[Federal Register Volume 61, Number 57 (Friday, March 22, 1996)]
[Proposed Rules]
[Pages 11794-11796]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 96-7020]
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DEPARTMENT OF TRANSPORTATION
Federal Highway Administration
National Highway Traffic Safety Administration
23 CFR Part 1206
[Docket No. 96-02; Notice 1]
RIN 2127-AG10
Rules of Procedure for Invoking Sanctions Under the Highway
Safety Act of 1966
AGENCY: Federal Highway Administration (FHWA) and National Highway
Traffic Safety Administration (NHTSA), Department of Transportation.
ACTION: Notice of proposed rulemaking.
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SUMMARY: This document proposes to replace the outdated rules of
procedure contained in 23 CFR Part 1206 with new procedures as a part
of the regulatory review directed by President Clinton on March 4,
1995. It proposes to change the regulation to reflect the current
sanction authority of 23 U.S.C. 402 and to replace the present
burdensome hearing process with a simplified review process.
DATES: Comments must be received no later than May 6, 1996.
ADDRESSES: Comments should refer to the docket number set forth above
and be submitted (preferably in 10 copies) to the Docket Section, Room
5109, National Highway Traffic Safety Administration, 400 Seventh
Street, S.W., Washington, DC 20590. Docket hours are from 9:30 a.m. to
4 p.m., Monday through Friday.
FOR FURTHER INFORMATION CONTACT: In FHWA, Mila Plosky, Office of
Highway Safety, 202-366-6902; or Raymond W. Cuprill, Office of the
Chief Counsel, 202-366-1377. In NHTSA, Gary Butler, Office of State and
Community Services, 202-366-2121; or Heidi L. Coleman, Office of the
Chief Counsel, 202-366-1834.
SUPPLEMENTARY INFORMATION:
Background
On March 4, 1995, President Clinton directed all Federal
Departments and agencies to overhaul the nation's regulatory system.
One of the actions required by the directive was to revise any
regulation that had become outdated or otherwise in need of reform. The
Department has identified 23 CFR Part 1206 as a regulation that should
be revised to conform to the current provisions of 23 U.S.C. 402.
This regulation was first promulgated in May 1974, and it has not
been
[[Page 11795]]
changed since then. Since that time, 23 U.S.C. 402 has been amended to
provide more flexibility to the States regarding the planning and
implementation of highway safety programs.
When the Section 402 program was first established, under the
Highway Safety Act of 1966, the Act required DOT to establish uniform
standards for State highway safety programs to assist States and local
communities in organizing their highway safety programs. Eighteen such
standards were established. Until 1976, the Section 402 program was
principally directed towards achieving State and local compliance with
these 18 standards, which were considered mandatory requirements with
financial sanctions for non-compliance.
Under the Highway Safety Act of 1976, Congress provided for a more
flexible implementation of the program so the Department would not have
to require State compliance with every uniform standard or with each
element of every uniform standard. As a result, the standards become
more like guidelines for use by the States, and management of the
program shifted from enforcing standards, to problem identification and
countermeasure development and evaluation, using the standards as a
framework for State programs. In 1987, Section 402 of the Highway
Safety Act was formally amended to provide that the standards be
changed to guidelines.
To reflect these changes, this notice proposes to amend the
regulation by removing from Section 1206.1, Scope, the requirement that
States must comply with highway safety program standards, and by
removing the term ``highway safety program standards'' from the
definitions contained in Section 1206.3. The notice also proposes to
remove from Section 1206.3, definitions of other terms which are
proposed to no longer appear in the regulation.
The notice also proposes to make additional revisions to the
regulation to reflect other changes that have been made to the Section
402 statute, and to the manner in which the Section 402 program is
implemented.
In 1974, when Part 1206 was first promulgated, States were required
to submit to DOT both a Comprehensive Highway Safety Plan (a multi-year
plan of the State and its political subdivisions for implementing the
highway safety program standards) and an Annual Highway Safety Work
Program (detailing the activities and proposed expenditures of the
State and its political subdivisions for implementing selected
components of the State's Comprehensive Highway Safety Plan during the
year) for approval. Any state which was not implementing a highway
safety program approved by DOT would be subject to the reduction of its
Federal aid highway Section 104 apportionments by 10 percent.
The documentation States are required to submit for approval has
since been dramatically reduced, and the sanction contained in Section
402 has been changed. The 10 percent reduction in Section 104 (Federal
aid highway) apportionments was replaced in 1976 by a 50 percent
reduction of Section 402 (highway safety grant) apportionments. The
NPRM proposes to revise the definition of the term ``highway safety
program'' contained in Section 1206.3, and provisions in Section
1206.4, Sanctions, to reflect these changes and to conform the
regulation to the current provisions of 23 U.S.C. 402.
The existing regulation requires that extensive procedures be
followed to determine whether a sanction is to be invoked against a
State. The regulation provides, for example, that upon making a
proposed recommended determination to invoke sanctions against a State,
DOT must send to the Governor of that State and publish in the Federal
Register a notice proposing the recommended determination. A hearing
must be held before a three-member hearing board, and a prehearing
conference and consent determination may be sought by the State or by
DOT.
These procedures have not been followed since 1976, when the
Section 402 program changed, as described above. Accordingly, this
notice proposes to update and streamline these outdated procedures. It
proposes to replace the extensive hearing process with a simplified
process based on documentation. The agencies believe this revision to
the regulation will continue to ensure that States have a full and fair
opportunity to be heard on the issues involved, should the agencies
propose to invoke sanctions against a State, but in a manner that would
be less costly and burdensome for the State and the Federal agencies.
Regulatory Analyses and Notices
Executive Order 12778 (Civil Justice Reform)
This proposed rule would not have any preemptive or retroactive
effect. It imposes no requirements on the States, but rather simply
proposes to revise outdated or burdensome provisions in the regulation.
The enabling legislation does not establish a procedure for judicial
review of final rules promulgated under its provisions. There is no
requirement that individuals submit a petition for reconsideration or
other administrative proceedings before they may file suit in court.
Executive Order 12866 (Regulatory Planning and Review) and DOT
Regulatory Policies and Procedures
The agencies have determined that this proposed action is not a
significant regulatory action within the meaning of Executive Order
12866 or significant within the meaning of Department of Transportation
Regulatory Policies and Procedures. This proposed rule would not impose
any additional burden on the public. It is technical in nature and
would not change the requirements of the program. It is anticipated
that there would be no economic impact as a result of this rulemaking.
Accordingly, a full regulatory evaluation is not required.
Regulatory Flexibility Act
In compliance with the Regulatory Flexibility Act (Pub. L. 96-354,
5 U.S.C. 601-612), the agencies have evaluated the effects of this
proposed action on small entities. Based on the evaluation, we certify
that this proposed action would not have a significant impact on a
substantial number of small entities. Accordingly, the preparation of a
Regulatory Flexibility Analysis is unnecessary.
Paperwork Reduction Act
This proposed action does not contain a collection of information
requirement for purposes of the Paperwork Reduction Act of 1995, 44
U.S.C. 3501 et seq.
National Environmental Policy Act
The agencies have analyzed this proposed action for the purpose of
the National Environmental Policy Act of 1969 (42 U.S.C. 4321 et seq.)
and have determined that it would not have any significant impact on
the quality of the human environment.
Executive Order 12612 (Federalism Assessment)
This proposed action has been analyzed in accordance with the
principles and criteria contained in Executive Order 12612, and it has
been determined that this proposed action does not have sufficient
federalism implications to warrant the preparation of a federalism
assessment. Accordingly, the preparation of a Federalism Assessment is
not warranted.
[[Page 11796]]
Comments to the Docket
The agencies are providing a 30-day comment period for interested
parties to present data, views, and arguments on the proposed action.
The agencies invite comments on the issues raised in this notice and
any other issues commenters believe are relevant to this action. All
comments must not exceed 15 pages in length (49 CFR 553.21). This
limitation is intended to encourage commenters to detail their primary
arguments in a concise fashion. Necessary attachments may be appended
to these submissions without regard to the 15-page limit.
All comments received before the close of business on the comment
closing date indicated above for the proposal will be considered and
will be available for examination in the docket at the above address
both before and after that date. To the extent possible, comments filed
after the closing date will also be considered. Comments received too
late for consideration in regard to the final rule, if one is issued,
will be considered as suggestions for further rulemaking action. The
agencies will continue to file relevant information in the docket as it
becomes available after the closing date and it is recommended that
interested persons continue to examine the docket for new material.
Those persons desiring to be notified of receipt of their comments
by the docket should enclose a self-addressed, stamped postcard in the
envelope with their comments. Upon receipt of the comments, the docket
supervisor will return the postcard by mail.
List of Subjects in 23 CFR Part 1206
Grant programs--transportation, Highway safety.
In accordance with the foregoing, Part 1206 of Title 23 of the Code
of Federal Regulations would be revised to read as follows:
PART 1206--RULES OF PROCEDURE FOR INVOKING SANCTIONS UNDER THE
HIGHWAY SAFETY ACT OF 1966
Sec.
1206.1 Scope
1206.2 Purpose
1206.3 Definitions
1206.4 Sanctions
1206.5 Review Process
Authority: 23 U.S.C. 402; delegation of authority at 49 CFR 1.48
and 1.50.
Sec. 1206.1 Scope.
This part establishes procedures governing determinations to invoke
the sanctions applicable to any State that does not comply with the
highway safety program requirements in the Highway Safety Act of 1966,
as amended (23 U.S.C. 402).
Sec. 1206.2 Purpose.
The purpose of this part is to prescribe procedures for determining
whether and the extent to which the 23 U.S.C. 402 sanctions should be
invoked, and to ensure that, should sanctions be proposed to be invoked
against a State, the State has a full and fair opportunity to be heard
on the issues involved.
Sec. 1206.3 Definitions.
As used in this part:
(a) Administrators means the Administrators of the Federal Highway
Administration and the National Highway Traffic Safety Administration.
(b) Highway safety program means an approved program in accordance
with 23 U.S.C. 402, which is designed by a State to reduce traffic
accidents, and death, injuries and property damage resulting therefrom.
(c) Implementing means both having and putting into effect an
approved highway safety program.
Sec. 1206.4 Sanctions.
(a) The Administrators shall not apportion any funds under 23
U.S.C. 402 to any State which is not implementing a highway safety
program.
(b) If the Administrators have apportioned funds to a State and
subsequently determine that the State is not implementing a highway
safety program, the Administrators shall reduce the funds apportioned
under 23 U.S.C. 402 to the State by amounts equal to not less than 50
per centum, until such time as the Administrators determine that the
State is implementing a highway safety program.
(c) The Administrators shall consider the gravity of the State's
failure to implement a highway safety program in determining the amount
of the reduction.
(d) If the Administrators determine that a State has begun
implementing a highway safety program before the end of the fiscal year
for which the funds were withheld, they shall promptly apportion to the
State the funds withheld from its apportionment.
(e) If the Administrators determine that the State did not correct
its failure before the end of the fiscal year for which the funds were
withheld, the Administrators shall reapportion the withheld funds to
the other States, in accordance with the formula specified in 23 U.S.C.
402(c), not later than 30 days after such determination.
Sec. 1206.5 Review process.
(a) In any fiscal year, if the Administrators determine, based on a
preliminary review, that a State is not implementing a highway safety
program in accordance with 23 U.S.C. 402, the Administrators shall
issue jointly to the State an advance notice, advising the State that
the Administrators expect to either withhold funds from apportionment
under 23 U.S.C. 402, or reduce the State's apportioned funds under 23
U.S.C. 402. The Administrators shall state the amount of the expected
withholding or reduction. The advance notice will normally be sent not
later than ninety days prior to final apportionment.
(b) If the Administrators issue an advance notice to a State, based
on a preliminary review, the State may, within 30 days of its receipt
of the advance notice, submit documentation demonstrating that it is
implementing a highway safety program. Documentation shall be submitted
to the Administrator for NHTSA, 400 Seventh Street SW, Washington, D.C.
20590.
(c) If the Administrators decide, after reviewing all relevant
information, that a State is not implementing a highway safety program
in accordance with 23 U.S.C. 402, they shall issue a final notice,
advising the State either of the funds being withheld from
apportionment under 23 U.S.C. 402, or of the apportioned funds being
reduced under 23 U.S.C. 402 and the amount of the withholding or
reduction. The final notice of a withholding will normally be issued on
October 1. The final notice of a reduction will be issued at the time
of a final decision.
Issued on: March 19, 1996.
Rodney E. Slater,
Administrator, Federal Highway Administration.
Ricardo Martinez,
Administrator, National Highway Traffic Safety Administration.
[FR Doc. 96-7020 Filed 3-21-96; 8:45 am]
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