Office of the Chief Information Officer
INTRODUCTION
The Federal Motor Carrier Safety Administration (FMCSA) submits this supporting statement to the Office of Management and Budget (OMB) for its review and approval, with plans to revise a currently-approved information collection request (ICR) entitled, “Inspection, Repair and Maintenance,” assigned OMB Control Number 2126-0003. Currently, the IC is set to expire on May 31, 2013. This request to revise the IC is based upon new FMCSA program requirements contained in a final rule entitled, “Inspection, Repair and Maintenance; Driver-Vehicle Inspection Report for Intermodal Equipment,” (77 FR 34846), June 12, 2012 (Attachment A), henceforth referred to as the IEP DVIR final rule. The final rule will eliminate the requirement for drivers operating intermodal equipment (IEP) to submit – and intermodal equipment providers (IEPs) to retain – driver-vehicle inspection reports (DVIRS) when the driver has neither found nor been made aware of any defects in the IME.
Part A. Justification.
1. Circumstances that make collection of information necessary:
Section 204(a) of the Motor Carrier Act, 1935 (codified at 49 U.S.C. § 31502)
(Attachment B) authorizes the Secretary of Transportation (the Secretary) to prescribe requirements for the safety of operation of equipment of motor carriers. Section 206 of the Motor Carrier Safety Act of 1984 (codified at 49 U.S.C. § 31136) (Attachment C) requires the Secretary to prescribe regulations that ensure that commercial motor vehicles (CMVs) are maintained. Section 210 of the Motor Carrier Safety Act of 1984 (codified at 49 U.S.C. § 31142) (Attachment D) requires the Secretary to establish standards for annual or more frequent inspections of CMVs. Section 9110 of the Truck and Bus Safety and Regulatory Reform Act of 1988 (codified at 49 U.S.C. § 31137(b)) (Attachment E) requires the Secretary to prescribe regulations on improved standards or methods to ensure that brakes and brake systems of CMVs are maintained properly and inspected by appropriate employees.
Title 49 CFR part 396 entitled, “Inspection, Repair, and Maintenance” (Attachment F), of the Federal Motor Carrier Safety Regulations (FMCSRs), contains regulations which implement these statutory provisions. These regulations place the responsibility upon the motor carrier to ensure that all CMVs operated by them or their drivers, and all CMV parts and accessories required by 49 CFR part 393 entitled, “Parts and Accessories Necessary for Safe Operation” (Attachment G), are in safe and proper operating condition at all times. The regulations allow motor carriers a great deal of flexibility in their inspection, repair, and maintenance programs. The recordkeeping requirements are minimal and there are no prescribed forms for carriers to use to meet these requirements. For some required records, motor carriers may either maintain them or cause a third party to do so. The regulations also permit the motor carrier to establish its own systematic CMV maintenance program on either a mileage or time basis.
The motor carrier industry has never questioned the need to keep CMV maintenance records. In fact, most motor carriers would keep some records in the normal course of their business without any regulatory requirements to do so. Records for inspection, repair, and maintenance; roadside inspection reports; driver vehicle inspection reports; the documentation of periodic inspections; the evidence of the qualifications of individuals performing periodic inspections; and the evidence of brake inspectors' qualifications contain the minimum amount of information necessary to document that a motor carrier has established a system of inspection, repair, and maintenance for its equipment which meets the standards in part 396.
Subsequent legislation made two more categories of transportation providers subject to these requirements. Section 4118 of The Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Public Law 109-59, 119 Stat. 1144, at 1729, August 10, 2005, added new section 31151 (Attachment H), entitled “Roadability,” to subchapter III of chapter 311 of title 49, United States Code. Section 31151(a)(1) requires the Secretary to issue regulations to be codified in the FMCSRs “to ensure that intermodal equipment used to transport intermodal containers is safe and systematically maintained.” The legislation defines “intermodal equipment” as trailing equipment that is used in the intermodal transportation of containers over public highways in interstate commerce, including trailers and chassis. The term “intermodal equipment provider” (IEP) is defined as any person that interchanges intermodal equipment with a motor carrier pursuant to a written interchange agreement or has a contractual responsibility for the maintenance of the intermodal equipment.”
Section 4136 of SAFETEA-LU [Pub. L. 109-59, 119 Stat. 1144, 1745, August 10, 2005] (set out as a note to 49 U.S.C. 31136) (Attachment I) states that “The Federal motor carrier safety regulations that apply to interstate operations of commercial motor vehicles designed to transport between 9 and 15 passengers (including the driver) shall apply to all interstate operations of such carriers regardless of the distance traveled.”
On December 17, 2008, the FMCSA revised this ICR due to new program requirements in a final rule entitled, “Requirements for Intermodal Equipment Providers and Motor Carriers and Drivers Operating Intermodal Equipment” (73 FR 76794) (Attachment J).
On June 12, 2012, the Agency published the IEP DVIR (77 FR 34846) final rule. This final rule reduces the paperwork burden associated with the inspection, repair, and maintenance of intermodal equipment. This reduction in burden hours and paperwork burden eliminates some of the burden associated with the “Requirements for Intermodal Equipment Providers and Motor Carriers and Drivers Operating Intermodal Equipment” (73 FR 76794) final rule. The details of this reduction are described below in sections 12-15 of this request.
This information collection supports the Department of Transportation's (DOT) strategic goal of safety. The information collection ensures that motor carriers have adequate records to document the inspection, repair, and maintenance of their CMVs, and to ensure that adequate measures are taken to keep their CMVs in safe and proper operating condition at all times. Compliance with the inspection, repair, and maintenance regulations helps to reduce the likelihood of accidents attributable, in whole or in part, to the mechanical condition of the CMV.
2. How, by whom, and for what purpose is the information used:
The information is used by the FMCSA and State officials during compliance and enforcement activities to verify that a motor carrier (and, as set forth in this final rule, an IEP) has established an inspection, repair, and maintenance program for its equipment which meets the standards in part 396. During these activities, FMCSA and State officials and representatives examine the information to determine whether the motor carrier systematically inspects, repairs, and maintains all CMVs subject to its control. The systematic program must include routine inspections and maintenance. The program must also include reports of vehicle defects by drivers, thorough inspections at least once per year by qualified individuals, and performance of work on brakes by qualified employees.
It is generally recognized that there is a relationship between inspection, repair, and maintenance practices for CMVs and defect-related CMV accidents. CMVs are frequently operated in excess of 100,000 miles annually. Safety professionals, enforcement officials and personnel, and employees in the trucking and motorcoach industries recognize that documenting CMV inspection, repair, and maintenance is an important activity to the furtherance of highway safety. These records are also critically important in determining if a motor carrier's maintenance practices were causal factors in an accident.
3. Extent of automated information collection:
FMCSA does not require inspection, repair and maintenance information to be submitted to the agency. Motor carriers (and, as set forth in this final rule, IEPs) are required to maintain the equipment information at their facilities and to make the information available if requested during a compliance review or investigation. All records and documents required to be maintained may be electronically imaged and those records retained in lieu of the original record for the required retention period. Also, other records may be maintained in an electronic format provided the motor carrier can produce the information required by the regulations (January 4, 2011; 76 FR 411). Although 100% of the information could theoretically be collected electronically, FMCSA believes that only 5% is actually collected electronically. Zero percent (0%) of the information is submitted to the agency.
4. Efforts to identify duplication:
FMCSA has identified periodic inspection requirements promulgated by other agencies. Periodic inspection programs of 23 States, the District of Columbia, the Alabama Liquefied Petroleum Gas Board, 10 Canadian Provinces, and one Canadian Territory were identified as comparable to, or as effective as, the Federal periodic inspection requirements. Because they are comparable to the Federal requirements, the FMCSA’s periodic inspection and the related recordkeeping are not required for motor carriers that comply with these equivalent periodic inspection programs. In addition, CMVs passing certain roadside inspections are considered to have met the requirements of a periodic inspection; there are no additional “periodic inspection” recordkeeping requirements for these CMVs in most cases. FMCSA is not aware of any other duplicative standards or recordkeeping requirements that apply to motor carriers.
Concerning the agency regulations for IEP equipment providers once the final rule is implemented, FMCSA is aware of one State only – California – that actively regulates the inspection, repair, and maintenance of intermodal equipment, although four other States — Illinois, Louisiana, New Jersey, and South Carolina — have regulations on the subject.
5. Efforts to minimize the burden on small businesses:
Currently, the recordkeeping requirements in 49 CFR part 396 are applicable only to motor carriers operating CMVs (as defined in 49 CFR § 390.5) (Attachment K), and those subject to the FMCSRs (49 CFR § 390.3) (Attachment K). The agency estimates that there are approximately 678,535 interstate motor carriers subject to the FMCSRs. Each of these motor carriers operate vehicles that: (1) have a gross vehicle weight rating or gross weight of 10,001 pounds or more, or (2) are designed or used to transport 16 or more passengers (including the driver), or (3) are used to transport hazardous materials in a quantity requiring placarding of the vehicle. Inspection, repair, and maintenance records, therefore, are not required for vehicles with a gross vehicle weight rating or gross vehicle weight of 10,000 pounds or less (except trailers used in vehicle combinations with gross combination weight ratings of 10,001 or more pounds), vehicles designed to transport 15 or fewer passengers, and vehicles transporting non-placarded quantities of hazardous materials. A large number of small businesses operating CMVs in interstate commerce utilize these types of vehicles. FMCSA's Motor Carrier Management Information System (MCMIS) lists 547,077 active motor carriers as of August 2005 that operate between one and six power units (trucks, truck tractors, buses, or motor coaches).
There are no recordkeeping requirements for CMVs leased by motor carriers for less than 30 days. Finally, a motor carrier operating only one CMV is exempt from the driver vehicle inspection reporting requirements in 49 CFR § 396.11 (see Attachment F). The MCMIS lists 325,795 active motor carriers that operate only one CMV.
6. Impact of less frequent collection of information:
If the recordkeeping activities were required to be completed less frequently, it would greatly hinder the ability of FMCSA and State enforcement personnel to ascertain that CMVs (and, as set forth in the final rule, intermodal equipment) are satisfactorily maintained. The timely documentation of CMV inspection, repair, and maintenance enables FMCSA and State enforcement personnel to evaluate a motor carrier's CMV maintenance program. FMCSA will also be able to check the current level of regulatory compliance of the carrier at any point in its maintenance schedule or program.
7. Special circumstances:
There are no special circumstances.
8. Compliance with 5 CFR 1320.8:
On June 7, 2012, FMCSA published a notice of proposed rulemaking (NPRM) entitled “Inspection, Repair, and Maintenance; Driver-Vehicle Inspection Report for Intermodal Equipment” (76 FR 32906) (Attachment L), which proposed the elimination of the requirement for drivers operating intermodal equipment to submit and intermodal equipment providers to retain driver-vehicle inspection reports when the driver has neither found nor been made aware of any defects on the intermodal equipment used. The comments received in response to the NPRM were addressed in the final rule.
9. Payments or gifts to respondents:
Respondents are not provided with any payment or gift for this information collection.
10. Assurance of confidentiality:
This information collection involves only one reporting requirement that has no confidentiality implications. All other components of this information collection are recordkeeping requirements. Confidentiality is not an issue for recordkeeping requirements because the motor carrier retains possession of its own records.
11. Justification for collection of sensitive information:
There are no questions of a sensitive nature.
12. Estimate of burden hours for information requested:
FMCSA estimates that the current total annual hour burden of this information collection associated with systematic inspection, repair, and maintenance of is approximately 59,729,888 hours. The agency estimates that the revisions associated with the IEP DVIR
final rule would reduce approximately 1,636,000 hours, for a revised estimated burden of 58,093,888 hours. A breakdown of this information collection burden follows:
Section 396.3 of title 49, CFR, requires every interstate motor carrier to cause all CMVs subject to its control to be systematically inspected, repaired, and maintained. FMCSA estimates there are 24 recordkeeping entries related to these activities on average per year for each CMV. Each entry would take approximately 2 minutes to record. Items, such as, push-out windows, emergency doors, and, emergency door marking lights in buses must be inspected at least every 90 days, or at least 4 times per year. There is one recordkeeping entry for each of the emergency exit inspections, for a total of 4 entries per year for each bus. Also, each entry concerning emergency exit inspections would take approximately 2 minutes.
The current total burden for these recordkeeping activities is approximately 3,932,474 hours. This burden remains unchanged by the IEP DVIR rule.
A driver must prepare a written inspection report at the completion of each day's work on each CMV operated, except when his or her employing motor carrier operates only one CMV. FMCSA estimates the time for a driver to prepare a written inspection report and provide a copy to his/her employing motor carrier is approximately 2.5 minutes on average. If a driver finds evidence of a vehicle defect, section 396.11(c)(1) requires a motor carrier to certify on a driver vehicle inspection report which lists any defect or deficiency that the defect or deficiency has been corrected or that correction is unnecessary. FMCSA estimates that certification of corrective action takes 0.5 minutes. Section 396.13 requires a driver to review the last vehicle inspection report and sign it, if defects or deficiencies were noted by the driver who prepared it, to acknowledge that it was reviewed and that there is a certification that repairs were made or were unnecessary. The Agency estimates that this review takes 5 seconds (0.083 minutes) for inspection reports which have noted no vehicle defects, and 20 seconds (0.333 minutes) for reports which have noted defects. FMCSA estimates that drivers discover vehicle defects in 5 percent of inspections. The total burden per inspection when no defect is found is 2.583 minutes (2.5 minutes per inspection + 0.083 minutes to review inspection report); the total burden per inspection when a defect is found is 3.333 minutes (2.5 minutes per inspection + 0.5 minutes to certify corrective action + 0.333 minutes to review inspection report)
Carriers subject to this rule are assumed to operate their vehicles on 250 working days per year. The annual per vehicle burden is 11 hours [(250 days × ((95% inspections with no defects × 2.583 minutes per inspection) + (5% inspections with defects × 3.333 minutes per inspection))) ÷ 60 minutes per hour = 10.92 hours = 11 hours rounded].
The current total burden for these all activities related to driver pre-trip inspections is approximately 51,374,832 hours. The additional burden due to the 9-15 passenger van rule is 475,200 hours [43,200 passenger vans × 11 hours per year]. The revised annual burden is estimated to be 51,850,032 hours (51,374,832 hours + 475,200 hours).
As a result of the “Requirements for Intermodal Equipment Providers and Motor Carriers and Drivers Operating Intermodal Equipment” (73 FR 76794) final rule, drivers hauling intermodal equipment were required to fill out this driver inspection report and file it with the intermodal equipment provider. The burden hours associated with this requirement are incorporated into the 51,850,032 hours associated with this part of the information collection. The IEP DVIR final rule of June 12, 2012 eliminates the requirement that drivers transporting intermodal equipment must file an inspection report for that intermodal equipment if the driver finds no defects in the equipment, and if the driver has not been made aware of any (such as through a roadside inspection report. To restate: if no defects are found upon inspecting the intermodal equipment, and if the driver has not been made aware of any defects, the driver does not have to file an inspection report. Until this final rule, the driver had to file an inspection report whether or not defects were found. The final rule still requires drivers to inspect the intermodal equipment, and to file an inspection report if defects in the condition of the intermodal equipment are found during this inspection.
As a result of this change in the requirement concerning submittal of DVIR reports to IEPs, the paperwork burden associated with this collection is reduced as follows. Filling out a DVIR is estimated to take 2.5 minutes. Approximately 40 million of the total 1.25 billion Driver Vehicle Inspection Reports completed by the industry are for Intermodal Equipment. Approximately 95 percent of DVIRs do not note defects. Thus, by eliminating the requirement to complete a report if no defects are noted, the number of reports that must be completed is reduced by 38 million (40 million x 0.95 = 38 million). At 2.5 minutes per report, the total burden hours saved by not having to complete these reports is by 1,583,000 hours (38 million x 2.5 minutes per report / 60 minutes per hour = 1,583,333) rounded to the nearest thousand. The new burden associated with this collection is therefore 50,267,032 (51,850,032 – 1,583,000 = 50,267,032).
Once the inspection report is completed, the driver is required to review and sign the report. Reviewing and signing the inspection report is estimated to take approximately 5 seconds. The IEP DVIR rule eliminates this burden for the estimated 38 million inspections for which no defects to intermodal equipment are noted. This reduces the burden associated with this task by 53,000 hours (40 million IEP DVIR × 95 percent no defect rate × 5 seconds per DVIR ÷ 3600 seconds per hour = 52,778) rounded to the nearest thousand. This further reduces the burden to 50,214,032. The total burden reduction is 1,636,000 hours.
As this burden falls on drivers, the value of this time can be monetized using the prevailing wage for truck drivers. We use the median annual wage for BLS occupation category 53-3032 Heavy and Tractor-Trailer Truck Drivers from the May 2011 Occupational Employment and Wages report, the most recent available. The median wage for truck drivers from this report is $18.24 per hour, which we inflate by 52 percent to account for fringe benefits and 27 percent to account for overhead. This produces a total loaded hourly time value of $33, rounded to the nearest dollar (the exact amount is $32.65). The estimated costs savings is $1.42 per transaction (155 seconds x $33 per hour / 3600 seconds per hour = $1.42). The total savings annually amount to $54 (38 million units of IME x$1.42 per eliminated report = $54 million rounded to the nearest $100,000).
The driver of any CMV to which a roadside inspection is performed must deliver the inspection report to his/her employing motor carrier. If the driver is not scheduled to return or arrive at the motor carrier's facility or terminal within 24 hours, the driver must mail the roadside inspection report to the motor carrier. Upon receiving the report, the motor carrier must examine it, ensure that all noted violations and defects are corrected, certify that the violations have been corrected, and return the completed report to the agency that issued it. (Generally, this would be a State agency that is an FMCSA Motor Carrier Safety Assistance Program grantee.). If the report has no noted violations or defects, no certification or return of the report is required.
The current annual burden related to the motor carrier disposition of roadside inspection reports is 224,467 hours. This burden is not changed by the IEP DVIR rule.
Section 396.17 of title 49, CFR, prohibits a motor carrier from using a CMV unless the CMV has passed an inspection at least once during the preceding 12 months and documentation of such inspection is on the CMV. The documentation may be the inspection report prepared in accordance with § 396.21(a) or other forms of documentation, such as a sticker or decal, that contains the following information: the date of the inspection; the name and address of the motor carrier or other entity where the inspection report is maintained; information uniquely identifying the vehicle inspected if not clearly marked on the vehicle; and a certification that the vehicle has passed an inspection in accordance with § 396.17. The original or copy of an inspection report must be retained where the CMV is either housed or maintained.
FMCSA estimates that the time needed to document and retain the inspection report is approximately 3 minutes. CMVs passing roadside or periodic inspections performed under the auspices of a State government, equivalent jurisdiction, or the FMCSA, meeting the minimum standards, are not subject to the inspection requirements in 49 CFR § 396.17.
The current annual burden related to the periodic inspection is 3,685,060 hours. The burden is not changed by the IEP DVIR rule.
Motor carriers must retain evidence of an individual's qualifications to perform periodic inspections. The Agency estimates that time needed for a motor carrier to document an inspector's qualifications is approximately 5 minutes on average.
The current annual burden related to the maintaining records of inspector qualifications is 17,999 hours. This burden is not changed by the IEP DVIR rule.
No motor carrier may employ any person as a brake inspector unless; the motor carrier maintains evidence of the inspector’s qualifications at the carrier’s principal place of business, or at the location where the brake inspector is employed. If the person who inspects, repairs, services, or maintains the CMV brakes is not an employee of the motor carrier, then the motor carrier is not required to maintain qualification evidence for that person. The Agency estimates that the time needed for a motor carrier to document a brake inspector's qualifications is approximately 5 minutes on average.
The current annual burden related to the maintaining records of inspector qualifications is 19,856 hours. This burden is not changed by the IEP DVIR rule.
Estimated Number
of Annual Respondents
Current: 690,843
Estimated Number of Annual Responses:
Current: 1,442,129,680 [117,974,220 for Routine Inspection, Repair and Maintenance Records + 1,250,000,000 for DVIR, 73,701,200 for Periodic Inspection + 215,988 for Record of Inspector Qualifications + 238,272 for Evidence of Brake Inspector Qualifications.1]
The attached rule reduces responses by 38 million annually for the DVIR program area, and burden hours for that same program area by 1,636,000 annually. Burden hours and responses for other program areas are not affected by the accompanying rule. The table below presents to new estimated annual responses and burden hours for the program.
Annual Burden Hours Summary |
||
Items |
Responses |
Burden Hours |
Routine Inspection, Repair, and Maintenance Records |
117,974,220 |
3,932,474 |
Driver Vehicle Inspection Reports |
1,212,000,000 |
50,267,032 |
Periodic Inspection |
73,701,200 |
3,685,060 |
Records of Inspector Qualifications |
215,988 |
17,999 |
Evidence of Brake Inspector Qualifications |
238,272 |
19,856 |
TOTAL |
1,404,129,680 |
58,093,888 |
New Estimated Total Annual ICR Burden Hours: 58,093,888 [59,729,888 currently OMB-approved hours – 1,636,000 hours reduced due to IEP DVIR rule].
New Total Annual Estimated Number of Responses: 1,404,129,680 [1,442,129,680 current responses – 38,000,000 responses for DVIR program = 1,404,129,680].
13. Estimate of total annual costs to respondents:
The FMCSA estimates that the total annual cost to the respondents of the information collection, not including costs of associated salaries with the hour burden is approximately $433,383. These costs are wholly related to the requirement that the driver of any CMV to which a roadside inspection is performed mail the inspection report to his/her employing motor carrier if the driver is not scheduled to return or arrive at the motor carrier's facility or terminal within 24 hours.
Estimated Annual Cost to Respondents: $433,383.
14. Estimate of cost to the Federal government:
This information collection imposes no cost to the Federal government.
15. Explanation of program changes or adjustments:
The program change decrease of 1,636,000 annual burden hours is due to the elimination of regulatory requirements to complete a driver inspection report if no defects to intermodal equipment are noted during inspection and the driver receives no communication of defects, as set forth in the final rule on driver inspection, maintenance and repair of intermodal equipment of June 12, 2012 that will reduce the annual burden hours from 59,729,888 to 58,093,888.
16. Publication of results of data collection:
There are no plans to publish this collection of information for statistical use.
17. Approval for not explaining the expiration date for OMB approval:
The FMCSA is not seeking this approval.
18. Exceptions to certification statement:
The FMCSA does not claim an exception to any element of the certification statement identified in Item 19 of OMB Form 83-1.
Attachments
Attachment A – The final rule entitled, “Inspection, Repair, and maintenance; Driver-Vehicle Inspection Report for Intermodal Equipment” (77 FR 34846), [June 12, 2012].
Attachment B – Title 49 U.S.C. § 31502, “Requirements for qualification, hours of service, safety, and equipment standards.”
Attachment C – Title 49 U.S.C. § 31136, “United States Government regulations.”
Attachment D – Title 49 U.S.C. § 31142, “Inspection of vehicles.”
Attachment E – Title 49 U.S.C. § 31137(b), “Brake and brake systems maintennace regulations.“
Attachment F – Title 49 CFR part 396, “Inspection, repair, and maintenance.”
Attachment G – Title 49 CFR part 393, “Parts ands accessories necessary for safe operations.”
Attachment H – Section 4118 of SAFETEA-LU (codified at 49 U.S.C. § 31151).
Attachment I – Section 4136 0f SAFETEA-LU (codified at 49 U.S.C. § 31136).
Attachment J – Final rule entitled, “Requirements for Intermodal Equipment Providers and Motor Carriers and Drivers Operating Intermodal Equipment” (73 FR 76796), December 17, 2008.
Attachment K – Title 49 CFR §§ 390.5 and 390.3, Federal Motor Carrier Safety Regulations; General.”
Attachment L - NPRM entitled, “Inspection, Repair, and Maintenance; Driver-Vehicle Inspection Report for Intermodal Equipment” (76 FR 32906), June 7, 2011.
1 The current approved in ROCIS is listed as 690,843, but this number lists the number of respondents, not the number of responses, and has not been updated for several approval cycles.
| File Type | application/msword |
| File Title | Supporting Statement Inspection, Repair, and Maintenance |
| Author | DMF |
| Last Modified By | herman.dogan |
| File Modified | 2012-11-19 |
| File Created | 2012-11-19 |