Draft Supporting Statement for In formation Collection Request EPA ’ s Li ght

- Duty In
- Use Vehicle Testing Program (Renewal)

EPA I CR 0222. 10
OMB Control No: 2060

- 0086

September , 2014 Compliance Division Office of Transportation and Ai r Quality Office of Air and Radiation U.S. Environmental Protection Agency2

Section 1: I dentification of the Information Collection 1(a) Title and Number of the Information Collection EPA’s Li ght

- Duty In
- Use Vehicle Testing Program (Renewal) , EP A I CR Number 0222. 10 , OMB Control Number 2060

- 0086. This I CR was formerly titled “EPA’ s In - Use Vehicle and Engine Testing Programs .” This renewal includes only the light

- duty

vehicle portion of the in

- use testing program . The heavy

- duty and off

- road vehic le and engine programs are included in I CR 1684, OMB 2060
- 0287. 1(b) Short Characterization/Abstract The Environmental Protection Agency (EPA), Office of Transportation and Air Quality , Compliance Division , conducts an integrated motor vehicle and en gine emission compliance program. Motor vehicles and engines are first evaluated as prototy pes prior to production; those designs that meet applicable criteria are licensed for introduction into commerce. EPA also has discretion to conduct assembly line testing of new vehicles and engines as well as to test emissions of in

- use vehicles and engines . This Information Collection Request covers inquiries directed at the owners/lessees of in

- use light

- duty motor vehicles to see if their specific vehicles are suitable for an EPA in

- use testing investigation and the paperwork burdens attendant upon election to participate
. The light

- duty program can be broken down into three closely

- related headings
. The first is the surveillance testing program , with the pos sibility of a compliance testing phase. The second is a small program testing the functioning of onboard diagnostics (O B D) sy stem s on in

use vehicles , which is simply additional testing on a subset of vehicles already recruited for the surveillance program
. Finally , budget permitting, there are other occasional one - time “special investigations” spot - check tests of vehicles to address specific issues. An example of a special investigation might be procurement of a class of vehicles to test compatibility with a particular portable emissions monitoring (PEM) unit
. Special investigations are similar to testing of th at portion of surveillance classes that has have been selected to addres s a s pecific informational need. B ecause they

use the same procurement sy ste m as the surveillance and OBD programs, these special investigations should be accounted for in this collection request, although the number of such tests will vary
. Li ght

- duty testing ty

pically includes standard emissions test cycles and standard OBD t ests performed at EPA’s facility in Ann Arbor . The primary purpose of these programs is informational: to give EPA and manufacturer engineers intelligence regarding emissions performance for in

- use vehicles. Manufacturers are involved at every step of the ongoing light

duty program s : they

are informed of the surveillance tests, can be present during vehicle preparation and testing, are given test results, and participate in post

- failure investigations. The testing supplements information from the manufactur ers’ own discretionary in

- use testing programs as well as the mandatory reporting under the manufacturers’ In - Use Vehicle Program (IUVP) under 40 CFR §§ 184 5

– 1847.3

The light

- duty program entail s two formalized information collections. Participation in th e information collections , as well as the vehicle evaluation, is strictly voluntary
. (The actual solicitation of information is conducted by EPA ’ s contractor. ) First, 25 to 50 owners/lessees of the vehicles of interest who are located within about 70 mile s of Ann Arbor are randomly selected from the owner list of vehicles obtained from the Michigan Secretary of State and sent a letter with a reply

form and return envelope to accept or decline the invitation to participat e (Attachments I I, I II, and IV)
. Af ter a suitable time for response, all positive respondents are considered for inclusion and contacted
. If the owner/lessee is reached and willing, a telephone questionnaire is conducted that asks about a half

- dozen questions concerning vehicle condition an d ma intenance (see A ttachment V). The first three who successfully complete the telephone questionnaire provide the vehicles for the surveillance class. The vehicles are brought to EPA’s testing facility

and tested. If there are any test failures in the f

irst three vehicles or engines , then two more are recruited in the same manner. A dditional groups of potential participants will be contacted if necessary until the required three or five vehicles have been obtained. In formation collected is used to insure that vehicles procured meet relevant criteria. For example, the vehicle should not have been tampered with or have other overt problems
. Special testing investigations and particular vehicle ty pes may have additional or alternative criteria. Those who elect to participate are asked if they are willing to provide their maintenance records for copying. Doing so is voluntary and has no effect on eligibility . At the time of delivery or pick

- up , participants go over the telephone questionnaire answers an d sign a notarized statement that the answers are correct. They sign a test agreement and for a cash incentive and, if elected, a loaner car agreement . Upon surrendering their vehicle, they sign a vehicle release. As part of the surveillance process, EPA attempts to determine the cause of any test failures. Post

- test “special maintenance” involves close examination of the vehicle, nearly alway s with manufacturer participation. This may produce relevant information about the cause of the failure. Surveillance test data are also supplemented with information from manufacturer application test data, EPA certification confirmatory test rest results, defect reports, service bulletins, CARB (California Air Resources Board) warranty reports, state In spection/Mai ntenance (I/M) information, manufacturer service technician bulletins, and the results of the manufacturers’ IUVP tests submitted to EPA and their own in

- use testing results
. Manufacturers/importers are involved in the process from the outset, and receiv e all test results, including test failures. The process of identifying problems is collaborative and cooperative in nearly all cases. If EPA believes that a recall is indicated, and the manufacturer/importer agrees that EPA's conclusion is valid, it wil l agree to conduct a voluntary recall. However, if questions remain , EPA has procedures in place to run the compliance t est phase with continued manuf acturer involvement. Even at this stage the inferences are inform ational rather than statistical: to identify , based on engineering judgment , the appropriate population to which the problem applies, identify the cause of the problem, resolve issues regarding the testing protocols and results, etc. The4

process has not been adversarial in recent years. B ase d on information gathered from all sources , EPA can make an administrative finding mandating recall and repair of in

- use vehicles if it determines that “a substantial number” of vehicles in a class or category do not comply

with the emissions requirements as a result of its own in

- use testing program. In reality , such a determination will be based on information from a variety of sources that may

or may not include EPA in

- use testing. Such findings are subject to the Administrative Procedures Act and are re viewable in court under the “substantial evidence” test (5 USC § 706(2)(E)), which is restated in the “substantial evidence” standard in the Clean Air Act for ordering recalls. Procurement of light duty vehicles for a compliance testing phase is similar to that for the surveillance phase , except that EPA may make several attempts to contact an owner/lessee by telephone or mail; participants in the surveillance phase are screened out. Over the last few fiscal year s an estimated average of 12 0 vehicle in

- use testing actions were conducted by

EPA . No OBD actions were conducted . Adding an allowance for about 10 special investigation vehicles (the number is expected to vary from year to year) and the possibility

of 30 co nfirmatory class es , the estimate here is 160 procured vehicle actions , corresponding to 3 , 917 contacts and 164 telephone interview and /or other follow

- up participant contacts
. Assuming that 3,917 contacts/r espondents spend an average of 7.7 4 minutes, this collection imposes a burden of 505 hours annually . This collection has no respondent recordkeeping requirements
. Section 2: Need for and Use of the Collection 2(a) Need/Authority

for the Collection Under Title I I of the Clean Air Act, (42 U.S.C. § 7521 et seq.), manufacturers of motor ve hicles and engines are required to design and build vehicles which will comply with emission standards throughout their useful lives. ( " Useful life " is de fined by statute and regulation; it varies by ty pe of vehicle or engine .) Pursuant to se ction Clean Air Act section 207 (c) (42 USC § 7541 ), EPA is responsible for monitoring compliance and investigating possible noncompliance with emi ssion standards. Inorder to fulfill this function, it is necessary for EPA to test actual " in

- use " vehicles; these v ehicles must be obtained from their owners/lessees. As part of the procurement process, EPA must determine that the vehicle is within the useful life and that it has been “ properly maintained and used ” . In order to do this, EPA must make a limited inquir y of the owner/lessees who are willing to participate; see Attachment V for an example telephone questionnaire. 2(b) Practical Utility

/Users of the Data EPA needs the information from the vehicle owner/lessee to determine that the vehicle is5

within its “ useful life ” and that it has been “ properly maintained and used. ” EPA ’ s C ompliance Division, Office of Transportation and Air Quality , is the prime user of this information
. Manufacturers whose models are being tested receive a copy of the file on the v ehicle to be tested, identified by

a “vehicle control number.” Manufacturers are informed of pre

- test maintenance and test dates and receive all test results. They also participate in post

- test “special maintenance” to investigate failures. Section 3: No nduplication, Consultations, and Other Collection Criteria 3(a)Nonduplication The information obtained from the vehicle owner/lessee is unique to that specific vehicle; it is not obtainable from any other source. There is no other information available , in either public or private databases, that will adequately serve the program purposes. (Some vehicle maintenance information, such as warranty repairs and scheduled maintenance done at dealers’ outlets, is available from manufacturers and commercial aut omotive data services, and such information may

be supplied by

manufacturers in their own interests or as queried by EPA. However, it is not a substitute for owners ’ /lessees ’ own records. ) Additionally , there are no other similar government programs which would allow sharing of data. 3(b) Public Notice Prior to I CR Submission to OMB EPA will solicit public comment by means of a Federal Register Notice
. 3 ( c) Consultations Inpreparing this I CR, EPA consulted with two of its contractors, Ms. Kim Cieslak and Mr. Stephen Prothro , (734) 214

- 4568. ( EPA ’ s contractor procures and maintains in

- use passeng er cars and light duty trucks.). Ms. Cieslak mails out the procurement letters and conducts the telephone interviews; she was asked to monitor how much time the interviews required. She determined the average to be 20 minutes for surveillance questionnaires and 50 minutest for confirmatory questionnaires
. Stephen Prothro is her supervisor.6

3(d) Effects of Less Frequent Collection In formation is collected only once per vehicle evaluation; less frequent collection is not possible. 3 (e) General Guidelines This information collection activity complies with the requirements of 5 CFR 1320.5(d)(2). 3 (f) Confidentiality In formation gathered from light

- d uty respondents is stored in contractor files . These records, including names and social security numbers needed for those who accept pay ment over $ 599 , are complete ly

segregated from test results which are separately handled and stored by EPA. Respondent information is handled and stored by the contractors and two EPA representatives
. Itis not available to the public. Test results are tracked by vehicle control number and are shared with manuf acturers by

email automatically ; they are available to the public. This information collection has completed a Privacy Impact Assessment, which has been approved by

EPA’s privacy

office. The sy stem has been assigned Sy stem of Records EPA

- 60. 3(g) Sensitive Questions No sensitive questions are asked in this info rmation collection. Section 4. Respondents and Information Requested 4(a) Respondents/SI C & NAI CS Codes The respondents are individual vehicle owners/lessees of any regulated vehicle or engine regulated by

EPA under the Clean Air Act (No N AI CS code)
. 4 (b) Information Requested (i) Data items Respondents who receive EPA ’ s initial request (see Attachments I I and I II and IV ) are asked to supply

the following information on a form via a postage paid return envelope; participation is entirely

voluntary : D o they own/lease the desired vehicle ; verify the m ake and model Current odometer reading Are they the original owner/lessee7

Transmission ty

pe Are they interested in participating; how EPA should contact them
. Those who indicate they

wish to be conside red for participation are asked for additional information: Has the odometer malfunctioned and, if so, for how long was it inoperative Has the vehi cle cataly st ever been replaced Do they have maintenance records; would they al low EPA to review and copy th em There are no recordkeeping requirements associated with this collection. (ii) Respondent Activities Responses to the request for participation and information collection are strictly voluntary
. Those wishing to participate are asked to fill out a postage - paid information form
. Some are then contacted by

telephone to obtain the additional information listed above. Vehicles that will be evaluated are brought to EPA ’ s facility for testing. T he owners/lessees receive a cash incentive for each day

E PA keeps the vehicle or a lesser cash incentive and , if requested, a late model loaner car with a full tank of gas and unlimited mileage for the duration of the testing, which usually take s two to four weeks. Most of the information requested is known b y the owner/lessee; some information might have to be obtained by

simple vehicle or engine inspection or by reference to maintenance records (if available). Section 5: The Information Collected

-- Agency Activities, Collection Methodology , and In formation M anagement 5(a) Agency

Activities Agency staff ty pically have no involvement in gathering the information, as that task is done by an EPA contractor. However, on occasion, staff are required to answer specific questions that arise during the informatio n gathering process. Agency staff may review the final telephone questionnaire for completeness as well as potential issues relevant to the vehicle being evaluated. Agency

staff select the vehicle class es to be tested, view test results, and participate in discussions with manufacturers relating to the testing preparations and results. 5(b) Collection Methodology and Management In formation is obtained via mailed res ponses and telephone interviews; it is stored in a8

vehicle file. The information is revi ewed to see if the specific vehicle or engine meets the criteria for evaluation. The file is ty pically maintained for five ye ars and then destroyed
. 5(c) Small Entity

Flexibility The information requested is completely voluntary

and imposes no mandat ory burden on any respondent. The information collected is the minimum necessary to assure that vehicles meet the criteria for evaluation. Therefore, there can be no process which reduces the burden on small entities. 5(d) Collection Schedule In formati on is collected on a continuous basis. The number of solicitations mailed out in a given time frame is a function of available test capacity and how difficult a particular vehicle ty pe is to procure. Section 6.Estimating the Burden and Cost of the Colle ction 6(a) Estimating Respondent Burden As explained above, EPA ’ s contractor estimated that each telephone interview takes , on average, approximately

20 minutes for surveillanc e questionnaires and 50 minutes for confirmatory

questionnaires
. Subsequent information

- related burdens for participants (such as reviewing and attesting to the telephone questionnaire answers and supply ing maintenance records voluntarily

) upon delivery

of light

- duty

vehicles, is estimated at 40 minutes. We estimate that the initi al contact burden by letter to average 5 minutes. 6(b) Estimating Respondent Costs (i) Estimating labor costs. The re is no ty

pical individual owner/lessee; they represent the average person who acquires or owns a vehicle or engine
. For this analy sis we assume a cost of $ 22.33 per hour, based on the mean hourly wage for All Occupations , from the Bureau of Labor Statistics, May 2013 National Occupational Employ ment and Wage Estimates , United States , ( http://www.bls.gov/oes/current/oes_nat.htm#00

- 0000 , accessed September 4 , 2014 ). The annual labor cost is therefore $1 1,277. (ii) Estimating Capital and Operations and Maintenance Costs This collection has no capital, operations or maintenance costs.9

( iii) Start

- up Costs This collection has no star t - up costs. 6(c) Estimating Agency

Burden EPA uses contractor employees to collect essentially all the information covered by this information collection request. The most recent annual contractor costs for the light duty testing component was approximately $752 ,000
. An estimated 1.5 EPA employees oversee the programs at an annual cost of $214,300

. The total estimated Agency cost is $ 966,300 per year . 6(d) Estimating the Respondent Universe and Total Burden and Costs From the above discussion the foll owing total burden and cost estimates can be calculated as presented below. 6(e) Bottom Line Burden Hours and Cost (i) Respondent Tally Program Vehicles/

Engines In itial

Contacts Burden @

5 min ea.(min) Participant

Contacts Burden @

60 min ea (min) LD Surveillance 120 2938 14690 120 7200 OBD Surveillance 0 0 0 0 0 Special 10 245 1225 14 840 Burden @ 90 min ea (min) LD Confirmatory 30 735 3673 30 2700 **Total 160**  **3917 19588**  **164 10740**  **Total burden (hrs)**  **505**

There are no respondent , operating, capital , or startup costs associated with this collection. (ii) Agency

tally EMPL OYEES 1 .5 (directly involved in information collection) COST $ 966,30010

6(f) Reasons for change in burden The changes in burden , a decrease of 368 res ponses and 16 hours, are due to an adjustment of testing estimates based on the number and ty pe of testing that has been conducted in this program over the past few years . 6(g) Burden Statement The annual public reporting and recordkeeping burden for this collection of information is estimated to average approximately 505 hours per ye ar; 7.7 4 minutes on average for each owner/lessee who receives a solicitation to participate. This estimate includes the time to review the solicitation material, complet e the reply correspondence , complete the telephone questionnaire for the subset contacted , and complete paperwork for delivery and p ickup of participating vehicles and for monetary compensation
. Participation is completely voluntary
. Burden means the tota l 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 information, processing and maintaining information, and disclosing and providing information; adjust the existing way s to comply with any previously

applicable instructions and requir ements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection or sponsor, and a person is not required to respond to, a collection of information unless it displays a currently valid O MB control number. The OMB control numbers for EPA ’ s regulation 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 minimiz ing respondent burden, including the use of automated collection techniques, EPA has established a public docket for this I CR under Docket I D Number **EPA -**  **HQ -**  **OAR -**  **2010 -**  **0690** , which is available for online viewing at www.regulations.gov , or in person viewing at the EPA Docket Center, EPA/DC, WJC West, Room 3334, 1301 Constitution Ave., NW, Washington, DC. The Public Reading 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 Public Reading Room is (202) 566

– 1744. 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 listin g of the contents of the public docket, and to access those documents in the public docket that are available electronically . When in the sy stem, 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 I D Number **EPA -**  **HQ -**  **OAR -**  **2010 -**  **0690** and OMB Control Number 2060

- 0 086 in any correspondence.