Inspection/Maintenance Reporting Checklist

40 CFR Part 51 - Subpart S Inspection/Maintenance Program Requirements

51.366 - Data Analysis and Reporting Requirements

Reporting Requirement	Reviewer Comments / Location in State Report	Has the State Met the Requirement?
(a) Test Data Report The program shall submit to EPA by July of each year a report providing basic statistics on the testing program for January through December of the previous year, including:
(1) The number of vehicles tested by model year and vehicle type;
(2) By model year and vehicle type, the number and percentage of vehicles:
(i) Failing initially, per test type;
(ii) Failing the first retest per test type;
(iii) Passing the first retest per test type;
(iv) Initially failed vehicles passing the second or subsequent retest per test type;
(v) Initially failed vehicles receiving a waiver; and
(vi) Vehicles with no known final outcome (regardless of reason). (vii)-(x) [Reserved]
(xi) Passing the on-board diagnostic check;
(xii) Failing the on-board diagnostic check;
(xiii) Failing the on-board diagnostic check and passing the tailpipe test (if applicable);
(xiv) Failing the on-board diagnostic check and failing the tailpipe test (if applicable);
(xv) Passing the on-board diagnostic check and failing the I/M gas cap evaporative system test (if applicable);
(xvi) Failing the on-board diagnostic check and passing the I/M gas cap evaporative system test (if applicable);
(xvii) Passing both the on-board diagnostic check and I/M gas cap evaporative system test (if applicable);
(xviii) Failing both the on-board diagnostic check and I/M gas cap evaporative system test (if applicable);
(xix) MIL is commanded on and no codes are stored;
(xx) MIL is not commanded on and codes are stored;
(xxi) MIL is commanded on and codes are stored;
(xxii) MIL is not commanded on and codes are not stored;
(xxiii) Readiness status indicates that the evaluation is not complete for any module supported by on-board diagnostic systems;
(3) The initial test volume by model year and test station;
(4) The initial test failure rate by model year and test station; and
(5) The average increase or decrease in tailpipe emission levels for HC, CO, and NOX (if applicable) after repairs by model year and vehicle type for vehicles receiving a mass emissions test.
(b) Quality assurance report. The program shall submit to EPA by July of each year a report providing basic statistics on the quality assurance program for January through December of the previous year, including:
(1) The number of inspection stations and lanes:
(i) Operating throughout the year; and
(2) The number of inspection stations and lanes operating throughout the year:
(i) Receiving overt performance audits in the year;
(ii) Not receiving overt performance audits in the year;
(iii) Receiving covert performance audits in the year;
(iv) Not receiving covert performance audits in the year; and
(v) That have been shut down as a result of overt performance audits;
(3) The number of covert audits:
(i) Conducted with the vehicle set to fail per test type;
(ii) Conducted with the vehicle set to fail any combination of two or more test types;
(iii) Resulting in a false pass per test type;
(iv) Resulting in a false pass for any combination of two or more test types;
(4) The number of inspectors and stations:
(i) That were suspended, fired, or otherwise prohibited from testing as a result of covert audits;
(ii) That were suspended, fired, or otherwise prohibited from testing for other causes; and
(iii) That received fines;
(5) The number of inspectors licensed or certified to conduct testing;
(6) The number of hearings:
(i) Held to consider adverse actions against inspectors and stations; and
(ii) Resulting in adverse actions against inspectors and stations;
(7) The total amount collected in fines from inspectors and stations by type of violation;
(8) The total number of covert vehicles available for undercover audits over the year; and
(9) The number of covert auditors available for undercover audits.
(c) Quality control report The program shall submit to EPA by July of each year a report providing basic statistics on the quality control program for January through December of the previous year, including:
(1) The number of emission testing sites and lanes in use in the program;
(2) The number of equipment audits by station and lane;
(3) The number and percentage of stations that have failed equipment audits; and
(4) Number and percentage of stations and lanes shut down as a result of equipment audits.
(d) Enforcement report. (1) All varieties of enforcement programs shall, at a minimum, submit to EPA by July of each year a report providing basic statistics on the enforcement program for January through December of the previous year, including:
(i) An estimate of the number of vehicles subject to the inspection program, including the results of an analysis of the registration data base;
(ii) The percentage of motorist compliance based upon a comparison of the number of valid final tests with the number of subject vehicles;
(iii) The total number of compliance documents issued to inspection stations;
(iv) The number of missing compliance documents;
(v) The number of time extensions and other exemptions granted to motorists; and
(vi) The number of compliance surveys conducted, number of vehicles surveyed in each, and the compliance rates found.
(2) Registration denial based enforcement programs shall provide the following additional information:
(i) A report of the program's efforts and actions to prevent motorists from falsely registering vehicles out of the program area or falsely changing fuel type or weight class on the vehicle registration, and the results of special studies to investigate the frequency of such activity; and
(ii) The number of registration file audits, number of registrations reviewed, and compliance rates found in such audits.
(3) Computer-matching based enforcement programs shall provide the following additional information:
(i) The number and percentage of subject vehicles that were tested by the initial deadline, and by other milestones in the cycle;
(ii) A report on the program's efforts to detect and enforce against motorists falsely changing vehicle classifications to circumvent program requirements, and the frequency of this type of activity; and
(iii) The number of enforcement system audits, and the error rate found during those audits.
(4) Sticker-based enforcement systems shall provide the following additional information:
(i) A report on the program's efforts to prevent, detect, and enforce against sticker theft and counterfeiting, and the frequency of this type of activity;
(ii) A report on the program's efforts to detect and enforce against motorists falsely changing vehicle classifications to circumvent program requirements, and the frequency of this type of activity; and
(iii) The number of parking lot sticker audits conducted, the number of vehicles surveyed in each, and the noncompliance rate found during those audits.
(e) Additional reporting requirements. In addition to the annual reports in paragraphs (a) through (d) of this section, programs shall submit to EPA by July of every other year, biennial reports addressing:
(1) Any changes made in program design, funding, personnel levels, procedures, regulations, and legal authority, with detailed discussion and evaluation of the impact on the program of all such changes; and
(2) Any weaknesses or problems identified in the program within the two-year reporting period, what steps have already been taken to correct those problems, the results of those steps, and any future efforts planned.

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