PART 1340—UNIFORM CRITERIA FOR STATE OBSERVATIONAL SURVEYS OF SEAT BELT USE Authority: 23 U.S.C. 402; delegation of authority at 49 CFR 1.50. Source: 76 FR 18056, Apr. 1, 2011, unless otherwise noted. Subpart A—General § 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. § 1340.2 Applicability. This part applies to State surveys of seat belt use beginning in calendar year 2013 and continuing annually thereafter. However, a State may elect to conduct its calendar year 2012 seat belt use survey using a survey design approved under this part. [77 FR 20551, Apr. 5, 2012] § 1340.3 Definitions. As used in this part— Access ramp Cul-de-sac Non-public road Nonresponse rate Observation site Passenger motor vehicle Service drive Traffic circle Unnamed road Vehicular trail Subpart B—Survey Design Requirements § 1340.4 In general. This subpart sets forth the minimum design requirements to be incorporated in surveys conducted under this part. § 1340.5 Selection of observation sites. (a) Sampling frame requirements County coverage. (2) Road coverage. (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: rural local roads, as classified by the Federal Highway Administration's Functional Classification Guidelines, in counties that are not within a Metropolitan Statistical Area (MSA), as published by the Office of Management and Budget; non-public roads; unnamed roads; unpaved roads; vehicular trails; access ramps; cul-de-sacs; traffic circles; or service drives. (b) Sampling selection requirements. (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. (1) Protocol when observation site is temporarily unavailable for data collection. (ii) The original observation site must be used for future data collections. (2) Protocol when observation site is permanently unavailable for data collection. (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. § 1340.6 Assignment of observation times. (a) Daylight hours. (b) Random assignment. (c) Grouping of observation sites in close geographic proximity. (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. § 1340.7 Observation procedures. (a) Data collection dates. (b) Roadway and direction(s) of observation Intersections. (2) Roads with two-way traffic. (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. (d) Occupant coverage. (1) Belted if the shoulder belt is in front of the person's shoulder; (2) Unbelted if the shoulder belt is not in front of the person's shoulder; (3) Unknown if it cannot reasonably be determined whether the driver or right front passenger is belted. (e) Survey data. (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. (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) Communications by signage or any other means that a seat belt survey is being or will be conducted shall not be present in the vicinity of the observation site. § 1340.8 Quality control. (a) Quality control monitors. (b) Training. (c) Statistical review. i.e. § 1340.9 Computation of estimates. (a) Data used. (b) Data editing. (c) Imputation. (d) Sampling weights. (e) Sampling weight adjustments for observation sites with no usable data. (f) Nonresponse rate. (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 if the nonresponse rate in paragraph (f)(1) of this section exceeds 10 percent. (g) Variance estimation. (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 § 1340.10 Submission and approval of seat belt survey design. (a) Contents: (1) Sample design. (i) Define all sampling units, with their measures of size, as provided in § 1340.5(a); (ii) Specify the data source of the sampling frame of road segments (observation sites), as provided in § 1340.5(a)(2)(i); (iii) Specify any exclusions that have been applied to the sampling frame, as provided in § 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) Specify the method used to select the road segments for observation sites as provided by § 1340.5(b). (vi) List all observation sites and their probabilities of selection; (vii) Explain how the sample sizes were determined, as provided in § 1340.5(d); (viii) Describe how observation sites were assigned to observation time periods, as provided in § 1340.6; and (ix) Identify the name and describe the qualifications of the State survey statistician meeting the requirements in § 1340.8(c). (2) Data collection. (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 § 1340.5(c); (iii) Specify the procedures for collecting additional data to reduce the nonresponse rate, as provided in § 1340.9(f)(2); (iv) Describe the data recording procedures; and (v) Specify the number of observers and quality control monitors. (3) Estimation. (i) Describe how seat belt use rate estimates will be calculated; (ii) Describe how variances will be estimated, as provided in § 1340.9(g); (iii) Specify imputation methods, if any, that will be used, as provided in § 1340.9(c); (iv) Specify the procedures to adjust sampling weight for observation sites with no usable data, as provided in § 1340.9(e); and (v) Specify the procedures to be followed if the standard error exceeds 2.5 percentage points, as required in § 1340.5(g). (b) Survey design submission deadline. § 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, 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. § 1340.12 Re-selection of observation sites. (a) Re-selection of observation sites. (b) Re-selection submission deadline. § 1340.13 Annual reporting requirements. (a) Survey data. (1) Spreadsheet in electronic format containing the raw data for each observation site and the observation site weight; (2) Statewide seat belt use rate estimate and standard error; (3) Nonresponse rate for the variable “belt use,” as provided in § 1340.9(f); (4) Dates of the reported data collection; (5) Observation sites, identified by type of observation site ( i.e. i.e. (6) Name of the State survey statistician meeting the qualification requirements, as provided in § 1340.8(c). (b) Certifications by Governor's Highway Safety Representative. (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) ________________, a qualified survey statistician, reviewed the seat belt use rate reported in Part A (of the certification) and information reported in Part B and has determined that they meet the Uniform Criteria for State Observational Surveys of Seat Belt Use, 23 CFR part 1340. (c) [Reserved] (d) Audits. (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. • ________________, a qualified survey statistician, has reviewed the seat belt use rate reported above and information reported in Part B and has determined that they meet the Uniform Criteria for State Observational Surveys of Seat Belt Use, 23 CFR Part 1340. Signature Date Printed name of signing official Part B—Data Collected at Observation Sites Site ID Site type 1 Date Sample weight Number of drivers Number of front Passengers Number of occupants 2 Number of occupants unbelted Number of occupants with Total Standard Error of Statewide Belt Use Rate 3 1 2 3 Nonresponse Rate, as provided in § 1340.9(f) Nonresponse rate for the survey variable seat belt use: ________