Support ing Statement for Information Collection Request

Emission Control System Performance Warranty Regulations and Voluntary

Aftermarket Part Certification Program (Renewal)

ICR 0116. 0 9 OMB 2060
- 0060
42 USC 7521 40 CFR Part 85

Compliance and Innovative Strategies Division Office of Transportation and Air Quality Office of Air and Radiation U.S. Environmental Protection Agency- 2
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PART A 1. Id entification 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 0116.0 9 , OMB Control Number 2060

- 0060. 1(b) Short Characterization Under Section 206(a) of the Clean Ai r 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. Under section 207(a), original vehic le 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 who 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 ins tallation 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 electing to participate in the certification program 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 b y the Compliance and Innovative Strategies Division (C IS D), Office of Transportation and Air Quality (OTAQ), Office of Air and Radiation (OAR), U.S. Environmental Protection Agency (EPA). Besides C IS D, 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 b y trade associations, environmental groups, and the public. Due to the fact that EPA has received onl y two aftermarket part certification applications since 1989, the Agency

does not expect to receive any applications in the next three years. The purpose of this I CR renewal is to preserve EPA's authority to receive such an application in the event that one is submitted. Consequently , for the purposes of this information collection request, EPA has assumed that one manufacturer will apply for aftermarket part certification during the three

- ye ar period covered by this collection.
2. N eed for and Use of the Collection 2(a) Need/Authority for the Collection- 3
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EPA’s emission certification programs, including aftermarket part certification, are statutorily

mandated; the agency

does not have discretion to discontinue these functions. Secti on 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 i nsure 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 whe n a malfunction was caused by a certified aftermarket part. If the aftermarket part had not been certified, the original vehicle manufacturer can deny the claim. 2(b) Practical Utility

/Users of the Data EPA would use the information to inv estigate warranty claim denials and possible tampering violations and to inform the public about what parts are certified. The information w ould be received and used by CISD /OTAQ/OAR. Non

- confidential portions of the information submitted would be available to be used b y 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 I CR 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 A notice of the docket and public comment period for this I CR renew al was published in the Federal Register on January 22, 2010 ( 7 5 FR 3723 ). A cop y of the IC R was placed in the docket. No comments were received. 3(c) Consultations Since no aftermarket part certification applications have been received during the la st several ye ars, 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. J oseph Dougherty from the Motor and Equipment Manufacturing Association (MEMA). 3(d) Effects of Less Frequent Collection- 4
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The information requested is only collected on occasion, when a manufacturer elects to submit an application for aftermarket part cer tification. 3(e) General Guidelines According to 40 CFR 85.2120(a), the information gathered b y the manufacturer to compile aftermarket part applications must be kept for five ye ars unless the part has been certified for use exclusively in vehicles with less than five ye ars of emission warranty coverage remaining (see section 4(b)(i)(B) for details). The five

- ye ar recordkeeping requirement stems from the CAA mandate that manufacturers recall engines failing to meet emission standards throughout their u seful 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 b y this information collection. 3(f) Confidentiality Manufacturers are allowed to assert a claim of c onfidentiality ove r 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/NAI CS Codes Respondents are manufacturers of on

- highway vehicles within the following North American Industry

Classification Sy stem (NAICS) code: 336312 Gasoline Engine and Engine Parts Manufacturing 4(b) In formation Requested (i) Dat a Items Tables A and B list the data items requested under this information collection. A. Notification of intent to certify- 5
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Manufacturers of automotive aftermarket parts who wish to get their product certified need to submit, at least 45 day s prior to the sale of the part, a ‘Notification of Intent’ or application with the following information: Table A Notification of Intent to Certify Id entification of each part to be certified 85.2115(a)(1)(i) Id entification 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 descriptio n of all tests, techniques, procedures, statistical analy sis, 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 an y p art 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 wh ich the part was tested and an explanation of wh y 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 wh ether it complies with EPA requirements 85.2115(a)(1)(xi) Acceptance of the warranty and dispute resolution requirements in 85.2117 85.2 115(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 tes ting 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- 6
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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 day s 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 to 85 CFR Subpart V contain the procedures an original vehicle manufacturer must follow when pursuing reimbursement from an aftermarket part manufacturer. A. 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 anal ys es 85.2120(a)(3) In formation 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 subs equent analy ses 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- 7
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three ye ars 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 ty pe 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 ac tivities:

 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) Coll ection 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 applicat ion in the next three ye ars, the information will most likely be collected on paper . 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

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5(d) Collection Schedule Applications for aftermarket part certification are collected on occas ion only , when a manufacturer chooses to seek certification for its products.
6. Estimating the Burden and Cost of the Collection 6(a) Estimating Respondent Burden Burden estimates are based on a 1985 burden a ssessment, updated to incorporate the m ost recent testing cost estimates and methodology in the certification I CR, EPA I CR number 0783
. 54 (OMB control number 2060
- 0104) and the Greenhouse Gases rulemaking ( EPA IC R numbers 0783.56 and 2387.01 )

. Since only two applications have been submitted si nce 1989 , EPA continues to rely

on these estimates. 6(b) Estimating Respondent Costs (i) Estimating Labor Costs Rates for engineering managers, mechanical engineers, and secretaries (except legal, medical, and executive) are from the May 2008 Nation al Industry

- Specific Occupational Employ ment and Wage Estimates (http://www.bls.gov/oes/2008/may /naics4_336100.htm, accessed December 10, 2009). With a 160% overhead multiplier, these are $87.30, $60.40, and $30.50, respectivel y. (ii) Estimating Capital and Operations and Maintenance Costs Operation and Maintenance costs (O&M Costs) associated with this information collection are those for conducting city emissions tests (FTPs) . They also include CDs and DVDs , photocop yi ng, 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 T his I CR estimates an undepreciated capital cost of $ 7,467 . T here are no start

- up costs associate d with the renewal of this I CR. (iv) Annualizing C apital C osts Consistent with EPA IC R number 0783 (OMB 2060

- 0104), fo r uniformity of treatment , we are assuming a capital cost for facilitie s 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, 063 for one application under this program.- 9
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6(c) Estimating Agency

Burden EPA’s labor costs are based on the 200 9 yearly wage rate for a GS

- 9 , Step 5 Engineer ($ 57,343 ) based in Ann Arbor, Michig an, and adjusted by a factor of 1. 6 to ac count for benefits and overhead ($ 91,749 ). This rate was obtained from the Office of Personnel Management 2009 General Schedule Locality Pay Tables

. 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 appl yi ng for aftermarket part certification will spend 1, 640 hours for an aftermarket part certification application covering one part. This estimate included 1, 46 0 hours for the five percent of all parts requiring durability tests, rounded up to one part; 2 0 hours conducting emissions tests ; 3 0 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 onl y , for a total of 1,6 4 0 hours for one application in the three year period , annualized to 5 47 hours per ye ar, the majority of which is a very generous allowance for durability testing, which, in fact, would not apply to most applicatio ns. EPA does not expect to receive any application in the next three years. However for the purpose of this I CR, EPA is assuming that one application will be received during that period and annualized the burden estimates. 6(e) Bottom L ine Burden Hour s and Cost Tables (i) Respondent Tall y (annualized) Number of Respondents: 1 Total Hours per ye ar: 5 47 Total Labor Cost per ye ar: $ 17,108 Total Capital Costs per year: $1, 063 Total O&M Costs per ye ar: $ 892 Total Costs: $ 19,063 (ii) The A gency

Tall y (annualized) Number of Respondents: 1 Total Hours per ye ar: 4 Total Labor Cost per ye ar: $ 1 84 Total Capital Costs per year: $0 Total O&M Costs per ye ar: $5 Total Costs: $ 189- 10
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6(f) Reasons for change in burden The hours are the same as in the last renewal. Labor costs have been updated to reflect current labor costs as detailed above. Capital and O&M costs have been slightl y adjusted to reflect the most recent estimates for similar cost el e ments in I CRs developed since the last ren ewal. 6(g) Burden Statement The annual public reporting and recordkeeping burden for this collection is estimated to average 547 hours per respon se . 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 sy stems for the purposes of collecting, validating, and verifying informati on, processing and maintaining information, and disclosing and providing information; adjust the existing way s to comply with an y previously

applicable instructions and requirements; train personnel to be able to respond to a collection of information; sea rch 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 display s a cur rently 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 I CR under Docket ID Number EPA

- HQ
- OAR
- 200 9
- 0983 , 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 Readin g Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday , excluding legal holiday s. 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 electronicall y. When in the system, select “search,” then key in the Docket ID Number identified above. Also, yo u can send comments to the Office of In formation 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
- 200 9
- 0983 and OMB Control Number 2060
- 0060 in any correspondence.