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SUPPORTING STATEMENT – PART A

RECORDKEEPING AND REPORTING RELATED TO FUEL QUALITY 

REGULATIONS FOR DIESEL FUEL SOLD IN 2001 & LATER YEARS; FOR TAXEXEMPT (DYED) HIGHWAY DIESEL FUEL; AND NON-ROAD LOCOMOTIVE & 

MARINE DIESEL FUEL: RENEWAL

DOCKET EPA-HQ-OAR-2007-1121

EPA ICR No.: 1718.09

1. IDENTIFICATION OF THE INFORMATION COLLECTION

1(a) Title of the Information Collection

Fuel Quality Regulations for Diesel Fuel Sold in 2001 & Later Years; for Tax-Exempt (Dyed) 

Highway Diesel Fuel; & Non-Road Locomotive & Marine Diesel Fuel (Renewal) 

EPA Control Number 1718.09, OMB Control Number: 2060-0308.

1(b) Short Characterization/Abstract

This ICR renewal is related to EPA’s diesel fuel regulations under 40 CFR Part 80, 

Subpart I, applicable to highway (“motor vehicle” or “MV”) diesel fuel and non-road, 

locomotive and marine diesel fuel (NRLM) and heating oil (HO). Most of the information 

collected under this ICR is used to evaluate compliance with the requirements of the regulations. 

Since virtually all MV diesel fuel was required to meet a 15 part per million (ppm) standard as of

June 1, 2010, very little reporting related to MV diesel fuel remains. However, reporting related 

to NRLM and HO will continue throughout the course of this proposed ICR renewal. The 

activities associated with this ICR include: registration (all parties have registered; updates to 

existing registrations are still possible); compliance reports (mostly covering NRLM and HO; 

updates to prior compliance reports for MV diesel are still possible); research and development 

(R&D) exemptions; generation and retention of quality assurance (QA) records; foreign refiner 

recordkeeping and reporting; placement of Product Transfer Documents (PTD) codes (a typically 

automated process, to indicate the presence of dye in tax-exempt fuel and/or sulfur content). 

This ICR renewal contains provisions related to qualification of laboratories on performancebased test methods. Virtually all applications have already been received from laboratories and 

acted upon by EPA. 

2. NEED FOR AND USE OF THE COLLECTION

2(a) Need/Authority for the Collection
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This supporting statement covers the recordkeeping and reporting requirements and the 

associated costs to various parties (e.g., refiners, importers, distributors, and retailers of diesel 

fuel). These general recordkeeping and requirements are necessary to enable the Administrator 

to:

(1) Identify the sources of diesel fuel; and

(2) Ensure that these sources comply with the standards and limitations of the rules.

An effective enforcement scheme is necessary to ensure that the environmental goals of 

the diesel program are met, and that those complying with the requirements in good faith are not 

disadvantaged by non-complying parties. The diesel program requirements create a significant 

economic incentive for noncompliance. 

For performance-based qualification of test methods for diesel fuel, reported data 

will enable EPA to:

1) Qualify laboratories to use test methods based upon accuracy and precision criteria 

supported by industry.

2) Ensure that diesel fuel and heating oil meet the standards required under the 

regulations at 40 CFR Part 80 and that the associated benefits to human health and the 

environment are realized.

2(b) Practical Utility/Users of the Data

EPA will use the information contained in the reports required by this information 

collection to evaluate the compliance of parties involved in the production and importation of 

diesel with the diesel fuel requirements. These reports will also be used by EPA to target 

compliance investigations. 

PTDs maintained by parties in the diesel fuel distribution system and records related to 

diesel blending will be used to evaluate the compliance of the parties that maintain the records, 

and to help evaluate upstream compliance. PTDs are normally generated and retained in the 

course of business (i.e., they are customary business practices or “CBP”). There is a small 

burden associated with the placement of sulfur content and/or dye notices, a process which is 

typically automated.

The automatically printed notice on tax-exempt highway diesel product transfer 

documents (which EPA allows to be stated in coded form to save space), allows both EPA to 

determine if dyed product is intended for highway use or is high sulfur diesel for off-road use 

only. It also helps industry to make this determination. 
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The EPA's Office of Enforcement and Compliance Assurance, Air Enforcement Division 

is the governmental user of the information contained in the required records.

3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA

3(a) Non-Duplication

Efforts have been made to eliminate duplication in this information collection. Where 

possible, information requirements from various organizations within the Agency have been 

combined to minimize the submittal of duplicate information in different formats. The 

information in this collection will not be available from another source. 

3(b) Public Notice Prior to Submission to OMB

EPA solicited public comment by means of a Federal Register Notice published on 

August 18, 2011, 76 FR 51362. The Notice requested public comment through October 17, 

2011. No comments were received. 

3(c) Consultations

EPA will discuss this information collection with representatives of regulated industry. 

We are soliciting comments via the Federal Register notice, as well. This supporting statement 

and our estimates are being placed in the public docket. On November 21, 2011, we sent the 

estimates to members of the regulated community in an effort to solicit input. Currently we have 

received no comments. 

3(d) Effect of Less Frequent Collection

The diesel rule requires refiners and importers to submit annual reports which will, by the 

information contained therein, demonstrate a party’s compliance with the applicable sulfur 

standards. Less frequent submittal of such reports would severely hinder EPA’s ability to 

monitor compliance, and would likely lead to noncompliance. In the case of the dye 

requirements, a less frequent collection is not practical, since the information must appear on 

product transfer documents at the time custody is transferred

3(e) General Guidelines

The requirement requires record retention for five (5) years. The Agency believes this is 

important to the success of the program. With the large economic incentive to not comply that 

exists because of the substantial difference in price that can exist between low sulfur diesel and 

high sulfur diesel, it is imperative that EPA maintain deterrence by assuring that all parties know 

that EPA will be able to distinguish the difference between high sulfur and low sulfur deliveries 
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via a review of records generated in the normal course of business (i.e., CBP). The requirement 

to retain for 5 years is consistent with other record retention periods in the fuels regulations, with 

the applicable 5 year statute of limitations, and CBP. Most entities already keep these records 

for 5 or more years for tax and other business purposes. 

3(f) Confidentiality

Proprietary information is routinely submitted by refiners and importers as part of annual 

reports and as part of requests for research and development or hardship exemptions. 

Confidentiality for such information is covered by established Agency procedures and the 

regulations at 40 CFR Part 2.

3(g) Sensitive Questions

No questions of a sensitive nature are asked in this information collection.

4. THE RESPONDENTS AND THE INFORMATION COLLECTED

4(a) Respondents/SIC Codes

The respondents to this information collection are:

- Refiners (both domestic and foreign refiners who manufacture diesel for use in 

the U.S.)

- Importers of diesel into the U. S.

- Diesel distributors, carriers, wholesale purchaser-consumers, and retailers

- Testing laboratories

Recordkeeping and, in some cases, reporting is required by the following industries, with 

SIC Code/2002 NAICS Code indicated: 

Refiners (2911/324110), 

Importers (5172/424720), 

Pipelines (4613), 

Petroleum marketers and other distributors (5171, 5172/424710, 424720), 

Terminals (5171/424710), 

Fuel oil dealers (5172/424720), 

Fuel additive manufacturers (2911/424720), 

Petroleum retailers and wholesale purchaser-consumers (5171, 5172/424710, 424720)

Laboratories (8734/541380).

4(b) Information Requested

1. Data Items
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Knowledge of the following definitions at 40 CFR Part 2 is important for a thorough 

understanding of the reporting and recordkeeping requirements:

“Diesel fuel” means any fuel sold in any state or Territory of the United States and suitable for 

use in diesel motor vehicles, diesel motor vehicle engines or diesel non-road engines, and which 

is commonly or commercially known or sold as diesel fuel.

“Motor vehicle diesel fuel” means any diesel fuel, or any distillate product, that is used, intended 

for use, or made available for use, as a fuel in diesel motor vehicles or diesel motor vehicle 

engines.

“Refinery” means a plant in the United States at which gasoline or diesel fuel is produced.

“Foreign refinery” means a refinery that is located outside the United States.

“Refiner” means any person who owns leases, operates, controls, or supervises a refinery.

“Importer” means a person who imports gasoline, gasoline blending stocks or components, or 

diesel from a foreign country into the United States (including the Commonwealth of Puerto 

Rico, the Virgin Islands, Guam, American Samoa, and the Northern Mariana Islands.

“Sulfur percentage” is the percentage of sulfur in diesel fuel by weight, as determined using one 

of the test methods specified in the regulations.

“Batch of motor vehicle diesel fuel” means a quantity of diesel fuel which is homogenous with 

regard to those properties that are specified for motor vehicle diesel fuel under 40 CFR subpart I.

2. Recordkeeping and Reporting Requirements

Table I summarizes the information to be collected by form and respondent. If no form exists, 

the information item is identified by party. 

5. THE INFORMATION COLLECTED - AGENCY ACTIVITIES, COLLECTION 

METHODOLOGY, AND INFORMATION MANAGEMENT

5(a) Agency Activities

 All reported compliance data will be reviewed by EPA.

 EPA will contact submitters about problem submissions.

 Where appropriate, we will prepare a written response to the submitter.

 The data will be stored.
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5(b) Collection Methodology and Management

EPA accepts common electronic formats for most of the reporting requirements - for 

example, annual reports may be submitted in any of several commercial spreadsheet formats or, 

more simply, as comma-delimited text/comma-separated value fields. 

The product transfer document information can be included on standard transfer 

documentation customarily used in the ordinary course of business (i.e., CBP). EPA allows the 

information to be encoded by upstream parties (refiners, importers, and terminals) to facilitate 

reporting and save space.

The information is carefully reviewed for compliance with the requirements. Most of the 

information submitted to the Agency is claimed as business confidential. It is stored in a secure 

area and in a secure database.

5(c) Small Entity Flexibility

The information collection reduces to the extent practicable and appropriate the burden 

on respondents, including small entities. The major reporting requirements apply to refiners and 

importers of diesel, which are not usually small businesses. 

6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION

6. Estimating the Burden and Cost of Collection

a. Estimating the Respondent Universe 

We drew upon experience implementing similar regulations among the same and similar 

entities to develop estimates of the burden associated with this collection. 

b. Estimating Respondent Costs

(i) Estimating Labor Costs

In discussions with industry, four labor categories were identified as having involvement: 

managerial, legal, professional/technical (prof/tech) and clerical. According to the Bureau of 

Labor Statistics, May 2008 National Industry-Specific Occupational Employment and Wage 

Estimates, mean wages were:

Wages

Managerial $61.42 per hour
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Legal $85.56 per hour

Prof/Tech $61.05 per hour

Clerical $18.34 per hour

Doubling for company overhead and employing a 2% annual inflation factor to bring the rates to 

the year 2011, and, for convenience, rounding up to the nearest dollar, gives the following rates 

that will be used for this ICR:

Total Employer Cost

Managerial $126

Legal $175

Prof/Tech $125

Clerical $ 38

The labor mix for each task is assumed to be about 0.05 hour managerial, 0.05 hour legal, 0.7 

hour professional/technical, and 0.2 hour clerical. This gives an average labor cost of about $110 

per hour, which will be used in this ICR. Our estimates are summarized in the following table.

There are no Operations & Maintenance (O&M) costs associated with this Information 

Collection Request (ICR). 
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TABLE I - ESTIMATES

EPA ICR 1718.09 (Renewal. Expires 12-31-2011.)

Collection Type of No. of No. of Total No. of Time Per Cost Per

Total 

Hours Total Cost Assumes:

Activity Party Parties Responses Responses Response Hour

per Party Hours

REPORTING

DSF0100 Form: NRLM 

Diesel Fuel Sulfur refiners 100 1 100 1 110 100 11000 95 NRLM

Credit Banking and refiners, 

Generation Report rounded 

importers 50 1 50 1 110 50 5500 up to 100.

MV resub- 5 1 5 1 110 5 550 Nearly all

missions MV 

reporting

DSF0200 Form: NRLM ends

Diesel Fuel Sulfur refiners 100 1 100 1 110 100 11000 with full

Credit Transfer 15 ppm 

Report fully

importers 50 1 50 1 110 50 5500 in place

June 2010.

MV resub- 5 1 5 1 110 5 550

missions

"All

DSF0301 Form: NRLM Other"

Diesel Fuel Sulfur refiners 100 1 100 1 110 100 11000 includes
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Facility terminals

Report and

importers 50 1 50 1 110 50 5500 pipeline

facilities.

MV resub- 5 1 5 1 110 5 550

missions For 

DSF0200

DSF0401 Form: NRLM and

Diesel Fuel Sulfur refiners 100 1 100 1 110 100 11000 DSF0504,

Batch multiple 

Report transactions

importers 50 1 50 1 110 50 5500 may be

reported on

MV resub- 5 1 5 1 110 5 550 one form.

missions

DSF0504 Form: NRLM 

Designate and refiners 100 1 100 1 110 100 11,000

Track Handoff

Report

importers 50 1 50 1 110 50 5,500

MV resub- 5 1 5 1 110 5 550

missions

All other 1,000 1 1000 1 110 1000 110,000

DSF0601 NRLM 

Designate and refiners 100 1 100 1 110 100 11,000
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Track Tot. Vol.

Report

importers 50 1 50 1 110 50 5,500

MV resub- 5 1 5 1 110 5 550

missions

All other 1,000 1 1,000 1 110 1000 110,000

parties

DSF0700 NRLM 

Designate and refiners 100 1 100 1 110 100 11,000

Track Facility

Compliance

Report importers 50 1 50 1 110 50 5,500

MV resub- 5 1 5 1 110 5 550

missions

All other 1,000 1 1,000 1 110 1000 110,000

parties

DSE0700 NRLM 

Designate and refiners 100 1 100 1 110 100 11,000

Track Entity

Compliance

Report importers 50 1 50 1 110 50 5,500

MV resub- 5 1 5 1 110 5 550
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missions

All other 1,000 1 1,000 1 110 1000 110,000

parties

DSF0900 Form: MV resub- 5 1 5 1 110 5 550

Motor Vehicle missions

Diesel Sulfur

Pre-Compliance

Report

DSF0951 Form: NRLM 

NRLM refiners 100 1 100 1 110 100 11,000

Diesel Sulfur

Pre-Compliance

Report importers 50 1 50 1 110 50 5,500

DLQ001 Form: Testing

(Used for labs 1 1 1 180 110 180 19,800

lab/test method

qualification.)

DFM001 Form: Testing

(Used for labs 1 1 1 180 110 180 19,800

solvent/die

qualification.)

REGISTRATION & OTHER ITEMS

Updates to 
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Existing 

Registrations Any party 2 1 2 0.5 110 1 110 Includes

MV and

R&D Exemptions Refiners 2 1 2 1 110 2 220 NRLM

refiners, for

QA Refiners 150 100 15000 0.25 110 3750 412,500 a total of 

(Record Importers 50 100 5000 0.25 110 1250 137,500 150 parties.

Generation and

Retention)

Foreign Refiners 5 1 5 40 110 200 22,000

refiners

recordkeeping 

and

reporting

Placement Various 1,200 200 240000 0.0333 110 7992 879,120 "Various

of PTD codes parties in parties"

(dye/content) distribution may incl.

system refiners,

importers,

and others

such as

terminals

and

distributors.
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TOTALS 6,806 265,406 18,950 2,084,500

Parties Responses Hours Cost ($)
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6(c) Estimating Agency Burden and Cost

The Agency activities listed in 5(a) are part of an overall gasoline and diesel reporting 

system (including reformulated gasoline, conventional gasoline, and diesel). We estimate that 

this system costs approximately $120,000 in personnel costs per year (i.e. approximately 3⁄4 of a 

GS-13 employee with consideration of overhead and benefits). 

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

Line Burden Hours and Costs

This was incorporated into 6(a) and (b).

6(f) Reasons for Change in Burden

For this renewal, we estimate a total annual burden of 265,406 responses, taking 18,950 

hours, and costing $2,084,500. For the expiring approval, we had estimated 426,275 responses, 

taking 285,261 hours, and costing $2,626,000. Most MV diesel reporting has now ended, which 

was expected to reduce (and has reduced) the responses, hours, and costs. Likewise, laboratory

qualifications have virtually all been submitted already. However, please note that we have 

changed how we accounted for the burden for this renewal. We have modeled our estimates to 

match the in-use forms in order to assist interested parties in providing comments. Therefore, 

some of the change is associated with how we did the estimates in 2008 (expiring approval) and 

now.

The Agency burden has decreased because of a reduction in the number of reports filed. 

In the expiring approval, we estimated a total cost of $668,000. We estimate that the cost 

associated with this renewal is approximately $120,000. 

6(g) Burden Statement

The public reporting burden for this Environmental Protection Agency (EPA) collection 

of information is estimated to average .07 hours per response. This includes time for reviewing 

instructions and regulations, searching company records, gathering the needed data, and 

completing, reviewing, copying, and transmitting the collection of information. 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 or requirements; train personnel to be able to response 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
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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 Number EPA-HQ-OAR-2007-1121, which is available for online viewing at 

www.regulations.gov, or in person viewing at the Air and Radiation Docket and Information 

Center 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 and Information Center 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, D.C. 20503, Attention: Desk Officer for EPA. Please include the EPA Docket ID 

Number EPA-HQ-OAR-2007-1121 and OMB Control Number 2060-0308 in any

correspondence.