ICR #0282.15 Supporting Statement
Page
Supporting Statement
For
Information Collection Request
Engine Emission Defect Information Reports and
Voluntary Emission Recall Reports (Renewal)
ICR Number 0282.15
OMB Number 2060-0048
42 USC 7521 § 206
42 USC 7521 § 207
42 USC 7521 § 213
40 CFR Part 85
40 CFR Part 89
40 CFR Part 90
40 CFR Part 91
40 CFR Part 92
40 CFR Part 94
40 CFR Part 1048
40 CFR Part 1051
40 CFR Part 1068
Certification and Compliance Division
Office of Transportation and Air Quality
Office of Air and Radiation
U.S. Environmental Protection Agency
1. Identification of the Information Collection
1(a) Title and Number of The Information Collection
Engine Emission Defect Information Reports and Voluntary Emission Recall Reports (Renewal). EPA Number 0282.15, OMB Control Number 2060-0048.
Under Section 206(a) of the CAA (42 USC 7521), engine manufacturers may not legally introduce their products into US commerce unless EPA has certified that their production complies with applicable emission standards. Section 213(d) extends all emission certification and compliance provisions to non-road engines and vehicles. During the certification process, manufacturers must demonstrate that their products comply with applicable emissions standards throughout their useful lives. However, EPA's own in-use testing has shown that some engines exceed the emissions standards during their useful lives for a variety of reasons. Those reasons include defects in materials or design or other factors.
Per sections 207(c)(1) and 213 of the Clean Air Act (CAA), when emission testing shows that a substantial number of properly maintained and used engines produced by a manufacturer do not conform to emission standards, the manufacturer is required to recall the engines. When manufacturers learn of the existence of emission-related defects in 25 engines or more (10 in the case of locomotives) of the same class and model year, they are required to submit a Defect Information Report (DIR). DIRs contain information about the engines on which a defect has been found and a description of the defect and its effects on engine performance and emissions. EPA uses these reports to target potentially nonconforming classes of engines for future testing, to monitor compliance with applicable regulations and to order a recall, if necessary.
Manufacturers can also initiate a recall voluntarily by submitting a Voluntary Emission Recall Report (VERR). VERRs contain information such as the procedures used by manufacturers to notify engine owners, the identification of engines affected, and repairs to be completed on recalled engines. Manufacturers also submit progress reports that track the number of engines repaired. VERRs and VERR updates allow EPA to determine whether the manufacturer conducting the recall is acting in accordance with the CAA and to examine and monitor the effectiveness of the recall campaign.
This information is collected by the Heavy-duty and Nonroad Engine Group (HDNEG), Certification and Innovative Solutions Division (CISD), Office of Transportation and Air Quality (OTAQ), Office of Air and Radiation (OAR), U.S. Environmental Protection Agency (EPA). Besides CCD, this information could be used by the Office of Enforcement and Compliance and the Department of Justice for enforcement purposes. Non-confidential portions of the information submitted to EPA could be disclosed to the public upon request. This information is used by trade associations, environmental groups, and the public. Respondents may submit this information in an electronic format and EPG stores it in a database.
EPA estimates that approximately 75 engine manufacturers will respond to this collection with an approximate cost of $2,293,648.
EPA's emission compliance programs, including-emissions related recalls, are statutorily mandated; the agency does not have discretion to cease these functions. Sections 207(c)(1) and 213 of the Clean Air Act (CAA) mandate engine manufacturers to conduct recalls when in-use emission testing shows that a substantial number of properly maintained and used engines of the same class or engine family do not conform to emission standards.
Section 208(a) of the Clean Air Act provides EPA with the authority to require a manufacturer to "make reports and provide information the Administrator may reasonably require to determine whether the manufacturer or other person has acted or is acting in compliance" with Title II of the Clean Air Act and applicable regulations. Regulations implementing such reporting requirements are codified at:
40 CFR part 85, subpart T (On-highway, Heavy-duty Truck Engines)
40 CFR part 89, subpart I (Non-road Compression-ignition Engines)
40 CFR part 90, subpart I (Non-road Spark-ignition Engines)
40 CFR part 91, subpart J (Marine Spark-ignition Engines)
40 CFR part 92, subpart E (Locomotives and Locomotive Engines)
40 CFR Part 94, subpart E (Marine Compression-ignition Engines)
40 CFR Part 1068, subpart F (General provisions for engines certified under:
Part 1033 – Locomotives
Part 1039 - Non-road Compression-ignition Engines
Part 1042 - Marine Compression-ignition Engines
Part 1045 - Marine Spark-ignition Engines
Part 1048 – Large Spark-ignition Engines
Part 1051 – Recreational Vehicles (Snowmobiles and All Terrain Vehicles only)
Part 1054 - Non-road Spark-ignition Engines
Stationary engines certified under Parts 1039, 1048 and 1054)
The information collected under this information collection request is needed to identify potentially noncomplying engines. Those engines are then targeted for future testing to ensure that they comply with emission standards throughout their useful lives
2(b) Practical Utility/Users of The Data
EPA uses the information requested to ensure compliance with the Clean Air Act's in-use emission requirements. This information collection enables EPA to ensure that engine manufacturers are complying with applicable in-use emission regulations, measure the impact of non-road engines' emissions on air quality, and take corrective actions as needed.
DIRs notify EPA of the existence of defects in a significant number of engines that may cause engine emissions to exceed applicable standards. These reports enable the Agency to take action, as needed. VERRs are used to determine if a manufacturer is acting in accordance with the Clean Air Act and to examine and monitor the effectiveness of the recall campaign. Measures of effectiveness include the procedures the manufacturer is following to notify vehicle owners and provide timely repairs, the percentage of vehicle owners that are responding to recall notification and the number of engines that are being repaired.
The information will be received and used by HDNEG/CISD/OTAQ/OAR. Non-confidential portions of the information submitted to EPG is available to and used by importers, environmental groups, members of the public and local, state and federal government organizations.
The information requested under this ICR is required by statute. Because of its specialized nature, the information collected is not available from any other source.
An announcement of the public comment period for this ICR renewal was published in the Federal Register on April 30, 2010 (75 Federal Register 22776). No comments were received.
In updating this information collection request, EPA consulted manufacturers of on-road and nonroad engines. The consultations with the manufacturers' representatives sought to clarify burden estimates, employee mix in the responses, and the clarity of the requirements associated with this ICR. EPA consulted the following respondents:
Del R. Nelson, Project Engineer
Emissions
Arctic Cat, Inc.
601 Brooks Ave. South
Thief
River Falls, MN 56701
phone: 218-681-9799 (ext.
4121)
dnelson@arcticcatinc.com
Jean-Michel Desaulniers
Bombardier Recreational Products, Inc.
726, rue Saint-Joseph
Valcourt, Quebec Canada J0E 2L0
Phone: 450-532-6188
jean-michel.desaulniers@brp.com
Larry Keller
Polaris Industries, Inc.
2100 Highway 55
Medina, MN 55340
Phone: 651-408-7253
Ravinder Singh
Cummins Inc.
500 Jackson St.
Columbus, IN 47201
Phone: 284-576-5504
ravinder.d.singh@cummins.com
This information is only collected when certain circumstances which potentially involve non-compliance with statutory and regulatory requirements trigger these events. Thus, manufacturers are required to provide this information only when potential violations exist. Less frequent collection of DIRs and VERRs would allow potential violations to go undetected. Follow-up progress reports on voluntary recalls are collected quarterly for up to six quarters. These progress reports or updates are used to monitor the progress of a recall campaign, observing the promptness with which engines subject to the recall receive the remedial repair. Experience has shown that the quarterly reporting interval, which corresponds to most manufacturers’ internal cycles, is generally the minimum interval for effective oversight of a recall campaign.
DIRs and VERRs are required by regulation to be submitted not more than 15 days after an emissions-related defect is found (or in the case of a VERR, within 15 days after vehicle owner notification) to affect 25 or more engines (10 for locomotives) of the same model year or engine family. If information necessary to complete the written report is not available to the respondent within 15 days, the respondent may submit the missing information when it becomes available.
Applicable regulations do not require respondents to submit information more frequently than on a quarterly basis on a per defect basis. Respondents must report defects within 15 days after becoming aware of them. A respondent may become aware of additional defects shortly after having submitted a report. This new defect will have its own timeline.
This collection also requires manufacturers to retain records on defects for five years from the date of manufacture of the vehicle.
Any claimed confidential business information that meets the criteria set forth by 5 U.S.C. §552 and 40 CFR Part 2 will be treated as such.
No questions of a sensitive nature are asked.
4. The Respondents and the Information Requested
Respondents are manufacturers of non-road engines within the following North American Industry Classification System (NAICS) codes:
● 333618 Other Engine Equipment Manufacturing
● 336312 Gasoline Engine and Engine Parts Manufacturing
(i) Data Items
Subsections A through E below list most of the data items requested under this information collection. Some of these data items are required to be kept in records and submitted only upon request. The lists in these sections are meant to give an idea of what is usually requested. For a complete list of all data items applicable for each type of engine, please refer to the regulations listed in Section 2(a).
A. Defect Information Reports (DIRs)
Manufacturers are required to submit defect information reports only when their data indicates that an emission-related defect may exist in a substantial number of properly maintain engines. The term “substantial number” has different definitions in some of the regulations covered by this collection; however, the majority of the regulations define this term as 25 engines or more (10 for locomotives). Part 1068 establish thresholds based on projected sales (40 CFR 1068,501(e)).
Manufacturers must report within 15 working days (21 days for engines subject to Part 1068) after a defect is found in a substantial number of engines. These requirements apply only to engines which have already been sold to the public and remain in effect for five years after the model year in which the engine was certified. For engines subject to Part 1068, the requirements apply for the entire useful life of the engine or five years after the end of the model year, whichever is longer [40 CFR 1068.501(b)(4)].
Data items requested in Defect Information Reports include:
The manufacturer's corporate name
A description of the defect
A description of the class or category of engines
Number of vehicle or engines estimated or known to have the defect and explanation of derivation.
The address of the plant(s) where they were produced
Evaluation of the emissions impact and any driveability problems it might cause
Available emissions data related to the defect
Indication of any anticipated manufacturer follow-up
B. Voluntary Emission Recall Reports (VERRs)
Manufacturers have the option to voluntarily initiate a recall. If the recall involves 25 engines or more (one for locomotives), they must notify EPA about the recall within 15 days of the date they first started to notify engine owners about the recall.
Information items requested in Voluntary Emission Recall Reports include:
A description of the class or category of engines being recalled
A description of the modifications or repairs made to correct the defects
A description of the method being used to identify and contact the owners
A description of any conditions for eligibility for repair and any reasons for the conditions
A description of the procedure to be followed by the owner to obtain repairs and where the repairs can be obtained
If repairs are not being performed at dealers, a description of who will perform the repairs and where the defect will be remedied
Copies of the letters of notification to be sent to the vehicle owners
A description of the system for assuring an adequate supply of parts is available for the repairs and that they are performed in a timely manner.
Copies of all necessary instructions to be sent to the persons who are to perform the repairs
A description of the impact of the proposed changes on fuel consumption, driveability, and safety of the engines
A sample of any labels to be applied to the participant engines identifying the recall being performed
VERR Quarterly Progress Reports document the progress of voluntary recalls. Manufacturers of on-highway, heavy-duty truck engines, non-road compression ignition engines and locomotives are required to submit VERR quarterly reports for six quarters following the beginning of any recall campaign (40 CFR 85.1904(b) and 40 CFR 92.404(b)). These reports must be submitted no later than 25 working days after the end of each calendar quarter.
Manufacturers of non-road spark-ignition engines need to submit only one report within 18 months of the start of owner notification (40 CFR 90.804(b)). Marine engine manufacturers need to submit a report one year from the start of owner notification (40 CFR 90.804(b)). Other variations may exist among the different categories of engines.
Data items include:
Recall campaign number
Date of owner notification and completion
Number of engines involved
Number of engines known or estimated to be affected by the defect
Number of or engines brought in and inspected as part of the campaign
Number of engines found to have the defect after inspection
Number of engines actually receiving repair
Number of engines determined to be unavailable due to exportation, theft, scrapping or other reasons
Number of engines determined to be ineligible because of improper maintenance or use
Copies of any service bulletins sent to dealers which relate to the defect that had not previously been reported
Copies of all communications transmitted to vehicle owners which relate to the defect to be corrected not previously submitted
Revisions to any of the information previously submitted
Vehicle owner contact information upon request
For non-road and marine spark-ignition engines only:
Methods used to notify owners and dealers
Number of engines known or estimated to be affected
Number of engines actually being repaired
Number of owners and dealers involved
Number of engines determined to be ineligible because of improper maintenance or use
Manufacturers are required to keep records of all the data gathered to compile the reports for at least five years (40 CFR parts 85.1906(b), 90.805(b), and 91.905(b)). Recalls related to recalls under Part 1068 must be kept for at least three years after that last required report was submitted (40 CFR 1068.530). Locomotive and locomotive engine manufacturers under Part 92 however, must keep these records for eight years (40 CFR 92.406(b)). Manufacturers are required to make all records available to EPA upon request (40 CFR Parts 85.1906(b), 90.805(b), 91.905(b), and 92.406(b)).
The following information must also be maintained in a form suitable for inspection, such as electronic storage devices or databases:
The names and addresses of vehicle or engine owners:
To whom notification was given
Who received remedial repair or inspection
Who was determined not to be eligible because of improper maintenance or use
(ii) Respondent Activities
The activities manufacturers need to perform to comply with the requirements of each type of report are as follows:
Monitor engine performance by collecting information on the frequency of customer or dealer complaints and findings by their own research departments (customary business practice)
Review instructions and regulations
Compile data
Prepare and submit report
Maintain records
EPA officials carry out the following activities:
Review regulations
Answer respondents' questions
Review reports for completeness and compliance with regulations
Analyze reports to determine the impact of the situation described in the report on emission levels
Evaluate manufacturers' procedures to determine if the problem is being addressed correctly and how effective a recall campaign is
Recommend, if needed, additional compliance activities such as further testing or research
Identify engine classes that may need follow up in the future
Summarize and store the information electronically
EPA currently makes extensive use of electronic media in gathering and evaluating information; therefore, EPA prefers to receive the reports electronically. However, it is the manufacturers' choice to submit their reports on paper if they so prefer.
Once the data is received, the information is entered into a database and reviewed for completeness. If the manufacturer chooses to make hard copy submittals, then EPA manually enters the information into the database. The reviewer analyses the information to ensure compliance with the CAA and applicable regulations.
The information requested is considered to be the minimum needed to effectively maintain the emission control programs' integrity and comply with the requirements of the Clean Air Act. Further measures to simplify reporting requirements for small businesses do not appear prudent or necessary.
DIRs are collected on occasion only. If the defect requires a recall, a reporting scheduled is triggered. Sections 4(b)(i)(A) through 4(b)(i)(D) describe the schedule.
Please refer to Table 1 in the attachment for details.
Burden estimates were taken from the previous ICR and revised to reflect experience gained by EPA and comments from fewer than 10 respondents consulted by EPA.
(i) Estimating Labor Costs
To estimate labor costs, EPA used the Bureau of Labor Statistics' publication Occupational Employment and Wages, 2008. EPA then increased the hourly wage estimates by a factor of 2.1 to account for benefits and overhead. The specific rates used are listed below. These are mean hourly rates.
Table 2
Labor Costs Estimates
Occupation |
SOC Code Number |
Mean Hourly Rate (BLS) |
2.1 Factor for Overhead and Benefits |
Mechanical Engineers |
17-2141 |
$38.74 |
$81.35 |
Engineering Managers |
11-9041 |
$59.04 |
$123.98 |
Lawyers |
23-1011 |
$62.03 |
$130.26 |
Secretaries, Except Legal, Medical and Executive |
43-6014 |
$14.93 |
$31.35 |
(ii) Estimating Capital and Operations and Maintenance Costs
Operation and Maintenance costs (O&M Costs) associated with this information collection include CDs, photocopying, postage and other shipping expenses and phone calls. CDs are used by manufacturers to submit data electronically and to keep records.
There are no capital start-up costs associated with this collection.
(iii) Capital/Start Up Operations and Maintenance Costs
There are no capital start-up costs associated with the renewal of this ICR.
There are no capital start-up costs associated with this information collection.
Please refer to Table 3 in the attachment for detailed calculations.
Table 4 below summarizes EPA's labor costs associated with this information collection. These costs are based on hourly wage rates obtained from the Office of Personnel Management (OPM) and adjusted by a factor of 1.6 to account for benefits and overhead.
Table 4
Agency Labor Costs
Occupation |
Hourly Rate |
1.6 Federal Factor for Benefits and Overhead |
Engineer (GS-13/10) |
$55.46 |
$88.73 |
Lawyers (GS-13/10) |
$55.46 |
$88.73 |
Contractors (amount spent in FY 2009) – Defect and Recall Reports Processing |
$41,330 |
|
Due to a shortage of personnel, EPA contracts out the processing of DIRs and VERRs. The Contractor answers questions from manufacturers regarding how to prepare and submit reports, reviews reports for completeness, uploads them into a database, and identifies those that need special follow up. EPA personnel follow up with manufacturers in matters that require regulatory interpretation and enforce the requirements, as needed.
There are approximately 338 engine manufacturers (respondents) who obtain certificates of conformity with EPA emission regulations. All of them need to comply with defect and recall regulations. Manufacturers need to submit DIRs only when they learn that a significant number of properly maintain engines are affected by a particular defect. Therefore, not all manufacturers will respond to this collection every year.
Based on previous experience, EPA expects to receive approximately 225 DIRs from 75 different respondents per year during the next three years. This is a significant increase from previous response levels. This increase is mainly due to two factors: (1) the pool of possible respondents has significantly increased in the last few years; and (2) EPA has noted that not all manufacturers are aware of their responsibilities to report and cure defects found in their products. To address this issue, EPA plans to step up efforts to verify compliance with defect reporting and recall regulations. This should result in a higher number of respondents to this information collection.
(i) Respondent Tally
Number of Respondents: 75
Number of Activities: 13
Total Hours per Year: 26,563
Total Labor Cost per Year: $2,276,608
Total Capital Costs per Year: 0
Total O&M Costs per Year: $17,040
Total Costs: $2,293,648
(ii) The Agency Tally
Number of Respondents: 75
Number of Activities: 12
Total Hours per Year: 1,858
Total Labor Cost per Year: $44,126.36
Total Capital Costs per Year: 0
Total O&M Costs per Year: $637 in addition to $41,330 in contract dollars
Total Costs: $86,093
There is an increase in burden associated with this ICR renewal due to: (1) a significant increase in the estimated number of respondents; and (2) an increase in estimated frequency. This increases are due adjustments EPA has made to its estimates.
The annual public reporting and recordkeeping burden for this collection is estimated to average 354 hours per respondent. Burden means the total time, effort, or financial resources expended by persons to generate, maintain, retain, or disclose or provide information to or for a Federal agency. This includes the time needed to review instructions; develop, acquire, install, and utilize technology and systems for the purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing ways to comply with any previously applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information. An agency may not conduct or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid OMB control number. The OMB control numbers for EPA's regulations are listed in 40 CFR part 9 and 48 CFR chapter 15.
To comment on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including the use of automated collection techniques, EPA has established a public docket for this ICR under Docket ID No. EPA-HQ-OAR-2006-0895, which is available for online viewing at www.regulations.gov, or in person viewing at the Air and Radiation Docket in the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Avenue, NW, Washington, D.C. The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number for the Reading Room is (202) 566-1744, and the telephone number for the Air and Radiation Docket is (202) 566-1742. An electronic version of the public docket is available at www.regulations.gov. This site can be used to submit or view public comments, access the index listing of the contents of the public docket, and to access those documents in the public docket that are available electronically. When in the system, select “search,” then key in the Docket ID Number identified above. Also, you can send comments to the Office of Information and Regulatory Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, DC 20503, Attention: Desk Office for EPA. Please include the EPA Docket ID No. EPA-HQ-OAR-2006-0895 and OMB control number 2060-0048 in any correspondence.
| File Type | application/msword |
| File Title | Supporting Statement |
| Author | PQA |
| Last Modified By | Courtney Kerwin |
| File Modified | 2010-07-14 |
| File Created | 2010-07-14 |