S.C. 153)
State Certification-Calendar Year 1998 Seat Belt Use Survey
State of ____________________----------------------------------------
Seat Belt Use Rate Reported for Calendar Year ________ :
________ %.
In accordance with the provisions of 23 CFR 1240.12(c)(2), I
hereby certify as follows:
1. The seat belt use rate reported above is based on a survey
whose design was approved by NHTSA, in writing, on or after June 29,
1992, under the provisions of the grant program authorized by 23
U.S.C. 153.
2. The survey design has remained unchanged since the survey was
approved (except to the extent that the requirements of paragraph 3
constitute a change).
3. The survey samples all passenger motor vehicles (including
cars, pickup trucks, vans, minivans, and sport utility vehicles),
measures seat belt use by all front outboard occupants in the
sampled vehicles, and counts seat belt use completely within the
calendar year for which the seat belt use rate is reported.
----------------------------------------------------------------------
Governor's Representative for Highway Safety
----------------------------------------------------------------------
(Date)
Appendix D--Determination of National Average Seat Belt Use Rate
A. To determine the national average seat belt use rate in a
calendar year, each State seat belt use rate for the calendar year
will be weighted to reflect the percentage of total national vehicle
miles traveled attributable to that State.
B. If a State seat belt use rate is unavailable for a State
during a calendar year (either because the State did not conduct a
seat belt use survey or a survey was conducted but does not comply
with the Uniform Criteria for State Observational Surveys of Seat
Belt Use, 23 CFR Part 1340), NHTSA will calculate a State seat belt
use rate, using the last available State seat belt use rate
determined under Sec. 1240.11 or Sec. 1240.12 of this part, as
applicable, along with information on seat belt use rates from the
FARS, and an algorithm relating FARS seat belt use rates to observed
seat belt use rates (see Appendix 1, note). This procedure will
produce an estimated State seat belt use rate for the unknown
calendar year. The estimated State seat belt use rate will then be
weighted in the manner described in paragraph A of this appendix.
C. The national average seat belt use rate for the calendar year
will be determined by adding the weighted State seat belt use rates
for each of the States (i.e., the national average seat belt use
rate is the weighted average of all the State seat belt use rates).
D. NHTSA may elect to use a seat belt use survey that does not
comply with the Uniform Criteria for State Observational Surveys of
Seat Belt Use in determining the national average seat belt use rate
(even though the State that submitted the survey is ineligible to
receive an allocation of funds), if in NHTSA's judgment, the
deficiencies in the survey are not so substantial as to render the
survey less accurate than the FARS estimate.
Appendix E--Determination of Federal Medical Savings
A. To determine the savings to the Federal Government from
reduced medical costs attributable to seat belt use, NHTSA will
first estimate the impact of seat belt use on the number of
fatalities and injuries, using methods described in the report
``Estimating the Benefits from Increased Safety Belt Use.'' \1\
These methods establish a relationship between the effectiveness of
seat belts, current use rates, and existing injury levels to
determine the impact of increasing seat belt use on motor vehicle
safety. Using these methods, NHTSA will estimate the fatalities
prevented and the non-fatal injuries avoided by increased seat belt
use.
---------------------------------------------------------------------------
\1\ Blincoe, L.J. Estimating the Benefits of Increased Safety
Belt Use. Washington, DC: U.S. Department of Transportation, NHTSA,
DOT HS 808 133, June, 1994.
---------------------------------------------------------------------------
B. In the 1996 report ``The Economic Cost of Motor Vehicle
Crashes, 1994,'' \2\ NHTSA measured both the medical costs and
payment sources for motor vehicle crashes. NHTSA will adjust the
national medical cost figures from this report to individual State
income levels to reflect local cost levels. These per-case costs
will be further adjusted for inflation, using the most recent annual
average Consumer Price Index for medical care, and then multiplied
by the injuries and fatalities prevented in each State to derive the
total medical care savings from increased seat belt use. The Federal
portion of these costs will be derived from the best available data
found in the same cost report or in other sources, as they may
become available.
\2\ Blincoe, L.J. The Economic Cost of Motor Vehicle Crashes,
1994. Washington, DC: U.S. Department of Transportation, NHTSA, DOT
HS 808 425, July, 1996.
Issued on: September 30, 1998.
Kenneth R. Wykle,
Administrator, Federal Highway Administration.
Ricardo Martinez,
Administrator, National Highway Traffic Safety Administration.
[FR Doc. 98-28811 Filed 10-23-98; 3:26 pm]
BILLING CODE 4910-59-P
