Supporting
Statement
for
Information
Collection
Request
Emission
Defect
Information
Reports
and
Voluntary
Emission
Recall
Reports
(
Renewal)

42
USC
7521
§
206
42
USC
7521
§
213(
d)
40
CFR
Part
85
40
CFR
Part
89
40
CFR
Part
90
40
CFR
Part
91
40
CFR
Part
92
January
2004
Certification
and
Compliance
Division
Office
of
Transportation
and
Air
Quality
Office
of
Air
and
Radiation
U.
S.
Environmental
Protection
Agency
1
1.
Identification
of
the
Information
Collection
1
(
a)
Title
and
Number
of
the
Information
Collection
Emission
Defect
Information
Reports
and
Voluntary
Emission
Recall
Reports
(
Renewal),
EPA
Number
0282.13,
OMB
Control
Number
2060­
0048.

1(
b)
Short
Characterization
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
2
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
Engine
Programs
Group
(
EPG),
Certification
and
Compliance
Division
(
CCD),
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.

It
has
been
estimated
that
a
total
of
17
engine
manufacturers
will
respond
to
this
collection
with
an
approximate
cost
of
$
265,971.

In
preparation
of
the
renewal
package
of
this
ICR,
EPA
has
considered
OMB's
Terms
of
Clearance
which
accompanied
the
approval
of
the
currently
active
ICR.
In
the
2001
Terms
of
Clearance,
OMB
requested
that
"
when
EPA
next
submits
the
collection
to
OMB
for
revision
or
renewal,
the
Agency
should
account
for
any
non­
labor
costs
associated
with
this
collection."
In
response,
EPA
has
assessed
both
the
Operating
and
Maintenance
(
O&
M)
Costs
and
Capital
Costs
associated
with
the
activities
in
this
ICR.
EPA
has
determined
that
respondents
incur
in
a
total
of
$
413
in
O&
M
Costs
and
no
capital
costs.
Please
refer
to
section
6(
b)(
ii)
for
details.

2.
Need
for
and
Use
of
the
Collection
2(
a)
Need/
Authority
for
the
Collection
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
3
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
regulations
thereunder.
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
Engines)
°
40
CFR
part
92,
subpart
E
(
Locomotives
and
Locomotive
Engines)

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
EPG/
CCD/
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.
4
3.
Nonduplication,
Consultations
and
Other
Collection
Criteria
3(
a)
Nonduplication
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.

3(
b)
Public
Notice
Required
Prior
to
ICR
Submission
to
OMB
An
announcement
of
the
public
comment
period
for
this
ICR
renewal
was
published
in
the
Federal
Register
on
November
26,
2003
(
68
Federal
Register
66412).
No
comments
were
received.
A
copy
of
the
FR
notice
is
attached.

3(
c)
Consultations
EPA
consulted
less
than
ten
past
respondents
regarding
this
information
collection
burden.

Contact:
Mr.
Jeffrey
Marsee
Company:
Isuzu
Phone:
734.455.7552
x.
262
Contact:
Mr.
Bill
Passie
Company:
Caterpillar
Phone:
309.675.5362
Contact:
Mr.
Richard
Jass
Company:
International
Truck
and
Engine
Corporation
Phone:
708.865.3103
3(
d)
Effects
of
Less
Frequent
Collection
Defect
Information
Reports
are
only
collected
on
occasion,
when
a
manufacturer
has
reason
to
believe
that
a
substantial
number
of
its
engines,
within
a
particular
class
or
family,
may
have
an
emissions­
related
defect.
Manufacturers
are
required
to
provide
this
information
only
when
potential
violations
exist.

Follow­
up
progress
reports
on
voluntary
recalls
are
used
to
monitor
the
progress
of
a
recall
campaign,
observing
the
5
promptness
with
which
engines
subject
to
the
recall
receive
the
remedial
repair.
These
reports
are
collected
quarterly
for
two
reasons:
(
1)
Engine
manufacturing
companies
update
their
internal
activities
reports
every
quarter.
By
reviewing
the
effectiveness
of
a
recall
campaign
also
on
a
quarterly
basis,
manufacturers
are
able
to
learn
about
and
address
any
problems
early,
before
the
start
of
the
next
quarter's
activities,
thus
minimizing
costs.
(
2)
Also,
experience
has
shown
that
the
quarterly
reporting
interval
is
generally
the
minimum
interval
for
effective
oversight
of
a
recall
campaign.

Less
frequent
collection
of
DIRs
and
VERRs
would
allow
potential
violations
to
go
undetected.

3(
e)
General
Guidelines
According
to
40
CFR
89.1906(
b),
90.805(
b)
and
91.905(
b),
the
information
gathered
by
the
manufacturer
to
compile
the
reports
must
be
kept
for
five
years.
Locomotive
and
locomotive
engine
manufacturers
responding
to
this
collection
must
keep
records
for
eight
years
(
90.406(
b)).
This
requirement
stems
from
the
CAA
mandate
that
manufacturers
recall
engines
failing
to
meet
emission
standards
throughout
their
useful
lives.
Records
may
be
kept
electronically.

Under
this
information
collection,
manufacturers
may
submit
certain
sensitive
technical
and
proprietary
information
related
to
engine
design.
This
information
is
kept
confidential
in
accordance
with
the
Freedom
of
Information
Act,
EPA
regulations
at
40
CFR
part
2,
and
class
determinations
issued
by
EPA's
Office
of
General
Counsel.

No
other
general
guideline
is
exceeded
by
this
information
collection.

3(
f)
Confidentiality
Manufacturers
are
allowed
to
assert
a
claim
of
confidentiality
over
information
provided
to
EPA.
Confidentiality
is
provided
in
accordance
with
the
Freedom
of
Information
Act
and
EPA
regulations
at
40
CFR
part
2.

3(
g)
Sensitive
Questions
6
No
questions
of
a
sensitive
nature
are
asked.

4.
Respondents
and
Information
Requested
4(
a)
Respondents/
NAICS
Codes
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
4(
b)
Information
Requested
(
i)
Data
Items
Tables
A
through
E
list
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.

Manufacturers
of
on­
highway,
heavy­
duty
engines,
non­
road
compression­
ignition
engines,
non­
road
spark­
ignition
engines,
marine
engines
and
locomotives
are
all
subject
to
defect
information
requirements.
These
requirements
are
codified
at
the
applicable
Part
of
the
Code
of
Federal
Regulations,
as
follows:

°
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
Engines)
°
40
CFR
part
92,
subpart
E
(
Locomotives
and
Locomotive
Engines)

However,
for
some
engine
categories,
the
actual
information
requirements
are
listed
at
40
CFR
85
Section
T.

A.
Defect
Information
Reports
(
DIRs)
7
Manufacturers
are
required
to
submit
defect
information
reports
only
when
their
data
indicates
that
an
emission­
related
defect
may
exist
in
twenty­
five
engines
or
more
(
10
for
locomotives)
of
the
same
model
year.
The
reports
must
be
submitted
within
15
working
days
after
the
defect
is
found
(
40
CFR
Parts
85.1903,
90.803(
c),
and
92.403(
b)).
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.

Table
A
Defect
Information
Reports
Data
Item
Trucks,
Non­
road
CI
and
Marine
Engines
Non­
road
SI
Engines
Locomotives
The
manufacturer's
corporate
name
§
85.1903
(
c)(
1)
§
90.803
(
d)(
1)
§
92.403
(
c)(
1)

A
description
of
the
defect
§
85.1903
(
c)(
2)
§
90.803
(
d)(
2)
§
92.403
(
c)(
2)

A
description
of
the
class
or
category
of
engines
§
85.1903
(
c)(
3)
§
90.803
(
d)(
3)
§
92.403
(
c)(
3)

Number
of
vehicle
or
engines
estimated
or
known
to
have
the
defect
and
explanation
of
derivation.
§
85.1903
(
c)(
4)
(
i)
§
90.803
(
d)(
4)
(
i)
§
92.403
(
c)(
4)(
i)

The
address
of
the
plant(
s)
where
they
were
produced
§
85.1903
(
c)(
4)
(
ii)
§
90.803
(
d)(
4)
(
ii)
§
92.403
(
c)(
4)(
ii)

Evaluation
of
the
emissions
impact
and
any
driveability
problems
it
might
cause
§
85.1903
(
c)(
5)
§
90.803
(
d)(
5)
§
92.403
(
c)(
5)

Available
emissions
data
related
to
the
defect
§
85.1903
(
c)(
6)
§
90.803
(
d)(
6)
§
92.403
(
c)(
6)

Indication
of
any
anticipated
manufacturer
follow­
up
§
85.1903
(
c)(
7)
§
90.803
(
d)(
7)
§
92.403
(
c)(
7)
8
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
(
40
CFR
Parts
85.1904(
a),
90.804(
a),
92.404(
a)).

Table
B
Voluntary
Emission
Recall
Reports
Data
Item
Trucks
and
Non­
road
CI
Engines
Non­
road
SI
Engines
Marine
Engines
Locomotives
A
description
of
the
class
or
category
of
engines
being
recalled
§
85.1904
(
a)(
1)
§
90.804
(
d)(
1)
§
91.904
(
a)(
1)
§
92.404(
a)
(
1)

A
description
of
the
modifications
or
repairs
made
to
correct
the
defects
§
85.1904
(
a)(
2)
§
90.804
(
d)(
2)
§
91.904
(
a)(
2)
§
92.404(
a)
(
2)

A
description
of
the
method
being
used
to
identify
and
contact
the
owners
§
85.1904
(
a)(
3)
§
90.804
(
d)(
3)
§
91.904
(
a)(
3)
§
92.404(
a)
(
3)

A
description
of
any
conditions
for
eligibility
for
repair
and
any
reasons
for
the
conditions
§
85.1904
(
a)(
4)
§
90.804
(
d)(
4)
§
91.904
(
a)(
4)
§
92.404(
a)
(
4)

A
description
of
the
procedure
to
be
followed
by
the
owner
to
obtain
repairs
and
where
the
repairs
can
be
obtained
§
85.1904
(
a)(
5)
§
90.804
(
d)(
5)
§
91.904
(
a)(
5)
§
92.404(
a)
(
5)
9
If
repairs
are
not
being
performed
at
dealers,
a
description
of
who
will
perform
the
repairs
and
where
the
defect
will
be
remedied
§
85.1904
(
a)(
6)
§
90.804
(
d)(
6)
§
91.904
(
a)(
6)
§
92.404(
a)
(
6)

Copies
of
the
letters
of
notification
to
be
sent
to
the
vehicle
owners
§
85.1904
(
a)(
7)
§
90.804
(
d)(
7)
N/
A
§
92.404(
a)
(
7)

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.
§
85.1904
(
a)(
8)
§
90.804
(
d)(
8)
§
91.904
(
a)(
7)
§
92.404(
a)
(
8)

Copies
of
all
necessary
instructions
to
be
sent
to
the
persons
who
are
to
perform
the
repairs
§
85.1904
(
a)(
9)
§
90.804
(
d)(
9)
N/
A
§
92.404(
a)
(
9)

A
description
of
the
impact
of
the
proposed
changes
on
fuel
consumption,
driveability,
and
safety
of
the
engines
§
85.1904
(
a)(
10)
§
90.804
(
d)(
10)
N/
A
§
92.404(
a)
(
10)

A
sample
of
any
labels
to
be
applied
to
the
participant
engines
identifying
the
recall
being
performed
§
85.1904
(
a)(
11)
§
90.804
(
d)(
11)
N/
A
§
92.404(
a)
(
11)

C.
VERR
Progress
Reports
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
10
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)).

Table
C
VERR
Progress
Reports
for
On­
highway
Heavy­
duty
Truck
Engines,
Non­
road
Compression­
ignition
(
CI)
Engines
and
Locomotives
Data
Item
Trucks
and
Non­
road
CI
Locomotives
Recall
campaign
number
§
85.1904
(
b)(
1)
§
92.405(
b)
(
1)

Date
of
owner
notification
and
completion
§
85.1904
(
b)(
2)
§
92.405(
b)
(
2)

Number
of
engines
involved
§
85.1904
(
b)(
3)
§
92.405(
b)
(
3)

Number
of
engines
known
or
estimated
to
be
affected
by
the
defect
§
85.1904
(
b)(
4)
§
92.405(
b)
(
4)

Number
of
or
engines
brought
in
and
inspected
as
part
of
the
campaign
§
85.1904
(
b)(
5)
§
92.405(
b)
(
5)

Number
of
engines
found
to
have
the
defect
after
inspection
§
85.1904
(
b)(
6)
§
92.405(
b)
(
6)

Number
of
engines
actually
receiving
repair
§
85.1904
(
b)(
7)
§
92.405(
b)
(
7)

Number
of
engines
determined
to
be
unavailable
due
to
exportation,
theft,
scrapping
or
other
reasons
§
85.1904
(
b)(
8)
§
92.405(
b)
(
8)

Number
of
engines
determined
to
be
ineligible
because
of
improper
maintenance
or
use
§
85.1904
(
b)(
9)
§
92.405(
b)
(
9)
11
Copies
of
any
service
bulletins
sent
to
dealers
which
relate
to
the
defect
that
had
not
previously
been
reported
§
85.1904
(
b)(
10)
§
92.405(
b)
(
10)

Copies
of
all
communications
transmitted
to
vehicle
owners
which
relate
to
the
defect
to
be
corrected
not
previously
submitted
§
85.1904
(
b)(
11)
§
92.405(
b)
(
11)

Revisions
to
any
of
the
information
previously
submitted
§
85.1904
(
c)
§
92.405(
c)

Vehicle
owner
contact
information
upon
request
§
85.1904
(
e)
§
92.405(
e)

Table
D
VERR
Progress
Reports
for
Non­
road
Spark­
ignition
(
SI)
Engines
and
Marine
Engines
Data
Items
SI
Engines
Marine
Engines
Methods
used
to
notify
owners
and
dealers
§
90.804
(
b)(
1)
§
91.904(
b)
(
1)

Number
of
engines
known
or
estimated
to
be
affected
§
90.804
(
b)(
2)
§
91.904(
b)
(
2)

Number
of
engines
actually
being
repaired
§
90.804
(
b)(
3)
§
91.904(
b)
(
3)

Number
of
owners
and
dealers
involved
N/
A
§
91.904(
b)
(
4)

Number
of
engines
determined
to
be
ineligible
because
of
improper
maintenance
or
use
§
90.804
(
b)(
4)
§
91.904(
b)
(
5)

D.
Recordkeeping
Requirements
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)).
Locomotive
and
12
locomotive
engine
manufacturers,
however,
must
keep
these
records
for
eight
years
(
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
maintain,
"
in
a
form
suitable
for
inspection,
such
as
computer
information
storage
devices
or
card
files":

Table
E
Recordkeeping
Requirements
Data
Items
Trucks,
NR
CI,
NR
SI
and
Marine
Engines
Locomotives
The
names
and
addresses
of
vehicle
or
engine
owners:
§
85.1904(
d)
§
92.404(
d)

To
whom
notification
was
given
§
85.1904(
d)(
1)
§
92.404(
d)
(
1)

Who
received
remedial
repair
or
inspection
§
85.1904(
d)(
2)
§
92.404(
d)
(
2)

Who
was
determined
not
to
be
eligible
because
of
improper
maintenance
or
use
§
85.1904(
d)(
3)
§
92.404(
d)
(
3)

(
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
13
5.
The
Information
Collected­­
Agency
Activities,
Collection
Methodology,
and
Information
Management
5(
a)
Agency
Activities
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
5(
b)
Collection
Methodology
and
Management
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.

5(
c)
Small
Entity
Flexibility
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.
14
Further
measures
to
simplify
reporting
requirements
for
small
businesses
do
not
appear
prudent
or
necessary.

5(
d)
Collection
Schedule
DIRs
are
collected
on
occasion
only.
Manufacturers
need
to
submit
a
DIR
only
when
it
becomes
aware
of
emissions­
related
defects
in
25
engines
or
more
(
10
for
locomotives)
of
the
same
model
year.
The
report
is
due
15
working
days
after
the
defect
is
found.

VERRs
are
also
required
on
occasion,
when
a
manufacturer
initiates
a
voluntary
recall
campaign
of
25
or
more
engines
(
one
for
locomotives).
VERRs
must
be
submitted
no
later
than
15
working
days
after
owner
notification
is
initiated.

After
a
voluntary
recall
campaign
is
initiated,
manufacturers
need
to
submit
update
reports
describing
the
progress
of
the
campaign.
Manufacturers
of
heavy­
duty
trucks,
non­
road
compression­
ignition
engines
and
locomotive
engines
need
to
submit
six
quarterly
progress
reports
(
40
CFR
85.1904(
b)
and
40
CFR
92.404(
b)).
These
reports
are
due
25
working
days
after
the
end
of
each
calendar
quarter.
Manufacturers
of
non­
road
sparkignition
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
on
year
from
the
start
of
owner
notification
(
40
CFR
90.804(
b)).

6.
Estimating
the
Burden
and
Cost
of
the
Collection
Please
refer
to
Tables
1
and
2
for
details.

6(
a)
Estimating
Respondent
Burden
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.

6(
b)
Estimating
Respondent
Costs
(
i)
Estimating
Labor
Costs
To
estimate
labor
costs,
EPA
used
the
Bureau
of
Labor
Statistics'
cost
estimates
for
the
Engine
and
Turbines
Industry
15
(
SIC
351)
and
increased
them
by
a
factor
of
110%
to
account
for
benefits
and
overhead.
The
specific
rates
used
are
listed
below.
These
are
mean
hourly
rates.

Table
3
Labor
Costs
Estimates
Occupation
SOC
Code
Number
Mean
Hourly
Rate
(
BLS)
110%

Mechanical
Engineers
17­
2141
$
28.86
$
60.61
Engineering
Managers
11­
9041
$
43.34
$
91.01
Lawyers
23­
1011
$
44.19
$
92.80
Secretaries,
Except
Legal,
Medical
and
Executive
43­
6014
$
14.22
$
29.86
(
ii)
Estimating
Capital
and
Operations
and
Maintenance
Costs
Operation
and
Maintenance
costs
(
O&
M
Costs)
associated
with
this
information
collection
include
diskettes,
photocopying,
postage
and
other
shipping
expenses
and
phone
calls.
Diskettes
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.
16
(
iv)
Annualizing
capital
costs
There
are
no
capital
start­
up
costs
associated
with
this
information
collection.

6(
c)
Estimating
Agency
Burden
Table
4
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
and
adjusted
by
a
factor
of
1.6
to
account
for
benefits
and
overhead.

Table
4
Agency
Labor
Costs
Occupation
Hourly
Rate
1.6
Engineer
(
GS­
13)
$
33.09
$
52.94
Lawyers
(
GS­
13/
7)
$
39.71
$
63.54
Table
5
explains
EPA's
overall
burden
associated
with
this
information
collection.

6(
d)
Estimating
the
Respondent
Universe
and
Total
Burden
and
Costs
In
average,
EPA
expects
to
receive
approximately
17
DIRs
from
17
different
respondents,
annually.
Four
respondents
submit
about
5
VERRs
every
year.
Four
of
these
respondents
are
heavy­
duty
truck
or
non­
road
compression­
ignition
engine
manufactures.
The
other
is
manufacturer
of
either
marine
or
non­
road
spark­
ignition
engines.

As
noted
earlier,
the
number
of
VERR
Progress
Reports
a
manufacturer
needs
to
submit
depends
on
the
type
of
engine
it
manufactures.
Manufacturers
of
heavy­
duty
trucks,
non­
road
compression­
ignition
engines
and
locomotives
need
to
submit
6
quarterly
reports
per
VERR
filed,
which
results
in
2
reports
per
year
when
that
number
is
annualized
over
the
three­
year
period
17
that
this
ICR
covers.

Manufacturers
of
non­
road
spark­
ignition
engines
and
marine
engines
need
to
submit
only
one
progress
report
per
VERR
filed.
Only
one
manufacturer
from
this
category
usually
files
a
VERR
during
any
three­
year
period.
That
comes
to
0.3
reports
per
year
per
respondent
when
annualized.

6(
e)
Bottom
Line
Burden
Hours
and
Cost
Tables
(
i)
Respondent
Tally
Table
6
Total
Estimated
Respondent
Burden
And
Cost
Summary
Type
of
Respondent
Number
of
Respon
Number
of
Activi
ties
Total
Hours
per
Year
Total
Labor
Cost
per
Year
Total
Capital
Costs
per
Year
Total
O&
M
Costs
per
Year
Total
Costs
Trucks,
CI
engines
and
locomotives
10
13
2926
$
174,191
0
318
$
174,509
Marine
and
Small
SI
engines
7
13
1491
$
91,367
0
95
$
91,462
Total
17
13
4417
$
265,558
0
413
$
265,971
(
ii)
The
Agency
Tally
Table
7
Total
Estimated
Agency
Burden
And
Cost
Summary
Number
of
Reports
Number
of
Activities
Total
Hours
per
Year
Total
Labor
Cost
per
Year
Total
Capital
Costs
per
Year
Total
O&
M
Costs
per
Year
Total
Costs
29.6
10
323
$
17,810
0
268
$
18,077
18
6(
f)
Reasons
for
change
in
burden
There
is
a
decrease
of
508
hours
in
the
total
estimated
burden
currently
identified
in
the
OMB
Inventory
of
Approved
ICR
Burdens.
This
decrease
is
due
to
the
correction
of
a
mistake
made
in
the
original
calculations.
The
decrease
in
burden
is,
therefore,
due
to
an
adjustment
to
the
estimates.

6(
g)
Burden
Statement
The
annual
public
reporting
and
recordkeeping
burden
for
this
collection
is
estimated
to
average
260
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.
OAR­
2003­
0059,
which
is
available
for
public
viewing
at
the
Air
and
Radiation
Docket
and
Information
Center
in
the
EPA
Docket
Center
(
EPA/
DC),
EPA
West,
Room
B102,
1301
Constitution
Ave.,
NW,
Washington,
DC.
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
and
Information
Center
is
(
202)
566­
1742.
An
electronic
version
of
the
public
docket
is
available
through
EPA
Dockets
(
EDOCKET)
at
http://
www.
epa.
gov/
edocket.
Use
EDOCKET
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.
Once
in
the
system,
select
19
"
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.
OAR­
2003­
0059
and
OMB
control
number
(
2060­
0048)
in
any
correspondence.
