Draft

Supporting Statement

for

Information Collection Request

EPA’s Light-Duty In-Use Vehicle Testing Program (Renewal)

EPA ICR 0222.10

OMB Control No: 2060-0086

September, 2014

Compliance Division 

Office of Transportation and Air Quality

Office of Air and Radiation 

U.S. Environmental Protection Agency
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Section 1: Identification of the Information Collection

1(a) Title and Number of the Information Collection

EPA’s Light-Duty In-Use Vehicle Testing Program (Renewal), EPA ICR Number 

0222.10, OMB Control Number 2060-0086. This ICR 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 vehicle and engine programs are

included in ICR 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 engine emission compliance 

program. Motor vehicles and engines are first evaluated as prototypes 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 possibility of a compliance testing phase. The 

second is a small program testing the functioning of onboard diagnostics (OBD) systems on inuse 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 that

portion of surveillance classes that has have been selected to address a specific informational 

need. Because they use the same procurement system 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.

Light-duty testing typically includes standard emissions test cycles and standard OBD 

tests 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 lightduty programs: 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 manufacturers’ own discretionary in-use testing 

programs as well as the mandatory reporting under the manufacturers’ In-Use Vehicle Program 

(IUVP) under 40 CFR §§1845–1847.
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The light-duty program entails two formalized information collections. Participation in 

the 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 miles 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 participate 

(Attachments II, III, and IV). After 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 

and maintenance (see Attachment 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 first three vehicles or engines, then 

two more are recruited in the same manner. Additional groups of potential participants will be 

contacted if necessary until the required three or five vehicles have been obtained.

Information 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 types 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 and 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 always 

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 

Inspection/Maintenance (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 receive 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 will agree to conduct a voluntary recall. However, if questions remain, 

EPA has procedures in place to run the compliance test phase with continued manufacturer 

involvement. Even at this stage the inferences are informational 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. The 
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process has not been adversarial in recent years. 

Based 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 reviewable 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 years an estimated average of 120 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 confirmatory classes, 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/respondents spend an average of 7.74 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 II of the Clean Air Act, (42 U.S.C. §7521 et seq.), manufacturers of motor 

vehicles and engines are required to design and build vehicles which will comply with emission 

standards throughout their useful lives. ("Useful life" is defined by statute and regulation; it 

varies by type of vehicle or engine.) Pursuant to section Clean Air Act section 207(c) (42 USC 

§7541), EPA is responsible for monitoring compliance and investigating possible noncompliance 

with emission standards. 

In order to fulfill this function, it is necessary for EPA to test actual "in-use" vehicles;

these vehicles 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 inquiry 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 is 
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within its “useful life” and that it has been “properly maintained and used.” EPA’s Compliance 

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 vehicle 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: Nonduplication, 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 automotive 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 ICR Submission to OMB

EPA will solicit public comment by means of a Federal Register Notice.

3(c) Consultations

In preparing this ICR, 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 

passenger 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. 
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3(d) Effects of Less Frequent Collection

Information 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

Information gathered from light-duty respondents is stored in contractor files. These 

records, including names and social security numbers needed for those who accept payment over 

$599, are completely 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. It is not available to the public. Test results are tracked by vehicle control 

number and are shared with manufacturers 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 system has been assigned System of Records EPA-60.

3(g) Sensitive Questions

No sensitive questions are asked in this information collection.

Section 4. Respondents and Information Requested

4(a) Respondents/SIC & NAICS Codes

The respondents are individual vehicle owners/lessees of any regulated vehicle or engine 

regulated by EPA under the Clean Air Act (No NAICS code).

4(b) Information Requested

(i) Data items

Respondents who receive EPA’s initial request (see Attachments II and III and IV) are 

asked to supply the following information on a form via a postage paid return envelope;

participation is entirely voluntary:

Do they own/lease the desired vehicle; verify the make and model

Current odometer reading

Are they the original owner/lessee
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Transmission type

Are they interested in participating; how EPA should contact them.

Those who indicate they wish to be considered for participation are asked for additional 

information:

Has the odometer malfunctioned and, if so, for how long was it inoperative

Has the vehicle catalyst ever been replaced

Do they have maintenance records; would they allow EPA to review and copy them

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. The owners/lessees receive a cash 

incentive for each day EPA 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 takes two to four weeks. 

Most of the information requested is known by 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 

Information Management

5(a) Agency Activities

Agency staff typically 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 information 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 classes 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

Information is obtained via mailed responses and telephone interviews; it is stored in a 
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vehicle file. The information is reviewed to see if the specific vehicle or engine meets the 

criteria for evaluation. The file is typically maintained for five years and then destroyed.

5(c) Small Entity Flexibility

The information requested is completely voluntary and imposes no mandatory 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

Information 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 

type is to procure. 

Section 6.Estimating the Burden and Cost of the Collection

6(a) Estimating Respondent Burden

As explained above, EPA’s contractor estimated that each telephone interview takes, on 

average, approximately 20 minutes for surveillance questionnaires and 50 minutes for 

confirmatory questionnaires. Subsequent information-related burdens for participants (such as 

reviewing and attesting to the telephone questionnaire answers and supplying maintenance 

records voluntarily) upon delivery of light-duty vehicles, is estimated at 40 minutes. We estimate 

that the initial contact burden by letter to average 5 minutes. 

6(b) Estimating Respondent Costs

(i) Estimating labor costs.

There is no typical individual owner/lessee; they represent the average person who 

acquires or owns a vehicle or engine. For this analysis 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 Employment 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 $11,277.

(ii) Estimating Capital and Operations and Maintenance Costs

This collection has no capital, operations or maintenance costs.
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(iii) Start-up Costs 

This collection has no start-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 following 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

Initial 

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

EMPLOYEES 1.5 (directly involved in information collection) 

COST $966,300
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6(f) Reasons for change in burden

The changes in burden, a decrease of 368 responses and 16 hours, are due to an 

adjustment of testing estimates based on the number and type 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 year; 7.74 minutes on average for each 

owner/lessee who receives a solicitation to participate. This estimate includes the time to review 

the solicitation material, complete the reply correspondence, complete the telephone 

questionnaire for the subset contacted, and complete paperwork for delivery and pickup of 

participating vehicles and for monetary compensation. Participation is completely voluntary. 

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 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 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 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-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 holidays. 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 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-2010-0690 and OMB Control Number 2060-0086 in any

correspondence.