Draft

Supporting Statement

for

Information Collection Request

Emission Control System Performance Warranty Regulations 

and Voluntary Aftermarket Part Certification Program

(Renewal)

ICR 0116.8

OMB 2060-0060

42 USC 7521 §207(a)

40 CFR Part 85

September 2006

Compliance and Innovative Strategies 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

	Emission Control System Performance Warranty Regulations and Voluntary
Aftermarket Part Certification Program (Renewal), EPA Number 0116.08,
OMB Control Number 2060-0060.

1(b) Short Characterization

	Under Section 206(a) of the Clean Air Act (CAA, 42 USC 7521),
on-highway engine and vehicle manufacturers may not legally introduce
their products into US commerce unless EPA has certified that their
production complies with applicable emission standards. Per section
207(a), original vehicle manufacturers must warrant that vehicles are
free from defects in materials and workmanship that would cause the
vehicle not to comply with emission regulations during its useful life. 
Section 207(a) directs EPA to provide certification to those
manufacturers or builders of automotive aftermarket parts that
demonstrate that the installation and use of their products will not
cause failure of the engine or vehicle to comply with emission
standards.  An aftermarket part is any part offered for sale for
installation in or on a motor vehicle after such vehicle has left the
vehicle manufacturer’s production line (40 CFR 85.2113(b)). 
Participation in the aftermarket certification program is voluntary.

	Aftermarket part manufacturers or builders (manufacturers) electing to
participate conduct emission and durability testing as described in 40
CFR part 85, subpart V, and submit data about their products and testing
procedures.

	This information is collected by the Compliance and Innovative
Strategies Division (CISD), Office of Transportation and Air Quality
(OTAQ), Office of Air and Radiation (OAR), U.S. Environmental Protection
Agency (EPA).  Besides CISD, 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 could be used by trade associations, environmental groups,
and the public.

	

	Due to the fact that EPA has received only two aftermarket part
certification applications since 1989, the Agency does not expect to
receive any applications in the next three years.  However, for the
purposes of this information collection request, EPA has assumed that
one manufacturer will apply for aftermarket part certification during
the three-year period covered by this collection with an approximate
annualized cost of $11,779. 

	

2.  	Need for and Use of the Collection

2(a)	Need/Authority for the Collection

	EPA’s emission certification programs, including aftermarket part
certification, are statutorily mandated; the agency does not have
discretion to cease these functions. Section 207(a) of the CAA mandates
EPA to provide emissions compliance certification for manufacturers of
automotive aftermarket parts that wish to certify their products. 
Regulations implementing this requirement are found at 40 CFR part 85,
subpart V.

	The information collected under this request is needed to insure that
aftermarket parts do not cause vehicles to exceed emission standards and
to enforce the CAA’s warranty requirements.  Original vehicle
manufacturers are required to honor warranty claims where the
malfunction was caused by a certified aftermarket part.  If the
aftermarket part was not certified, the original vehicle manufacturer
can deny the claim. 

2(b)	Practical Utility/Users of the Data  	

	EPA would use the information to investigate warranty claim denials and
possible tampering violations and to inform the public about what parts
are certified.

 	The information would be received and used by CISD/OTAQ/OAR. 
Non-confidential portions of the information submitted to OPG would be
available to be used by importers, environmental groups, members of the
public and local, state and federal government organizations.

						

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 September XX, 2006 (XX Federal
Register XXXX).  No comments were received.  A copy of the FR notice is
attached.

3(c)	Consultations

Since no aftermarket part certification applications have been received
during the last several years, burden estimates are based on estimates
developed in 1986.  These estimates were developed using information
obtained during informal conversations with Mr. Robert Burch from the
Specialty Equipment Marketing Associations (SEMA) and Mr. Joseph
Dougherty from the Motor and Equipment Manufacturing Association (MEMA).

3(d)	Effects of Less Frequent Collection

	The information requested is only collected on occasion, when a
manufacturer elects to submit an application for aftermarket part
certification.

3(e)	General Guidelines	

	According to 40 CFR 85.2120(a), the information gathered by the
manufacturer to compile aftermarket part applications must be kept for
five years unless the part has been certified for use exclusively in
vehicles with less than five years of emission warranty coverage
remaining (see section 4(b)(i)(B) for details).  The five-year
recordkeeping requirement stems from the CAA mandate that manufacturers
recall engines failing to meet emission standards throughout their
useful lives. 

	Under this information collection, manufacturers may submit certain
sensitive technical and proprietary information related to part 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

	No sensitive questions are asked.

4.	Respondents and Information Requested

4(a)	Respondents/NAICS Codes

	Respondents are manufacturers of on-highway vehicles within the
following North American Industry Classification System (NAICS) code:

336312 Gasoline Engine and Engine Parts Manufacturing

	

4(b)	Information Requested

	(i)	Data Items  

	Tables A and B list the data items requested under this information
collection.

Notification of intent to certify

	Manufacturers of automotive aftermarket parts who wish to get their
product certified need to submit, at least 45 days prior to the sale of
the part, a ‘Notification of Intent’ or application with the
following information.  

Table A

Notification of Intent to Certify

Identification of each part to be certified	85.2115(a)(1)(i)

Identification of the vehicle or engine configurations for which the
part is being certified	85.2115(a)(1)(ii)

Technical information requested in 85.2114	85.2115(a)(1)(iii)

Any waivers previously obtained and all correspondence with EPA
regarding certification of the part	85.2115(a)(1)(iv)

A description of all tests, techniques, procedures, statistical
analysis, etc. used to demonstrate compliance	85.2115(a)(1)(v)

All results and documentation pertaining to durability and emissions
tests per 85.2114	85.2115(a)(1)(vi)

A justification for forgoing any part of the Federal Test Procedure, if
applicable	85.2115(a)(1)(vii)

A description of the criteria used to select the test part and a
statement that the test part is representative of production parts
85.2115(a)(1)(viii)

A description of the vehicle in which the part was tested and an
explanation of why it represents the worst emissions case of all
configurations for which this part is being certified	85.2115(a)(1)(ix)

The service intervals, including maintenance and replacement intervals,
and a statement indicating whether it is different for the original part
intervals	85.2115(a)(1)(x)

A description of the label and whether it complies with EPA requirements
85.2115(a)(1)(xi)

Acceptance of the warranty and dispute resolution requirements in
85.2117	85.2115(a)(1)(xii)

A statement of commitment to comply with all terms and conditions of
85.2115	85.2115(a)(1)(xiii)

A statement that the replacement part will not cause a substantial
increase in emissions in any normal driving mode not represented during
testing	85.2115(a)(1)(xiv)

Contact information	85.2115(a)(1)(xv)



	EPA may deny certification if the Agency finds that the manufacturer
did not prove compliance or that the documentation submitted was not
adequate (85.2116).  The Agency may also de-certify a part if it has
reason to believe that the manufacturer did not comply with the
regulations (85.2121).  In both cases, the affected manufacturer may
appeal the decision, in writing, within 20 days of receipt of the
decision.

	If a part is modified after certification has been granted, the
manufacturer must re-certify the part if the modification could affect
vehicle emissions and/or the durability of the part or other components
of the vehicle (85.2118).  There are also labeling requirements
(85.2119).

	Manufacturers are also required to warrant their products “for the
remaining performance warranty period of any vehicle on which the part
is installed, or for the warranty period specified for an equivalent
original equipment component, if this period is shorter than the
remaining warranty period of the vehicle” (85.2117).  Manufacturers
must also reimburse original vehicle manufacturers for any reasonable
expenses incurred by the original vehicle manufacturer as a result of
honoring a warranty claim where a certified aftermarket part was found
to have caused the problem.  40 CFR 85.2117 and Appendix II contain the
procedures an original vehicle manufacturer must follow when pursuing
reimbursement from an aftermarket part manufacturer.

Recordkeeping

	For each certified part, manufacturers must maintain, for five years
(85.2120(a)), the following records:

Table B

Recordkeeping Requirements

Detailed production drawings	85.2120(a)(1)

A description of the testing program	85.2120(a)(2)

All test data and subsequent analyses 	85.2120(a)(3)

Information used to determine equivalency with original parts
85.2120(a)(4)

A description of quality control plans and compliance assurance
85.2120(a)(5)

All data taken during quality control and subsequent analyses
85.2120(a)(6)

A description of all techniques used to determine emission critical
parameter specifications	85.2120(a)(7)

Any data, documents, correspondence with vendors and consumers, etc.
related to problems found in 25 certified parts or more	85.2120(a)(8)



	Records must be made available to EPA upon request.  For parts
certified only for vehicles with less than five years of emissions
warranty remaining, records must be maintain for three years or until
80% of applicable vehicles are outside the warranty period, whichever
occurs later.

	(ii)	Respondent Activities

 

The activities manufacturers need to perform to comply with the
requirements of each type of report are as follows:

	Review instructions and regulations

	Compile data

	Test aftermarket parts according to 				regulations

	Prepare and submit report

	Maintain records

  

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 and analyze applications for 				completeness and compliance
with 				regulations

	Analyze applications

	Request additional information, if needed

	Address requests for confidentiality 

	

				

5(b)	Collection Methodology and Management

	The information requested under this collection would be submitted by
manufacturers on occasion, when a manufacturer chooses to seek
certification for its products.  EPA has not received applications for
aftermarket part certification in the last several years.  In fact, only
two applications have been received since 1989. Due to the lack of
participation in this program, there is no need to develop electronic
forms or databases.  Therefore, should EPA receive an application in the
next three years, the information will most likely be collected on paper
and stored in CISD’s Confidential Business Information Room.

5(c)	Small Entity Flexibility

	The information requested is considered to be the minimum needed to
effectively maintain the emission control program’s 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.

5(d)	Collection Schedule

	Applications for aftermarket part certification are collected on
occasion only, when a manufacturer chooses to seek certification for its
products.

6.	Estimating the Burden and Cost of the Collection

	Please refer to The attached worksheet for details.

6(a)	Estimating Respondent Burden

	

	Burden estimates are based on a 1985 burden assessment, updated to
incorporate the most recent testing cost estimates and methodology in
the certification ICR, 0783.47 (OMB 2060-0104).  Since only two
applications have been submitted since then, EPA continues to rely on
these estimates.  

					

	

6(b) Estimating Respondent Costs

	(i)	Estimating Labor Costs

	To estimate labor costs, EPA used the Bureau of Labor Statistics’
May, 2005 cost estimates (  HYPERLINK
"http://www.bls.gov/oes/current/oessrci.htm#31-33" 
http://www.bls.gov/oes/current/oessrci.htm#31-33 , accessed 7/18/2006)
for the Engine and Turbines Industry (NAICS 333000) and multiplied them
by a factor of 2.1 (210%) to account for benefits, overhead, and profit.
It is anticipated that many applicants would contract with outside
testing labs for this work. 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)	210%

Mechanical  Engineers	17-2141	$32.44	$68.12

Secretaries, Except Legal, Medical and Executive	43-6014	$15.62	$32.80

Mechanical Engineering Technicians (Test Cell)	17-3027	$25.56	$53.68



	(ii) Estimating Capital and Operations and Maintenance Costs

	Operation and Maintenance costs (O&M Costs) associated with this
information collection include CDs and DVDs, photocopying, postage and
other shipping expenses and phone calls.  CDs and DVDs are used by
manufacturers to submit data electronically and to keep records.

     (iii) Capital/Start Up Operations 

	There are no capital start-up costs associated with the renewal of this
ICR.

     (iv)  Annualizing Capital Costs		

	Consistent with ICR 0783 (OMB 2060-0104), for uniformity across all
ICRs, we are assuming a capital cost for facilities to conduct FTP tests
on a per test basis, assuming no prior capacity, and without regard to
whether the testing services are contracted or done in house. On this
basis, we estimate an annualized (over ten years) and depreciated (7%)
capital cost of $1,519 for one application under this program. 

6(c) Estimating Agency Burden  

	EPA’s labor costs are based on the 2006 yearly wage rate for a GS-9,
Step 5 Engineer ($52,353) based in Ann Arbor, Michigan, and adjusted by
a factor of 1.24 (consistent with information from consultations in
preparation of ICR 0783.47) to account for benefits and overhead
($64,918), corresponding to an hourly rate of $32.21.  This rate was
obtained from the Office of Personnel Management.

								

	

6(d)	Estimating the Respondent Universe and Total Burden and 	Costs

	Based on the 1985 assessment mentioned earlier and comments from the
industry, EPA estimates that a manufacturer applying for aftermarket
part certification will spend 1,640 hours for an aftermarket part
certification application covering one part. This estimate included
1,460 hours for the five percent of all parts requiring durability
tests, rounded up to one part;  20 hours conducting emissions tests; 30
hours conducting the Federal Test Procedure (FTP); 122 hours of
reporting burdens; and 8 hours for recordkeeping. These numbers have
been updated to reflect current burden estimates for testing and to
cover one part only, for a total of 1,640 hours for one application in
the three year period, annualized to 547 hours per year, the majority of
which is a very generous allowance for durability testing, which, in
fact, would not apply to most applications. 

	EPA does not expect to receive any application in the next three years.
 However for the purpose of this ICR, EPA is assuming that one
application will be received during that period and annualized the
burden estimates.

6(e) Bottom Line Burden Hours and Cost Tables

	(i) Respondent Tally (annualized)

		Number of Respondents: 1

		Total Hours per year: 547

		Total Labor Cost per year: $18,193 

		Total Capital Costs per year: $1,519

		Total O&M Costs per year: $16 

		Total Costs:  $19,728

	(ii) The Agency Tally (annualized)

		Number of Respondents: 1

		Total Hours per year: 4

		Total Labor Cost per year: $129

		Total Capital Costs per year: $0

		Total O&M Costs per year: $5

		Total Costs:  $134

6(f) Reasons for change in burden

	 

	Hours have decreased from 1722 to 547 because of an inconsistency in
application in the last ICR of the 1985 cost study, whereby application
reporting costs were applied twice for two parts in one application, and
because the previous burden was not annualized. A minor adjustment in
the hours per test (30 hours rather than 20 per test) was also made.
Costs have been updated to reflect current labor rates at EPA and in the
industry, and a capital cost component was added for consistency with
other cost estimates for vehicle testing burdens. 

6(g) Burden Statement

	The annual public reporting and recordkeeping burden for this
collection is estimated to average 258 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-2006-XXXX, 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 “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-2006-XXXX and OMB control number
(2060-0060) in any correspondence.

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