[Federal Register: January 28, 2010 (Volume 75, Number 18)]
[Proposed Rules]
[Page 4509-4521]
[DOCID:fr28ja10-17]

=======================================================================
-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

National Highway Traffic Safety Administration

23 CFR Part 1340

[Docket No. NHTSA-2010-0002]
RIN 2127-AK41

Uniform Criteria for State Observational Surveys of Seat Belt Use

AGENCY: National Highway Traffic Safety Administration (NHTSA),
Department of Transportation (DOT).

ACTION: Notice of proposed rulemaking (NPRM).

-----------------------------------------------------------------------

SUMMARY: This NPRM proposes amendments to the regulations establishing
the criteria for designing and conducting State seat belt use
observational surveys, procedures for obtaining NHTSA approval of
survey designs, and a new form for reporting seat belt use rates to
NHTSA. NHTSA proposes these amendments so that future surveys will give
States more accurate data to guide their occupant protection programs.

DATES: Written comments may be submitted to this agency and must be
received no later than March 29, 2010.

ADDRESSES: You may submit comments identified by DOT Docket ID Number

NHTSA-2010-0002 by any of the following methods:
     Federal eRulemaking Portal: Go to http://
www.regulations.gov. Follow the online instructions for submitting
comments.
     Fax:<PHONE_NUMBER>.
     Mail: Docket Management Facility, M-30, U.S. Department of
Transportation, West Building, Ground Floor, Room W12-140, 1200 New
Jersey Avenue, SE., Washington, DC 20590.
     Hand Delivery or Courier: West Building, Ground Floor,
Room W12-140, 1200 New Jersey Avenue, SE., Washington, DC, between 9
a.m. and 5 p.m., Eastern Time, Monday through Friday, except Federal
holidays.
    Instructions: For detailed instructions on submitting comments and
additional information on the rulemaking process, see the ``Public
Participation'' section of this document. Note that all comments
received will be posted without change to http://www.regulations.gov,
including any personal information provided. Please see the ``Privacy
Act'' heading below.
    Privacy Act: Anyone is able to search the electronic form of all
comments received into any of our dockets by the name of the individual
submitting the comment (or signing the comment, if submitted on behalf
of an association, business, labor union, etc.). You may review the
complete User Notice and Privacy Notice for Regulations.gov at http://
www.regulations.gov/search/footer/privacyanduse.jsp.
    Docket: For access to the docket to read background documents or
comments received, go to http://www.regulations.gov at any time or to
West Building, Ground Floor, Room W12-140, 1200 New Jersey Avenue, SE.,
Washington, DC, between 9 a.m. and 5 p.m., Eastern Time, Monday through
Friday, except Federal holidays.

FOR FURTHER INFORMATION CONTACT:
    For program issues: Mr. Jack Oates, Chief, Program Implementation,
Regional Operations and Program Delivery, National Highway Traffic
Safety Administration, 1200 New Jersey Avenue, SE., NTI-200,
Washington, DC 20590. Telephone number:<PHONE_NUMBER>; E-mail:
<EMAIL_ADDRESS>    For statistical issues: Ms. Chou-Lin Chen, Chief, Mathematical
Analysis Division, National Center for Statistics and Analysis,
National Highway Traffic Safety Administration, 1200 New Jersey Avenue,
SE., NVS-421, Washington, DC 20590. Telephone number:<PHONE_NUMBER>; E-
mail<EMAIL_ADDRESS>    For legal issues: Ms. Jin Kim, Attorney-Advisor, Office of the
Chief Counsel, National Highway Traffic Safety Administration, 1200 New
Jersey Avenue, SE., NCC-113, Washington, DC 20590. Telephone number:
202-366-1834; E-mail<EMAIL_ADDRESS>
SUPPLEMENTARY INFORMATION:

Table of Contents

I. Background
II. Proposed Amendments to the Uniform Criteria
    A. Purpose; Applicability; Definitions
    B. Selection of Observation Sites
    C. Assignment of Observation Times
    D. Observation Procedures
    E. Quality Control
    F. Computation of Estimates
III. Administrative Requirements
    A. Submission and Approval of Seat Belt Survey Design
    B. Post-Approval Alterations to Survey Designs
    C. Re-Selection of Observation Sites
    D. Annual Reporting Requirements
IV. Public Participation
V. Statutory Basis for This Action
VI. Regulatory Analyses and Notices
    A. Executive Order 12866 and Regulatory Policies and Procedures
    B. Regulatory Flexibility Act
    C. Executive Order 13132 (Federalism)
    D. Executive Order 12988 (Civil Justice Reform)
    E. Paperwork Reduction Act
    F. Unfunded Mandates Reform Act
    G. National Environmental Policy Act
    H. Executive Order 13175 (Consultation and Coordination With
Indian Tribes)
    I. Regulatory Identifier Number (RIN)
    J. Privacy Act

I. Background

    Section 1403 of the Transportation Equity Act for the 21st Century
(TEA-21) (Pub. L. 105-178) authorized a seat belt incentive grant
program that awarded grant funds to States based on a State's seat belt
use rate. On September 1, 1998, the National Highway Traffic Safety
Administration (NHTSA) published as an interim final rule criteria to
ensure accurate and representative measurements of a State's seat belt
use rate, known as the Uniform Criteria for State Observational Surveys
of Seat Belt Use (Uniform Criteria). See 63 FR 46389. On March 14,
2000, NHTSA published a final rule, adopting the Uniform Criteria with
one clarifying change.\1\ See 65 FR 13679.
---------------------------------------------------------------------------

    \1\ In 2000, NHTSA clarified that States are permitted to group
observation sites according to geographic areas to minimize travel
time and distance required to conduct the observations.
---------------------------------------------------------------------------

    The Safe, Accountable, Flexible, Efficient Transportation Equity
Act: A Legacy for Users (SAFETEA-LU) (Pub. L. 109-59) did not
reauthorize the seat belt incentive grant program. However, SAFETEA-LU
established new administrative requirements relating to a State's
qualification for a highway safety grant under 23 U.S.C. 402. One such
requirement is that the State must provide satisfactory assurances that
it will conduct an annual Statewide seat belt use survey in accordance
with the criteria for State seat belt use rate measurement established
by the Secretary of Transportation. In August 2005, NHTSA notified the
States and Territories that the Statewide surveys conducted in
accordance with the Uniform Criteria for State Observational Surveys of
Seat Belt Use, as published at 23 CFR part 1340, would satisfy the
administrative requirements of Section 402. In addition, the
implementing guidelines for the incentive grant program under 23 U.S.C.
406 provide that seat belt use surveys conducted in accordance with the
Uniform Criteria serve as the basis for an award under the seat belt
performance provisions of that grant program.
    Since the adoption of the Uniform Criteria in 1998, NHTSA and the
States have accumulated substantial experience in the design and
implementation of seat belt use surveys. This experience has provided
insight into factors that could affect survey accuracy and reliability.
In addition, technological improvements in road inventories have made
it possible to select observation sites in a more cost effective
manner. For these reasons, NHTSA proposes to revise the Uniform
Criteria so that future surveys will give States more accurate data to
guide their occupant protection programs.
    As articulated in detail below, NHTSA proposes several key changes
to the existing criteria. In particular, the agency proposes to revise
the sampling frame from the population-based criterion to a fatality-
based criterion and to identify road types to be included in the road
inventory. The proposal also changes the precision requirement from a
five percent relative error to a 2.5 percentage point standard error.
In addition, the agency proposes quality control procedures to help
ensure accuracy and consistency across all State surveys. Finally, the
agency proposes to require States to submit additional information from
the survey results as part of their annual certifications, including
data source of the sampling frame, exclusions applied to the sampling
frame, procedures for collecting additional data to reduce the
nonresponse rates, explanation of imputation methods, procedures to
adjust the sampling weight, and procedures to be followed if the
standard error is exceeded.
    Accordingly, the agency is issuing this NPRM to propose changes to
the Uniform Criteria, describe approval

procedures for seat belt survey designs, and specify the reporting
requirements for seat belt use rates.

II. Proposed Amendments to the Uniform Criteria

A. Purpose; Applicability; Definitions (23 CFR 1340.1; 23 CFR 1340.2;
23 CFR 1340.3)

    This proposal would amend the purpose and applicability sections to
update the statutory reference, specify the effective date for the
revised uniform criteria, and note the addition of proposed survey
designs approval procedures and administrative requirements. The agency
proposes that the revised Uniform Criteria would be effective for seat
belt surveys conducted starting in calendar year 2011.
    The agency also proposes adding a definition section to define
certain terms used in the proposed rule. For example, the agency
proposes definitions for road types (access ramp, cul-de-sac, non-
public road, service drive, traffic circle, unnamed road, vehicular
trail) and ``passenger motor vehicle'' which are commonly used terms.
Although the agency also adds a definition for ``nonresponse rate,''
other statistical terms, such as probability sampling, precision
requirement, imputation, sampling weights, variance estimation, are not
added as definitions as they have meanings that are generally
understood in the field of statistics.

B. Selection of Observation Sites (23 CFR 1340.5)

    In Sec.  1340.5(a)(1), the agency proposes to amend the current
demographics requirement in the sampling frame. Currently, States must
include the most populous counties or other areas accounting for at
least 85 percent of the State's population in the sampling frame.
Because NHTSA believes that this sampling frame may result in an
unintended bias in seat belt use rates, we propose to change from a
population-based criterion to a fatality-based criterion. We believe
that using a fatality-based sampling frame would enable the States to
focus on areas with traffic safety concerns. Under the revised
criterion at Sec.  1340.5(a)(1), a State would be able to exclude any
counties or county-equivalents accounting for up to 15 percent of the
State's motor vehicle crash fatalities during the last three years, as
measured by the Fatality Analysis Reporting System (FARS) data. NHTSA
believes that this 15 percent exclusion would allow the States to
reduce survey costs with minimum impact to the survey result. In other
words, States must include counties or county-equivalents in which at
least 85 percent of the motor vehicle crash fatalities occurred during
the three most recent years for which FARS data are available. Each
time a State updates its survey design (at least every five years, or
more frequently if the State so elects), the geographic distribution of
motor vehicle fatalities from the three most recent years will be re-
examined to identify the counties or county-equivalents to be included
in the updated survey. To assist States in this effort, FARS data is
available on NHTSA's Web site at http://www.nhtsa.dot.gov. Also, NHTSA
would provide a county-by-county breakout of fatalities during the
three most recent years to any State that requested it. Based on a
statistical simulation of the impact, the agency believes that the
proposed fatality-based criterion would improve State seat belt use
estimates by reducing the statistical bias towards urban areas that
tend to have higher seat belt use rates. For this reason, we believe
that the revised criterion would provide a more representative sample
for the survey.
    In Sec.  1340.5(a)(2), we propose to add a road coverage
requirement to the sampling frame criterion. Specifically, all roads
except those explicitly excluded would be required to be eligible for
sampling. The existing Uniform Criteria do not specify the types of
roads that must be eligible in the sampling frame. At the time the
current criteria were adopted, a comprehensive and affordable database
of roads was not available to many States. Most States relied on State-
provided inventories of roads, which in many cases captured only
subsets of roads in the State, such as State-maintained roads. As a
result, road inventories used by the States varied widely. In many
cases, the resulting observation sites were not representative of all
roads. Because all States currently do not have a database of all roads
in the State, NHTSA would make a database of roads available for each
State. Alternatively, a State could choose to use its own database of
roads if approved by NHTSA. The agency believes that using a more
comprehensive database would result in more representative and
consistent seat belt use estimates.
    Under the proposed rule, the following roads would be permitted to
be excluded from the sample: Non-public roads, unnamed roads, unpaved
roads, vehicular trails, access ramps, cul-de-sacs, traffic circles and
service drives. The agency believes that exclusion of these road types
from sampling and observation is appropriate for reasons of safety and
practicality. These road types are excluded from NHTSA's own nationwide
survey of seat belt use, the National Occupant Protection Use Survey
(NOPUS).
    In Sec.  1340.5(b), the agency's proposal retains the existing
requirement that survey designs be probability-based. Specifically, the
observation sites and observation schedule (day and time) for the data
collection would be required to be selected based on probability
sampling, i.e., randomly. The proposal, however, clarifies that
deterministic, i.e., non-random, selection would be permitted in the
selection of specific locations on the sampled road segments, i.e., the
specific location on the road segment where observers are positioned
could be chosen based on such factors as safety and visibility. The
proposal also would allow alternate observation sites to be used under
certain conditions. The proposal identifies ``alternate observation
site'' as a replacement observation site that must (1) be located in
the same county or county-equivalent as the observation site; and (2)
have the same roadway classification as the observation site (e.g.,
local road segment, collector road segment).
    In Sec.  1340.5(c), the agency proposes that States include a
protocol to follow when they cannot collect data at an observation site
at the scheduled time. The agency proposes certain minimum conditions
depending on whether the observation site is temporarily or permanently
unavailable for data collection. Under the existing uniform criteria,
there is no requirement for a protocol. However, it is likely that many
States have protocols for selecting alternate observation sites even
though the protocol is not included in the State's current survey
design. The proposed protocol requirement for selecting alternate
observation sites would promote efficiency and consistency in data
collection.
    First, the agency anticipates that observations may not be
conducted at some observation sites for temporary reasons. For example,
weather conditions, traffic incidents, or road construction may prevent
an observer from making observations in a safe manner. Under such
temporary conditions, the agency suggests two options for data
collection. The State may return to the observation site at another
time provided it is on the same day of the week and at the same time of
day. The State may also select an alternate observation site provided
the data is collected on the same day and approximately at the same
time as the originally scheduled observation site.

The agency recommends that the State pre-select alternate observation
sites before the start of data collection. Notwithstanding the
availability of the protocol, the agency proposes to require that data
collection be conducted at the original observation site at all times
when it is available. The agency believes that giving States these
options will allow them to determine which method is most efficient and
convenient for the State while providing greater consistency across
State survey collections.
    Second, the agency anticipates that some observation sites may
become permanently unavailable because the road on which the
observation site is located is permanently closed. Under these
circumstances, the agency proposes that the State may select a
permanent replacement observation site based on probability sampling.
However, if the State cannot select a permanent replacement observation
site during the current data collection, the agency proposes that it
may select an alternate observation site, provided that the data is
collected on the same day and at approximately the same time as the
originally scheduled observation site. The agency proposes that data
collection for future years must be conducted at an observation site
that has been selected based on probability sampling. (See Section II,
B., above for further discussion.) The agency believes that this
proposal would provide States flexibility under unexpected
circumstances.
    In Sec.  1340.5(d), we propose to change the precision requirement
from the current 5 percent relative error (standard error divided by
the estimate) to a 2.5 percentage point standard error. In some cases,
the existing criterion allows margins of error (using 95 percent
confidence) up to plus or minus 10 percentage points, and it also
requires States with lower seat belt use rates to meet a smaller margin
of error than States with higher seat belt use rates. NHTSA believes
that a uniform margin of error requirement would be equitable for all
States. The proposed criterion would require a standard error not to
exceed 2.5 percentage points.
    States should closely monitor their survey results to assure that
they will be able to meet these more stringent precision requirements.
If the standard error proves to be too large, States may need to
conduct additional observations to obtain an adequate sample. These
additional observations must be conducted in the same calendar year as
the sample. Therefore, we encourage States to conduct their surveys
early enough in the year to allow for additional sampling if necessary,
and to closely monitor the survey results so that they can quickly
determine whether extra sampling will be required. Surveys which fail
to meet these requirements will not be accepted by NHTSA. NHTSA
believes that the likelihood for additional sampling is very small with
a well-planned and implemented sample design. NHTSA seeks comment on
this requirement, whether it would impose a significant burden on
States, and if there are other methods of ensuring the reliability of
the results that are equitable to all States.

C. Assignment of Observation Times (23 CFR 1340.6)

    The existing Uniform Criteria require all daylight hours and all
days of the week to be eligible for data collection.\2\ The agency
proposes to allow States to restrict their data collection to all
daylight hours between 7 a.m. and 6 p.m. Daylight hours during the
summer vary, and can begin as early as 5 a.m. and end as late as 9:15
p.m. or later. NHTSA believes it would be more equitable to States if
the times eligible for data collection were specified. This proposal
does not change the current requirement that all days of the week,
including Saturdays, Sundays and holidays, be eligible for data
collection.
---------------------------------------------------------------------------

    \2\ Although nighttime observations of seat belt use may provide
States with useful data, the agency believes that several factors
weigh against extending the sampling requirements under this
proposal. First, extending the sampling requirement to nighttime
observations would reduce the value of survey results from previous
years' data. States and other interested parties use this
information to determine the impact of various seat belt use
programs and activities. In addition, nighttime observations are
more difficult than daytime observations because seat belt use is
not as easy to observe in the dark, even in the most well lit sites.
Nighttime observations are also less safe for observers than daytime
observations because observers are less conspicuous and the increase
of impaired drivers makes nighttime observations inherently more
dangerous than daytime observations.
---------------------------------------------------------------------------

    The existing Uniform Criteria require the schedule for any given
data collection to be determined in a random manner. The agency
proposes to continue this requirement--States must randomly select both
the day of the week and the time of the day. However, NHTSA allows
States to group observation sites in close geographic proximity, i.e.,
cluster assignments of observation sites, for efficiency reasons. The
agency proposes to continue to allow cluster assignments of observation
sites. For example, after selecting observation sites randomly, the
State may identify observation sites in close geographic proximity
where data could be collected on the same day by the same survey crew.
States must randomly select the day of the week that data will be
collected for the geographically-grouped cluster of observation sites.
States must randomly select one observation site from the
geographically-grouped cluster of observation sites and must randomly
assign the time of day for the data collection. Data collection at all
other observation sites in the cluster must take place on the same day
or adjacent days of the week and at times of the day that ensure
efficient use of data collection resources. We believe that this
proposal allows for the efficient use of data collection resources and
limits the introduction of a judgment bias.

D. Observation Procedures (23 CFR 1340.7)

    The existing Uniform Criteria require all survey data to be
collected through direct observation and during the calendar year
reported for the Statewide seat belt use rate. We propose no change to
this requirement in Sec.  1340.7(a).
    Under the existing Uniform Criteria, the State may choose to
observe data from one or both directions of traffic. We propose no
change to this provision in Sec.  1340.7(b), but propose clarifying
language. Specifically, if data will be collected from traffic
traveling in one direction, that direction should be chosen randomly.
If a State chooses to observe traffic from both directions at the same
time, the State should provide at least one person to observe traffic
from each direction.
    In Sec.  1340.7(c), the agency proposes to clarify the requirement
regarding the vehicles that must be covered in the survey. The existing
Uniform Criteria require that all passenger motor vehicles be included
in the survey. The agency's proposal clarifies that this requirement
includes passenger motor vehicles being used for commercial purposes,
and vehicles that are exempt from the State's seat belt use law or that
bear out-of-state license plates.
    In Sec.  1340.7(d), the agency proposes to include clarifying
language regarding the data that must be collected on occupants in
passenger motor vehicles. The existing criteria state that drivers and
front seat outboard passengers must be observed. We propose to include
language specifying that data on all drivers and right front
passengers, except passengers in child safety seats, must be collected.
Child safety seats include forward-facing and rear-facing child safety
seats, but do not include booster seats. NHTSA believes that children
should not be placed in the front seat. However, the agency believes
that data on passengers in child safety

seats should be excluded because it is difficult to observe whether a
child safety seat is properly installed or the child is properly
restrained in the child safety seat. However, right front passengers in
booster seats must be included in the survey because booster seats
require the use of a readily-observable shoulder belt to secure the
passenger.
    The existing Uniform Criteria require that shoulder belt use by the
driver and right front passenger in passenger vehicles be recorded. In
Sec.  1340.7(e), the agency leaves unchanged the survey variables that
are existing requirements of the Uniform Criteria--belt status of
driver, presence of right front passenger, and belt status of right
front passenger if present. However, we propose to clarify when to
record an occupant as ``belted.'' We propose that observers record an
occupant as ``belted'' if they see that a shoulder belt is in front of
the occupant's shoulder; record an occupant as ``unbelted'' if they see
that a shoulder belt is not in front of the occupant's shoulder; and
record the belt use of the occupant as ``unknown'' if it cannot
reasonably be determined that the shoulder belt is in front of the
occupant's shoulder. Thus, an occupant using a lap-only belt or using a
lap/shoulder belt with the shoulder belt behind the shoulder would be
counted as ``unbelted.'' A motorist with a shoulder belt under the arm
near the shoulder belt anchor would be counted as ``unbelted.''
    In Sec.  1340.7(f), the agency proposes to specify certain
prohibited practices that could artificially raise seat belt use rates
at observation sites. Specifically, we propose to prohibit observers
from wearing law enforcement uniforms and prohibit the presence of law
enforcement vehicles visible to motorists at observation sites. We also
propose to prohibit advance specific warning to motorists approaching
observation sites that a seat belt use survey is being or will be
conducted. NHTSA believes that this will help ensure more accurate
estimates of seat belt use rates.

E. Quality Control (23 CFR 1340.8)

    The existing Uniform Criteria do not specifically address quality
control procedures. Because it is likely that States vary in their use
of quality control measures, we propose to add criteria establishing a
uniform baseline of quality control procedures to ensure reliability
and consistency in State survey results. First, in Sec.  1340.8(a), we
propose that States assign quality control monitors to conduct random,
unannounced site visits to ensure that observers are conducting the
survey properly. NHTSA proposes that States conduct these observation
site visits to no less than five percent of the observation sites. The
same individual may not serve as both the observer and the quality
control monitor at the same observation site at the same time.
    Second, in Sec.  1340.8(b), we propose that all observers and
quality control monitors must have been trained in data collection
protocols, including observation protocols as provided in Sec.  1340.7
and substitution and rescheduling of observation sites as provided in
Sec.  1340.5(c), within twelve months prior to data collection.
Finally, we propose in Sec.  1340.8(c) that survey results be reviewed
by persons knowledgeable in the design of complex probability samples
and estimation and variance estimation from such samples. NHTSA
believes such uniform measures are necessary for accurate and reliable
survey results.

F. Computation of Estimates (23 CFR 1340.9)

    In Sec. Sec.  1340.9(a) and 1340.9(b), NHTSA's proposal specifies
that States must use all data collected at observation sites and must
not use statistical editing procedures that would alter the values of
observed data. NHTSA believes that these requirements are necessary to
ensure accurate representation of seat belt use estimates.
    In Sec.  1340.9(c), we propose to allow States to employ imputation
of unknown values, provided the State's proposed imputation procedure
is submitted to and approved by NHTSA in advance. Although NHTSA does
not require or encourage the imputation of unknown values, we would
allow States to propose methods of imputation for unknown values
provided the proposed methods are approved by NHTSA prior to data
analysis.
    In Sec.  1340.9(d), NHTSA makes no changes to the current
requirement that observation site data be weighted by sampling weights
(inverses of selection probabilities).
    In Sec.  1340.9(e), NHTSA proposes that States include a procedure
to adjust for observation sites with no usable data, including
observation sites where no data were collected and observation sites
where data were discovered to be falsified. If data is discovered to be
falsified, the data must be discarded and the observation site treated
as if no data were collected. For observation sites for which no data
were collected, States should consider the following approaches for
adjusting for the lack of data: discard the observation site from data
analysis and adjust the remaining observation sites' sampling weights
accordingly; return to the observation site on the same day of the week
and at the same time of day to collect data; or select an alternate
observation site as described in Section II, B. of this preamble.
However, the State may propose another procedure to adjust for
observation sites with no usable data. NHTSA believes that requiring
States to include a minimum protocol is necessary to provide a more
accurate seat belt use rate estimate.
    In Sec.  1340.9(f)(1), we propose to add a new requirement that the
nonresponse rates for (1) the ratio of the total number of recorded
unknown values of passenger presence to the number of passenger
vehicles observed, and (2) the ratio of the total number of recorded
unknown values of belt use to the total number of drivers and right
front seat passengers observed not exceed 10 percent. In other words,
the presence or absence of a right front seat passenger must not be
``unknown'' for more than 10 percent of the vehicles observed in the
entire survey; and the belt use status must not be ``unknown'' for more
than 10 percent of the drivers and right front seat passengers in the
entire survey. NHTSA believes that this new requirement is necessary to
reduce potential bias in the survey results.
    In Sec.  1340.9(f)(2), we propose to add a new requirement that
States include a procedure for collecting additional observations to
reduce the nonresponse rates to no more than 10 percent. One possible
procedure to adjust for nonresponse rates in excess of 10 percent would
be to return to observation sites with the highest numbers of unknown
values on the same day of the week and same time of day as the original
data collection schedule to observe additional data. States must not
discard the data from the original data collection. States may take
additional measures to reduce the number of unknown values, such as
assigning additional observers to return to those observation sites
with the highest numbers of unknown values. As proposed in Section II,
D. above, all data collection must be conducted during the calendar
year in which the seat belt use rate estimate is reported to NHTSA.
States should plan their surveys in order to allow the State sufficient
time to conduct additional observations in the event that the
nonresponse rate exceeds 10 percent.
    In Sec.  1340.9(g), we propose to change the allowable margin of
error in the survey from the existing five percent relative error to a
2.5 percentage point standard error. As discussed in Section II, B. of
this preamble above, the

existing criterion allows margins of error up to plus or minus 10
percentage points. NHTSA also proposes to clarify that in the event
that the standard error exceeds this threshold, the State must conduct
additional observations during the same calendar year until the
standard error does not exceed 2.5 percentage points. As discussed in
Section II, B. of this preamble, States should conduct surveys early
enough in the year to allow for additional sampling if necessary, and
to closely monitor the survey results so that they can quickly
determine whether extra sampling will be required. NHTSA believes that
the likelihood for additional sampling is very small with a well-
planned and implemented sample design.

III. Administrative Requirements

A. Submission and Approval of Seat Belt Survey Design (23 CFR 1340.10)

    Section 1340.5 of the existing Uniform Criteria details the
documentation requirements for proposed sample survey designs and
reporting annual seat belt use estimates. We propose to require
additional documentation in the proposed sample survey designs
submitted to NHTSA for approval. Specifically, we propose to require
States to (1) define all sampling units, with their measures of size,
(2) identify the data source of the sampling frame; (3) specify any
exclusions applied to the sampling frame; (4) identify the name and
describe the qualifications of the State seat belt statistician; (5)
detail the procedures for collecting additional data to reduce the
nonresponse rates that exceed 10 percent; (6) include the number of
observers and quality control monitors; (7) explain any imputation
methods that will be used; (8) specify any procedures to adjust the
sampling weight for observation sites with no usable data; and (9)
describe the procedures to be followed if the standard error exceeds
2.5 percentage points.
    The agency also proposes to require documentation of data
collection and estimation of seat belt use rate. For data collection,
we propose to require States to (1) define an observation period; (2)
specify the procedures to be implemented to reschedule or substitute
observation sites when data collection is not possible on the date and
time assigned; (3) specify the procedures for collecting additional
data to reduce the nonresponse rate when the nonresponse rates exceeds
10 percent; (4) describe the data recording procedures; and (5) specify
the number of observers and quality control monitors. For estimation,
we propose to require States to (1) describe how seat belt use rate
estimates will be calculated; (2) describe how variances will be
estimated; (3) specify imputation methods, if any; (4) specify the
procedures to adjust sampling weight for observation sites with no
usable data; and (5) specify the procedures to be followed if the
standard error exceeds 2.5 percentage points. NHTSA believes that
additional documentation is necessary for the agency to determine
accurately if the State's proposed survey design meets the Uniform
Criteria.
    Under the existing Uniform Criteria, States must submit their
survey designs to NHTSA in advance of data collection in order for
NHTSA to determine whether the designs meet the Uniform Criteria. The
agency retains this requirement, but adds a deadline.
    Currently, no State survey design meets all the requirements of the
proposed Uniform Criteria. Under this proposal, all States would revise
their seat belt use survey designs before conducting seat belt use
surveys in calendar year 2011, and must submit new survey design
proposals to NHTSA no later than January 3, 2011. The agency believes
most States conduct seat belt use surveys in the late-spring to early
summer of the year. Submission of proposed survey designs by this date
will allow the agency sufficient time to review the State design and
provide guidance well in advance of States conducting survey data
collection.

B. Post-Approval Alterations to Survey Designs (23 CFR 1340.11)

    We propose to continue the requirement that States submit proposals
to alter their survey design to NHTSA at least three months prior to
data collection if the alteration would impact the Statewide seat belt
use rate or its standard error. Examples of changes that would impact
the Statewide seat belt use rate estimate or its standard error
include, but are not limited to, changes in sample design, seat belt
use rate estimation method, variance estimation method, and data
collection protocols.

C. Re-Selection of Observation Sites (23 CFR 1340.12)

    The existing Uniform Criteria do not specify how frequently
observation site samples should be refreshed, i.e., updated to reflect
new road construction, changes in traffic volume, and population
shifts. Accordingly, some States use survey designs that are more than
20 years old. We believe that this diminishes the accuracy of survey
results. We propose that the State re-select its sample of observation
sites from a NHTSA-provided road database or another road database
approved by NHTSA no less than once every five years. We further
propose States submit the updated sampling frame data to NHTSA for
approval no later than March 1 of the re-selection year. NHTSA believes
that this proposal balances the need for a more accurate estimate of
seat belt use with the burdens of re-selecting the sample of
observation sites.

D. Annual Reporting Requirements (23 CFR 1340.13; Appendix A)

    Under the existing Uniform Criteria, States report the annual
Statewide seat belt use rate and standard error, and certify that their
Statewide seat belt use rates were obtained in accordance with the
Uniform Criteria. For oversight purposes, we propose to expand the
certification to include additional information. Specifically, we
propose that States would provide the following additional information:
(1) A spreadsheet in electronic format containing the raw data for each
observation site and the observation site weight; (2) nonresponse rates
for survey variables--seat belt use and passenger presence; (3) the
dates of the data collection; (4) observation sites, identified by type
of site (i.e., observation site selected in the original survey design,
alternate observation site selected subsequent to the original survey
design), and by characteristics of the observation site visit (i.e., at
least one vehicle observed, no vehicles observed); and (5) name of the
State seat belt survey statistician.
    In Sec.  1340.13, NHTSA proposes that the Governor's Highway Safety
Representative (GR) or if delegated in writing by the GR, the
Coordinator of the State Highway Safety Office sign the certification
included in the annual reporting requirement. That individual must
certify that (1) [name of GR] has been designated by the Governor as
the GR, and if applicable, the GR has delegated the authority to sign
the certification in writing to [name of Coordinator], the State
Highway Safety Coordinator; (2) the reported Statewide seat belt use
rate is based on a survey design that was approved by NHTSA, in
writing, as conforming to the Uniform Criteria for State Observational
Surveys of Seat Belt Use, 23 CFR part 1340; (3) the survey design has
remained unchanged since the survey was approved by NHTSA; and (4) the
individual named in the reporting form is a qualified statistician who
has reviewed and approved the seat belt use rate and standard error
reported.

    In addition, NHTSA proposes that the State seat belt survey
statistician also sign the reporting form certifying that (s)he meets
the qualification requirements in Sec.  1340.8(c), and the information
being reported is correct and is in compliance with the Uniform
Criteria for State Observational Surveys of Seat Belt Use, 23 CFR part
1340.
    NHTSA also proposes that States retain certain records for five
years and make them available to NHTSA within four weeks of request. We
believe that retention of these records would not pose an additional
burden on States because these are records that States would normally
retain in the course of designing a seat belt use survey and conducting
annual seat belt use surveys.

IV. Public Participation

A. How do I prepare and submit comments?

    Your comments must be written and in English. To ensure that your
comments are correctly filed in the Docket, please include the docket
number of this document in your comments.
    Your primary comments must not be more than 15 pages long. (49 CFR
553.21). However, you may attach additional documents to your primary
comments. There is no limit on the length of the attachments.
    Please submit two copies of your comments, including the
attachments, to Docket Management at the address given above under
ADDRESSES.
    Comments may also be submitted to the docket electronically on the
Federal eRulemaking Portal at http://www.regulations.gov. Follow the
online instructions for submitting comments.

B. How can I be sure my comments were received?

    If you wish Docket Management to notify you upon its receipt of
your comments, enclose a self-addressed, stamped postcard in the
envelope containing your comments. Upon receiving your comments, Docket
Management will return the postcard by mail.

C. Will the agencies consider late comments?

    We will consider all comments that Docket Management receives
before the close of business on the comment closing date indicated
above under DATES. To the extent possible, we will also consider
comments that Docket Management receives after that date.

D. How can I read the comments submitted by other people?

    You may read the comments received by the Docket Management at the
address given under ADDRESSES. The hours of the Docket are indicated
above in the same location. To read the comments on the Internet, go to
http://www.regulations.gov. Follow the online instructions for
accessing the docket.
    Please note that even after the comment closing date, we will
continue to file relevant information on the docket as it becomes
available. Further, some people may submit late comments. Accordingly,
we recommend that you periodically check the docket for new material.

V. Statutory Basis for This Action

    The agency's proposal would implement changes to the uniform
criteria for the measurement of State seat belt use rates that a State
is required to conduct annually under a grant program in accordance
with 23 U.S.C. 402(b)(1)(E)(iii).

VI. Regulatory Analyses and Notices

A. Executive Order 12866 and DOT Regulatory Policies and Procedures

    Executive Order 12866, ``Regulatory Planning and Review'' (58 FR
51735, October 4, 1993), provides for making determinations whether a
regulatory action is ``significant'' and therefore subject to OMB
review and to the requirements of the Executive Order. The Order
defines a ``significant regulatory action'' as one that is likely to
result in a rule that may:
    (1) Have an annual effect on the economy of $100 million or more or
adversely affect in a material way the economy, a sector of the
economy, productivity, competition, jobs, the environment, public
health or safety, or State, local, or Tribal governments or
communities;
    (2) Create a serious inconsistency or otherwise interfere with an
action taken or planned by another agency;
    (3) Materially alter the budgetary impact of entitlements, grants,
user fees, or loan programs or the rights and obligations of recipients
thereof; or
    (4) Raise novel legal or policy issues arising out of legal
mandates, the President's priorities, or the principles set forth in
the Executive Order.
    This rulemaking document was not reviewed by the Office of
Management and Budget under Executive Order 12866. The rulemaking
action is not considered to be significant within the meaning of E.O.
12866 or the Department of Transportation's Regulatory Policies and
Procedures (44 FR 11034 (Feb. 26, 1979)).
    The agency's proposal would not affect amounts over the
significance threshold of $100 million each year. The agency's proposal
would not adversely affect in a material way the economy, a sector of
the economy, productivity, competition, jobs, the environment, public
health or safety, or State, local, or Tribal governments or
communities. The agency's proposal would not create an inconsistency or
interfere with any actions taken or planned by other agencies. The
agency's proposal would not materially alter the budgetary impact of
entitlements, grants, user fees, or loan programs or the rights and
obligations of recipients thereof. Finally, the agency's proposal does
not raise novel legal or policy issues arising out of legal mandates,
the President's priorities, or the principles set forth in the
Executive Order.
    Currently, States are required to provide satisfactory assurances
that they will conduct an annual Statewide seat belt use survey as part
of the administrative requirements for a highway safety grant under 23
U.S.C. 402(b)(1)(E)(iii). The outcome of the State's annual Statewide
seat belt use survey provides one of the core performance measures--
observed seat belt use by drivers and front outboard seat passengers of
passenger motor vehicles--that were developed as a collaborative effort
by the National Highway Traffic Safety Administration and the Governors
Highway Safety Association (GHSA), with assistance from other partners.
Through these assurances, every State Highway Safety Office has
committed to conducting an annual Statewide seat belt use survey.
    The agency's proposal would not change the statutory requirement to
provide assurances that the State will conduct an annual Statewide seat
belt use survey, but would change the way States collect and report
survey data. Specifically, the proposed rule would make two changes to
the sampling frame--draw observation sites from a sampling frame based
on traffic fatalities instead of population, and include all roads with
a few exceptions in the sampling frame. In addition, the proposed rule
would change the standard error to not to exceed 2.5 percentage points.
The proposed rule also would improve quality control of the data
collected by requiring States to train observers before data
collection, to have quality control monitors conduct unannounced
visits, and to have a statistician review the data collected. Finally,
the proposed rule would require States to submit additional

information in their annual certifications.
    The agency has determined that if it is made final, this rulemaking
action would not be significant. If a State does not provide assurances
that it will conduct an annual Statewide seat belt use survey in
accordance with the uniform criteria in a given year, Section 402 grant
funds could be withheld. However, States rely on statistically valid
observational surveys of seat belt use to plan and evaluate their
highway safety programs and have committed, through their highway
safety offices, to conduct annual Statewide seat belt use surveys as
part of the core performance measurement process. The agency believes
that no State will decline to provide the required assurances, and that
the impacts of the rule would be minimal and not require the
preparation of a full regulatory evaluation.

B. Regulatory Flexibility Act

    Pursuant to the Regulatory Flexibility Act (5 U.S.C. 601 et seq.,
as amended by the Small Business Regulatory Enforcement Fairness Act
(SBREFA) of 1996), whenever an agency publishes a notice of rulemaking
for any proposed or final rule, it must prepare and make available for
public comment a regulatory flexibility analysis that describes the
effect of the rule on small entities (i.e., small businesses, small
organizations, and small governmental jurisdictions). The Small
Business Administration's regulations at 13 CFR part 121 define a small
business, in part, as a business entity ``which operates primarily
within the United States.'' (13 CFR 121.105(a)). No regulatory
flexibility analysis is required if the head of an agency certifies the
rulemaking action would not have a significant economic impact on a
substantial number of small entities. SBREFA amended the Regulatory
Flexibility Act to require Federal agencies to provide a statement of
the factual basis for certifying that an action would not have a
significant economic impact on a substantial number of small entities.
    NHTSA has considered the effects of this proposal under the
Regulatory Flexibility Act. This proposal applies to States and they
are not considered to be small businesses under the Regulatory
Flexibility Act. States may employ contractors to collect survey data
(which may be small businesses), but this proposal merely changes the
procedures of collecting survey data and will not have a significant
impact on the costs or profits of small businesses. Therefore, I
certify that this notice of proposed rulemaking would not have a
significant economic impact on a substantial number of small entities.

C. Executive Order 13132 (Federalism)

    Executive Order 13132, ``Federalism'' (64 FR 43255, August 10,
1999), requires NHTSA to develop an accountable process to ensure
``meaningful and timely input by State and local officials in the
development of regulatory policies that have federalism implications.''
``Policies that have federalism implications'' are defined in the
Executive Order to include regulations that have ``substantial direct
effects on the States, on the relationship between the national
government and the States, or on the distribution of power and
responsibilities among the various levels of government.'' Under
Executive Order 13132, the agency may not issue a regulation with
Federalism implications that imposes substantial direct compliance
costs and that is not required by statute unless the Federal government
provides the funds necessary to pay the direct compliance costs
incurred by State and local governments or the agency consults with
State and local governments in the process of developing the proposed
regulation. The agency also may not issue a regulation with Federalism
implications that preempts a State law without consulting with State
and local officials.
    The agency has analyzed this rulemaking action in accordance with
the principles and criteria set forth in Executive Order 13132 and has
determined that this proposed rule would not have sufficient Federalism
implications to warrant consultation with State and local officials or
the preparation of a Federalism summary impact statement. Moreover, the
proposed rule would not preempt any State law or regulation or affect
the ability of States to discharge traditional State government
functions.

D. Executive Order 12988 (Civil Justice Reform)

    Pursuant to Executive Order 12988, ``Civil Justice Reform'' (61 FR
4729, February 7, 1996), the agency has considered whether this
rulemaking would have any retroactive effect. This rulemaking action
would not have any retroactive effect. This action meets applicable
standards in sections 3(a) and 3(b)(2) of Executive Order 12988, Civil
Justice Reform, to minimize litigation, eliminate ambiguity, and reduce
burden.

E. Paperwork Reduction Act

    Under the Paperwork Reduction Act of 1995, a person is not required
to respond to a collection of information by a Federal agency unless
the collection displays a valid Office of Management and Budget (OMB)
control number. This NPRM, if made final, would result in a new
collection of information that would require OMB clearance pursuant to
5 CFR part 1320. Before an agency submits a proposed collection of
information to OMB for approval, it must first publish a document in
the Federal Register providing a 60-day comment period and otherwise
consult with members of the public and affected agencies concerning
each proposed collection of information. OMB has promulgated
regulations describing what must be included in such a document. Under
OMB's regulation (at 5 CFR 1320.8(d)), an agency must ask for public
comment on the following:
    (i) Whether the proposed collection of information is necessary for
the proper performance of the functions of the agency, including
whether the information will have practical utility;
    (ii) The accuracy of the agency's estimate of the burden of the
proposed collections of information, including the validity of the
methodology and assumptions used;
    (iii) How to enhance the quality, utility, and clarity of the
information to be collected;
    (iv) How to minimize the burden of the collections of information
on those who are to respond, including 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.
    In compliance with these requirements, the agencies ask for public
comments on the following proposed collections of information:
    Title: Uniform Criteria for State Observational Surveys of Seat
Belt Use.
    OMB Control Number: N/A.
    Requested Expiration Date of Approval: Three years from the
approval date.
    Type of Request: New collection.
    Affected Public: State Governments (the 50 States, the District of
Columbia, Puerto Rico and 4 territories).
    Form Number: N/A.
    Abstract: The Safe, Accountable, Flexible, Efficient Transportation
Equity Act: A Legacy for Users (SAFETEA-LU) (Pub. L. 109-59) provides
that the Secretary of Transportation may not approve for Section 402
funding a State highway safety program which does not provide
satisfactory assurances that the State will implement an annual
statewide seat belt use survey in accordance with criteria established
by

the Secretary to ensure that the measurements of seat belt use are
accurate and representative. In addition, in 2008, the National Highway
Traffic Safety Administration (NHTSA) and the Governors Highway Safety
Association (GHSA) partnered to develop a voluntary minimum set of
performance measures to be used by States and federal agencies in the
development and implementation of behavioral highway safety plans and
programs, including observed seat belt use of front seat outboard
occupants in passenger vehicles.
    Currently, States use the information collected in their seat belt
use surveys to evaluate the effectiveness of their occupant protection
countermeasures programs and to identify relatively low seat belt use
areas and sub-populations requiring increased program emphasis. In
addition, NHTSA uses the collected information, pooled across the
States, to determine the relative impact of various countermeasures and
program strategies and to provide guidance to assist the States in
achieving the highest possible seat belt use. NHTSA also uses the
collected information from individual States to identify those States
whose occupant protection programs would most benefit from special
management reviews, countermeasure demonstration projects and other
forms of technical assistance.
    The information collected for the States' seat belt observational
surveys is to include a seat belt survey design for approval and any
subsequent changes to the seat belt survey design. The survey design
will include a description of the methodology used to select the survey
observational sites, the selection probability of each site, the survey
observational procedures and protocols, observer training and quality
control procedures. In addition, each State is to submit the survey
results annually, including a certification regarding the survey, name
of the State statistician, seat belt use rate, standard error,
nonresponse rate and for each observational site, the number of front
seat outboard occupants that were observed, the number observed to be
wearing the seat belt, and the site weighting factor used to combine
the individual site data into the measure of Statewide seat belt use.
    Estimated Annual Burden: 19,026 hours.
    Estimated Number of Respondents: 56 (50 States, District of
Columbia, Puerto Rico, American Samoa, Guam, the Northern Mariana
Islands, and the U.S. Virgin Islands).
    Comments Are Invited on: Whether the proposed collection of
information is necessary for the proper performance of the functions of
the agency, including whether the information will have practical
utility; the accuracy of the agency's estimate of the burden of the
proposed information collection; ways to enhance the quality, utility
and clarity of the information to be collected; and ways to minimize
the burden of the collection of information on respondents, including
the use of automated collection techniques or other forms of
information technology. Comments must refer to the docket and notice
numbers cited at the beginning of this NPRM and be submitted to one of
the addresses identified at the beginning of this NPRM.

F. Unfunded Mandates Reform Act

    Section 202 of the Unfunded Mandates Reform Act of 1995 (UMRA)
requires Federal agencies to prepare a written assessment of the costs,
benefits, and other effects of proposed or 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 (adjusted for inflation with a base year of
1995 (about $118 million in 2004 dollars)). This proposed rule does not
meet the definition of a Federal mandate because the resulting annual
State expenditures would not exceed the $100 million threshold.

G. National Environmental Policy Act

    NHTSA has reviewed this rulemaking action for the purposes of the
National Environmental Policy Act. The agency has determined that this
proposal would not have a significant impact on the quality of the
human environment.

H. Executive Order 13175 (Consultation and Coordination With Indian
Tribes)

    The agency has analyzed this proposed rule under Executive Order
13175, and has determined that the proposed action would not have a
substantial direct effect on one or more Indian tribes, would not
impose substantial direct compliance costs on Indian tribal
governments, and would not preempt tribal law. Therefore, a tribal
summary impact statement is not required.

I. Regulatory Identifier Number (RIN)

    The Department of Transportation assigns a regulation identifier
number (RIN) to each regulatory action listed in the Unified Agenda of
Federal Regulations. The Regulatory Information Service Center
publishes the Unified Agenda in April and October of each year. You may
use the RIN contained in the heading at the beginning of this document
to find this action in the Unified Agenda.

J. Privacy Act

    Anyone is able to search the electronic form of all comments
received into any of our dockets by the name of the individual
submitting the comment (or signing the comment, if submitted on behalf
of an association, business, labor union, etc.). You may review the
complete User Notice and Privacy Notice for Regulations.gov at http://
www.regulations.gov/search/footer/privacyanduse.jsp.

List of Subjects in 23 CFR Part 1340

    Grant programs--transportation, Highway safety, Intergovernmental
relations, Reporting and recordkeeping requirements.

    In consideration of the foregoing, we propose to revise 23 CFR part
1340 to read as follows:

PART 1340--UNIFORM CRITERIA FOR STATE OBSERVATIONAL SURVEYS OF SEAT
BELT USE

Subpart A--General
Sec.
1340.1 Purpose.
1340.2 Applicability.
1340.3 Definitions.
Subpart B--Survey Design Requirements
1340.4 In general.
1340.5 Selection of observation sites.
1340.6 Assignment of observation times.
1340.7 Observation procedures.
1340.8 Quality control.
1340.9 Computation of estimates.
Subpart C--Administrative Requirements
1340.10 Submission and approval of seat belt survey design.
1340.11 Post-approval alterations to survey design.
1340.12 Re-selection of observation sites.
1340.13 Annual reporting requirements.
Appendix A to Part 1340--State Belt Use Survey Reporting Form

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

Subpart A--General

Sec.  1340.1  Purpose.

    This part establishes uniform criteria for State surveys of seat
belt use conducted under 23 U.S.C. 402, procedures for NHTSA approval
of survey designs, and administrative requirements relating to State
seat belt surveys.

Sec.  1340.2  Applicability.

    This part applies to State surveys of seat belt use, beginning in
calendar year 2011 and continuing annually thereafter.

Sec.  1340.3  Definitions.

    As used in this part--
    Access ramp means the segment of a road that forms a cloverleaf or
limited access interchange.
    Cul-de-sac means the closed end of a road that forms a loop or
turn-around.
    Non-public road means a road on which members of the general public
are not allowed to drive motor vehicles.
    Nonresponse rate means, for any survey variable, the percentage of
unknown values recorded for that variable.
    Observation site means the physical location where survey data are
collected.
    Passenger motor vehicle means a passenger car, pickup truck, van,
minivan or sport utility vehicle.
    Service drive means the segment of a road that provides access to
businesses and rest areas.
    Traffic circle means the segment of a road or intersection of roads
forming a roundabout.
    Unnamed road means a road, public or private, that has no name or
number designation and is often a farm or logging road.
    Vehicular trail means a road designed or intended primarily for use
by motor vehicles with four-wheel drive.

Subpart B--Survey Design Requirements

Sec.  1340.4  In general.

    This subpart sets forth the minimum design requirements to be
incorporated in surveys conducted under this part.

Sec.  1340.5  Selection of observation sites.

    (a) Sampling frame requirements--(1) County coverage. The sampling
frame from which observation sites are selected shall include counties
or county-equivalents (including tribal territories), as defined by the
U.S. Census Bureau, that account for at least 85 percent of the State's
passenger vehicle occupant fatalities, provided that the average of the
last three years of available Fatality Analysis Reporting System (FARS)
data shall be used to determine the State's passenger vehicle occupant
fatalities.
    (2) Road coverage. (i) States shall select observation sites from a
database of road inventories approved by NHTSA or provided by NHTSA.
    (ii) Except as provided in paragraph (a)(2)(iii) of this section,
all roads in the State shall be eligible for sampling. The sampling
frame may not be limited only to roads having a stop sign, stop light
or State-maintained roads.
    (iii) The sampling frame need not include non-public roads, unnamed
roads, unpaved roads, vehicular trails, access ramps, cul-de-sacs,
traffic circles and service drives.
    (b) Sampling selection requirements. The set of road segments
selected for observation sites shall be chosen based on probability
sampling, except that--
    (1) The specific observation site locations on the sampled road
segments may be deterministically selected;
    (2) An alternate observation site may be used to replace an
observation site selected based on probability sampling if it is
located in the same county or county-equivalent, and has the same
roadway classification (e.g., local road segment, collector road
segment) when using the protocol of substitution and rescheduling of
observation sites pursuant to paragraph (c) of this section.
    (c) Requirements for substitution and rescheduling of observation
sites. The survey design shall include at a minimum the following
protocols:
    (1) Protocol when observation site is temporarily unavailable for
data collection.
    (i) Observers shall return to the observation site at another time
provided that it is on the same day of the week and at the same time of
the day or select an alternate observation site, as described in
paragraph (b)(2) of this section, provided the data is collected on the
same day and at approximately the same time as the originally scheduled
observation site.
    (ii) The original observation site must be used for future data
collections.
    (2) Protocol when observation site is permanently unavailable for
data collection.
    (i) Except as provided in paragraph (c)(2)(ii) of this section,
another observation site shall be selected in accordance with paragraph
(b) of this section.
    (ii) If it is not feasible to select another observation site based
on probability sampling for the current data collection, an alternate
observation site, as described in paragraph (b)(2) of this section, may
be selected provided the data is collected on the same day and at
approximately the same time as the originally scheduled observation
site.
    (iii) For future data collections, another observation site must be
selected based on probability sampling in accordance with paragraph (b)
of this section.
    (d) Precision requirement. The estimated seat belt use rate must
have a standard error of no more than 2.5 percentage points.

Sec.  1340.6  Assignment of observation times.

    (a) Daylight hours. All daylight hours between 7 a.m. and 6 p.m.
for all days of the week shall be eligible for inclusion in the sample.
    (b) Random assignment. Except as provided in paragraph (c) of this
section, the day-of the week and time-of-the-day shall be randomly
assigned to observation sites.
    (c) Grouping of observation sites in close geographic proximity.
Observation sites in close geographic proximity may be grouped to
reduce data collection burdens if:
    (1) The first assignment of an observation site within the group is
randomly selected; and
    (2) The assignment of other observations sites within the group is
made in a manner that promotes administrative efficiency and timely
completion of the survey.

Sec.  1340.7  Observation procedures.

    (a) Data collection dates. All survey data shall be collected
through direct observation completely within the calendar year for
which the Statewide seat belt use rate will be reported. Except as
provided in Sec.  1340.5(c), the survey shall be conducted in
accordance with the schedule determined in Sec.  1340.6.
    (b) Roadway and direction(s) of observation--(1) Intersections. If
an observation site is located at an intersection of road segments, the
data shall be collected from the sampled road segment, not the
intersecting road segment(s).
    (2) Roads with two-way traffic. If an observation site is located
on a road with traffic traveling in two directions, one or both
directions of traffic may be observed, provided that--
    (i) If only one direction of traffic is observed, that direction
shall be chosen randomly;
    (ii) If both directions of traffic are observed at the same time,
States shall assign at least one person to observe each direction of
traffic.
    (c) Vehicle coverage. Data shall be collected by direct observation
from all passenger motor vehicles, including but not limited to
commercial passenger motor vehicles, and vehicles that are exempt from
the State's seat belt use law or that bear out-of-State license plates.
    (d) Occupant coverage. Data shall be collected by direct
observation of all drivers and right front passengers, including right
front passengers in booster seats, but excluding right front passengers
in child safety seats. Observers shall record--
    (1) The driver and right front passenger as belted if the shoulder
belt is in front of the person's shoulder.
    (2) A person as unbelted if the shoulder belt is not in front of
the person's shoulder.

    (3) The belt status of that person as unknown if it cannot
reasonably be determined whether the driver or right front passenger is
belted.
    (e) Survey variables. At a minimum, the seat belt use variables to
be collected by direct observation shall include--
    (1) Seat belt status of driver;
    (2) Presence of right front passenger; and
    (3) Seat belt status of right front passenger, if present.
    (f) Data collection environment. When collecting seat belt survey
data--
    (1) Observers shall not wear law enforcement uniforms;
    (2) Police vehicles and persons in law enforcement uniforms shall
not be positioned at observation sites;
    (3) No communications by signage or any other means that a seat
belt survey is being or will be conducted may be present in the
vicinity of the observation site.

Sec.  1340.8  Quality control.

    (a) Quality control monitors. Monitors shall conduct random,
unannounced visits to no less than five percent of the observation
sites for the purpose of quality control. The same individual shall not
serve as both the observer and quality control monitor at the same
observation site at the same time.
    (b) Training. Observers and quality control monitors involved in
seat belt use surveys shall have received training in data collection
procedures within the past twelve months. Observers and quality control
monitors shall be trained in the observation procedures of Sec.  1340.7
and in the substitution and rescheduling requirements of Sec.
1340.5(c).
    (c) Statistical review. Survey results shall be reviewed and
approved by a seat belt survey statistician, i.e., a person with
knowledge of the design of probability-based multi-stage samples,
statistical estimators from such designs, and variance estimation of
such estimators.

Sec.  1340.9  Computation of estimates.

    (a) Data used. Except as otherwise provided in this section, all
data collected for the survey's variables shall be used, without
exclusion, in the computation of the Statewide seat belt use rate,
standard error, and nonresponse rates.
    (b) Data editing. Known values of data contributing to the
Statewide seat belt use rate shall not be altered or statistically
edited in any manner.
    (c) Imputation. Unknown values of variables shall not be imputed
unless NHTSA has approved the State's imputation procedure prior to
data analysis.
    (d) Sampling weights. The estimation formula shall weight observed
data by the inverse of the selection probability of the observation
site at which the data were obtained.
    (e) Sampling weight adjustments for observation sites with no
usable data. States shall include a procedure to adjust the sampling
weights for observation sites with no usable data, including
observation sites where no data were collected and observation sites
where data were discovered to be falsified.
    (f) Nonresponse rate. (1) Subject to paragraph (f)(2) of this
section, the nonresponse rates, for the entire survey, shall not exceed
10 percent for--
    (i) The ratio of the total number of recorded unknown values of
passenger presence to the number of passenger vehicles observed; or
    (ii) The ratio of the total number of recorded unknown values of
belt use to the total number of drivers and passengers observed.
    (2) The State shall include a procedure for collecting additional
observations in the same calendar year of the survey to reduce the
nonresponse rate to no more than 10 percent, in the event the
nonresponse rate in paragraph (f)(1)(i) or (f)(1)(ii) of this section
exceeds 10 percent.
    (g) Variance estimation. (1) Subject to paragraph (g)(2) of this
section, the estimated standard error, using the variance estimation
method in the survey design, shall not exceed 2.5 percentage points.
    (2) If the standard error exceeds this threshold, additional
observations shall be conducted in the same calendar year of the survey
until the standard error does not exceed 2.5 percentage points.

Subpart C--Administrative Requirements

Sec.  1340.10  Submission and approval of seat belt survey design.

    (a) Contents: The following information shall be included in the
State's seat belt survey design submitted for NHTSA approval:
    (1) Sample design--The State shall--
    (i) Define all sampling units, with their measures of size, as
provided in Sec.  1340.5(a)(1);
    (ii) Specify the data source of the sampling frame, as provided in
Sec.  1340.5(a)(2)(i);
    (iii) Specify any exclusions that have been applied to the sampling
frame, as provided in Sec.  1340.5(a)(2)(iii);
    (iv) Define what stratification was used at each stage of sampling
and what methods were used for allocation of the sample units to the
strata;
    (v) Define an observation site;
    (vi) List all observation sites and their probabilities of
selection;
    (vii) Explain how the sample size at each stage was determined, as
provided in Sec.  1340.9(g);
    (viii) Describe how observation sites were assigned to observation
time periods, as provided in Sec.  1340.6; and
    (ix) Identify the name and describe the qualifications of the State
seat belt statistician meeting the requirements in Sec.  1340.8(c).
    (2) Data collection--The State shall--
    (i) Define an observation period;
    (ii) Specify the procedures to be implemented to reschedule or
substitute observation sites when data collection is not possible on
the date and time assigned, as provided in Sec.  1340.5(c);
    (iii) Specify the procedures for collecting additional data to
reduce the nonresponse rate of the variables ``passenger presence'' and
``belt use'' if either of those nonresponse rates exceeds 10 percent,
as provided in Sec.  1340.9(f)(2);
    (iv) Describe the data recording procedures; and
    (v) Specify the number of observers and quality control monitors.
    (3) Estimation--The State shall--
    (i) Describe how seat belt use rate estimates will be calculated;
    (ii) Describe how variances will be estimated, as provided in Sec.
1340.9(g);
    (iii) Specify imputation methods, if any, that will be used, as
provided in Sec.  1340.9(c);
    (iv) Specify the procedures to adjust sampling weight for
observation sites with no usable data, as provided in Sec.  1340.9(e);
and
    (v) Specify the procedures to be followed if the standard error
exceeds 2.5 percentage points, as required in Sec.  1340.5(d).
    (b) Survey design submission deadline. States shall submit proposed
survey designs to NHTSA for approval no later than January 3 of the
calendar year during which the survey is to be conducted, beginning in
calendar year 2011.

Sec.  1340.11  Post-approval alterations to survey design.

    After NHTSA approval of a survey design, States shall submit for
NHTSA approval any proposed alteration to their survey design that
would impact the Statewide seat belt use rate estimate or standard
error, including, but not limited to, sample design, seat belt use rate
estimation method, variance estimation method and data collection
protocols, at least three months before data collection begins.

Sec.  1340.12  Re-selection of observation sites.

    (a) Re-selection of observation sites. States shall re-select
observation sites using an updated sampling frame data, as described in
Sec.  1340.5(a), no less than once every five years.
    (b) Re-selection submission deadline. States shall submit an
updated sampling frame data meeting the requirements of Sec.  1340.5(a)
for NHTSA approval no later than March 1 of the re-selection year.

Sec.  1340.13  Annual reporting requirements.

    (a) Survey data. States shall report the following information no
later than March 1 of each year for the preceding calendar year's seat
belt use survey, using the reporting form in Appendix A to this part:
    (1) A spreadsheet in electronic format containing the raw data for
each observation site and the observation site weight;
    (2) The Statewide seat belt use rate estimate and standard error;
    (3) Nonresponse rates for two variables--belt use and passenger
presence--as provided in Sec.  1340.9(g);
    (4) Dates of the reported data collection;
    (5) Observation sites, identified by type of observation site
(i.e., observation site selected in the original survey design,
alternate observation site selected subsequent to the original survey
design), and by characteristics of the observation site visit (i.e., at
least one vehicle observed, no vehicles observed); and
    (6) Name of the State seat belt survey statistician meeting the
qualification requirements, as provided in Sec.  1340.8(c).
    (b) Certifications by Governor's Highway Safety Representative. The
Governor's Highway Safety Representative (GR) or if delegated in
writing, the Coordinator of the State Highway Safety Office, shall sign
the reporting form certifying that--
    (1) ----------------has been designated by the Governor as the GR,
and if applicable, the GR has delegated the authority to sign the
certification in writing to ----------------, the Coordinator of the
State Highway Safety Office;
    (2) The reported Statewide seat belt use rate is based on a survey
design that was approved by NHTSA, in writing, as conforming to the
Uniform Criteria for State Observational Surveys of Seat Belt Use, 23
CFR part 1340;
    (3) The survey design has remained unchanged since the survey was
approved by NHTSA; and
    (4) The individual named in the reporting form is a qualified
statistician who has reviewed and approved the seat belt use rate and
standard error reported.
    (c) Certification by survey statistician. The State seat belt
survey statistician shall sign the reporting form certifying that --
    (1) (S)he meets the qualifications of a State seat belt use survey
statistician, as provided in Sec.  1340.8(c), and
    (2) The information reported is correct and is in compliance with
the Uniform Criteria for State Observational Surveys of Seat Belt Use,
23 CFR part 1340.
    (d) Audits. NHTSA may audit State survey results and data
collection. The State shall retain the following records for five years
and make them available to NHTSA in electronic format within four weeks
of request:
    (1) Computation programs used in the sample selection;
    (2) Computation programs used to estimate the Statewide seat belt
use rate and standard errors for the surveys conducted since the last
NHTSA approval of the sample design; and
    (3) Sampling frame(s) for design(s) used since the last NHTSA
approval of the sample design.

Appendix A to Part 1340--State Seat Belt Use Survey Reporting Form

PART A: To be completed by the Governor's Highway Safety
Representative (GR) or if applicable, the Coordinator of the State
Highway Safety Office

State:-----------------------------------------------------------------

Calendar Year of Survey:-----------------------------------------------

Statewide Seat Belt Use Rate:------------------------------------------

I hereby certify that:
 ----------------, has been designated by the Governor as
the State's Highway Safety Representative (GR), and if applicable,
the GR has delegated the authority to sign the certification in
writing to ----------------, the Coordinator of the State Highway
Safety Office.
     The reported Statewide seat belt use rate is based on a
survey design that was approved by NHTSA, in writing, as conforming
to the Uniform Criteria for State Observational Surveys of Seat Belt
Use, 23 CFR Part 1340.
     The survey design has remained unchanged since the
survey was approved by NHTSA.
     The individual named below is a qualified Statistician,
who has reviewed and approved the seat belt use rate and standard
error reported above.

-----------------------------------------------------------------------
Signature

-----------------------------------------------------------------------
Date

-----------------------------------------------------------------------
Printed name of signing official

PART B: To be completed by the State Seat Belt Survey Statistician
I hereby certify that I meet the qualifications of a State seat belt
use survey statistician as provided in Sec.  1340.8(c) and the
information reported in Part C below is correct and is in compliance
with the Uniform Criteria for State Observational Surveys of Seat
Belt Use, 23 CFR Part 1340.

-----------------------------------------------------------------------
Signature of State seat belt survey statistician

-----------------------------------------------------------------------
Date

-----------------------------------------------------------------------
Printed name of State seat belt survey statistician
PART C: To be completed by the State Seat Belt Survey Statistician
---------------------------------------------------------------------------

    \1\ Identify if the observation site is an original observation
site or an alternate observation site.

                                                           Data Collected at Observation Sites
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                Number                                                           Number
   Site ID     Site type \1\  Date observed  Sample weight     vehicles      Number front   Number  unknown   Number belted     unbelted       Number
                                                               observed       passengers       passengers       occupants       occupant       unknown
--------------------------------------------------------------------------------------------------------------------------------------------------------
               .............  .............  .............  .............  ...............  ...............  ...............  ............  ............
--------------------------------------------------------------------------------------------------------------------------------------------------------
               .............  .............  .............  .............  ...............  ...............  ...............  ............  ............
--------------------------------------------------------------------------------------------------------------------------------------------------------
               .............  .............  .............  .............  ...............  ...............  ...............  ............  ............
--------------------------------------------------------------------------------------------------------------------------------------------------------
               .............  .............  .............  .............  ...............  ...............  ...............  ............  ............
--------------------------------------------------------------------------------------------------------------------------------------------------------

    Total      .............  .............  .............  .............  ...............  ...............  ...............  ............  ............
--------------------------------------------------------------------------------------------------------------------------------------------------------

Standard Error of Statewide Belt Use Rate \2\: ----------

    \2\ The standard error may not exceed 2.5 percent.
---------------------------------------------------------------------------

Nonresponse Rates,\3\ as provided in Sec.  1340.9(f)
---------------------------------------------------------------------------

    \3\ Either nonresponse rate may not exceed 10 percent.
---------------------------------------------------------------------------

    Nonresponse rate for the survey variable seat belt use: --------
--
    Nonresponse rate for the survey variable passenger presence: --
--------

    Issued on: January 21, 2010.
David L. Strickland,
Administrator, National Highway Traffic Safety Administration.
[FR Doc. 2010-1613 Filed 1-27-10; 8:45 am]
BILLING CODE 4910-59-P


[Federal Register Volume 87, Number 5 (Friday, January 7, 2022)]
[Notices]
[Page 1003]
[FR Doc No: 2022-00108]

-----------------------------------------------------------------------

DEPARTMENT OF TRANSPORTATION

Federal Railroad Administration

[Docket No. FRA-2021-0006-N-18]

Proposed Agency Information Collection Activities; Comment
Request

AGENCY: Federal Railroad Administration (FRA), Department of
Transportation (DOT).

ACTION: Notice of information collection; request for comment.

-----------------------------------------------------------------------

SUMMARY: Under the Paperwork Reduction Act of 1995 (PRA) and its
implementing regulations, this notice announces that FRA is forwarding
the Information Collection Request (ICR) abstracted below to the Office
of Management and Budget (OMB) for review and comment. The ICR
describes the information collection and its expected burden. On
October 22, 2021, FRA published a notice providing a 60-day period for
public comment on the ICR.

DATES: Interested persons are invited to submit comments on or before
February 7, 2022.

ADDRESSES: Written comments and recommendations for the proposed ICR
should be sent within 30 days of publication of this notice to
www.reginfo.gov/public/do/PRAMain. Find the particular ICR by selecting
``Currently under 30-day Review--Open for Public Comments'' or by using
the search function.

FOR FURTHER INFORMATION CONTACT: Ms. Hodan Wells, Information
Collection Clearance Officer at email: [email protected] or
telephone:<PHONE_NUMBER>.

SUPPLEMENTARY INFORMATION: The PRA, 44 U.S.C. 3501-3520, and its
implementing regulations, 5 CFR part 1320, require Federal agencies to
issue two notices seeking public comment on information collection
activities before OMB may approve paperwork packages. See 44 U.S.C.
3506, 3507; 5 CFR 1320.8 through 1320.12. On October 22, 2021, FRA
published a 60-day notice in the Federal Register soliciting comment on
the ICR for which it is now seeking OMB approval. See 86 FR 58721. FRA
received no comments in response to this 60-day notice.
    Before OMB decides whether to approve the proposed collection of
information, it must provide 30 days for public comment. Federal law
requires OMB to approve or disapprove paperwork packages between 30 and
60 days after the 30-day notice is published. 44 U.S.C. 3507(b)-(c); 5
CFR 1320.10(b); see also 60 FR 44978, 44983 (Aug. 29, 1995). OMB
believes the 30-day notice informs the regulated community to file
relevant comments and affords the agency adequate time to digest public
comments before it renders a decision. 60 FR 44983 (Aug. 29, 1995).
Therefore, respondents should submit their respective comments to OMB
within 30 days of publication to best ensure having their full effect.
    Comments are invited on the following ICR regarding: (1) Whether
the information collection activities are necessary for FRA to properly
execute its functions, including whether the information will have
practical utility; (2) the accuracy of FRA's estimates of the burden of
the information collection activities, including the validity of the
methodology and assumptions used to determine the estimates; (3) ways
for FRA to enhance the quality, utility, and clarity of the information
being collected; and (4) ways to minimize the burden of information
collection activities on the public, including the use of automated
collection techniques or other forms of information technology.
    The summary below describes the ICR that FRA will submit for OMB
clearance as the PRA requires:
    Title: Railroad Signal System Requirements.
    OMB Control Number: 2130-0006.
    Abstract: The information collected under 49 CFR parts 233, 235,
and 236 is used by FRA to monitor compliance with FRA's inspection and
testing requirements for signal systems, as well as to review and
approve requests to discontinue or materially modify existing signal
systems. The information collected is also used by FRA to monitor
signal failures (e.g., failure of a signal appliance, device, method,
or system to function or indicate as required by 49 CFR part 236 that
results in an incorrect signal or other condition hazardous to the
movement of a train).
    For instance:
     Sec.  233.5 requires each railroad to report to FRA within
24 hours after learning of an accident or incident arising from signal
failure.
     Sec.  233.7 requires each railroad to report signal
failures within 15 days in accordance with the instructions printed on
Form FRA F 6180.14.
     Sec.  235.5 requires railroads to apply for FRA approval
to discontinue or materially modify railroad signal systems.
     Sec.  235.8 allows railroads to seek relief from the
requirements in 49 CFR part 236.
     Sec.  235.20 describes the protest process, including
essential information that must be included in the protest, the address
for filing the protest, the time limit for filing the protest, and the
requirement that a protestant requesting a public hearing explain why
written statements cannot be used to explain his or her position.
     Sec.  236.110 requires that the results of signal system
tests required under Sec. Sec.  236.102 through 236.109; Sec. Sec.
236.376 through 236.387; Sec. Sec.  236.576 and 236.577; and Sec. Sec.
236.586 through 236.589 be recorded on pre-printed forms provided by
the railroad or by electronic means, subject to FRA approval.
     Sec.  236.590 requires railroads to clean and inspect the
automatic train stop, train control, or cab signal pneumatic apparatus
on locomotives and then record the results of the inspection as
required by Sec.  229.29(a) of this chapter.
    Type of Request: Extension without change (with changes in
estimates) of a currently approved collection.
    Affected Public: Businesses.
    Form(s): FRA F 6180.14.\1\
---------------------------------------------------------------------------

    \1\ FRA made one minor change to Form FRA F 6180.14 by replacing
``mail to'' with ``email to.''
---------------------------------------------------------------------------

    Respondent Universe: 754 railroads.
    Frequency of Submission: On occasion.
    Total Estimated Annual Responses: 943,412.
    Total Estimated Annual Burden: 222,747 hours.
    Total Estimated Annual Burden Hour Dollar Cost Equivalent:
$13,330,408.
    Under 44 U.S.C. 3507(a) and 5 CFR 1320.5(b) and 1320.8(b)(3)(vi),
FRA informs all interested parties that a respondent is not required to
respond to, conduct, or sponsor a collection of information that does
not display a currently valid OMB control number.
    Authority: 44 U.S.C. 3501-3520.

Brett A. Jortland,
Deputy Chief Counsel.
[FR Doc. 2022-00108 Filed 1-6-22; 8:45 am]
BILLING CODE 4910-06-P