Final 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

December

, 2014

Compliance Division Office of Transportation and Air Quality

Office of Air and Radiation U.S. Environmental Protection Agency2

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 ICR includes only the light

- duty vehicle portion of

the in

- use testing program . The heavy

- duty and off

- road vehicle an d engine programs are included under OMB Control Number 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 e ngine 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 t he surveillance testing program , with the po ssibility of a compliance testing phase. The

second is a small program testing the functioning of onboard diagnostics (O B D) system s on in

use vehicles

, which is simply additional testing on a subset of vehicles already recruited for the surveillance progra m

. 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 wit h 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 syst em 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 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 manufactu rers’ 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

t he 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 mil es 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

. After a suitable time for respo nse, 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 ma intenance. The first thre e 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 ar e recruited in the same manner. A dditional groups of potential participants will be contacted if necessary until the required three or five

vehicles ha ve 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 w illing 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 ar e 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

fai lures. 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 informa tion 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 receiv e all test results, including test failures. The p rocess 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 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 appropr iate 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 ased 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. I n 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 evidenc e” 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 ma ke 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 O BD 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 t o 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 II of the Clean Air Act, (42 U.S.C. § 7521 et seq.), manufacturers of motor

vehicles and engines are required to design and bu ild vehicles which will comply with emission standards throughout their useful lives. ( " Useful life " is de fined by statute and regulation; it varies by type of vehicle or engine .) Pursuant to se ction Clean Air Act section 207 (c) (42 USC § 7541 ), EPA is re sponsible for monitoring compliance and investigati ng possible noncompliance

with emi ssion 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/lessee s. 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 partici pate; 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 mai ntained 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 vehicle to be tested, identified by a “vehicle con trol 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

In compliance with the Paperwork Reduction Act (PRA) (44 U.S.C. 3501 et seq .), EPA has notified the public through the Federal Register notice on the renewal of this ICR ( 79 FR

57928 on September 26, 2014 ) during a 60

- day co mment period

. No comments were collected.

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

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

m inutest for confirmatory questionnaires

. Stephen Prothro is her supervisor.6

3(d) Effects of Less Frequent Collection

Information is collected only once per vehicle evaluation; less frequent collection is not possible. Less frequent collection would ma ke it impossible for EPA to verify compliance with Title II of the Clean Air Act, (42 U.S.C. §7521 et seq.).

3 (e) General Guidelines

This information collection activity complies with the requirements of 5 CFR 1320.5(d)(2).

3 (f) Confidentiality

I nformation 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 complete ly segregated from test results which are separately handle d 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 manuf acturers by email automatical ly; 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 N AICS code)

.

4 (b) Information Requested

(i) Data items

Respondents who receive EPA ’ s initial request (see “Reply Form”, etc. Attachments II

and III and IV ) are asked to supply the following information on a form via a postage paid ret urn envelope; participation is entirely voluntary:

D o they own/lease the desired vehicle ; verify the m ake and model Current odometer reading7

Are they the original owner/lessee 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 vehi cle catalyst ever been replaced Do they have maintenance records; would they al low 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 by the v ehicle owner or a contractor

. T he 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 take s 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 ha ve no involvement in gathering the information, as that task is done by an EPA contractor. However, on oc casion, 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. Age ncy 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 Management8

Information is obtained via mailed res p onses and telephone interviews; it is stored in a 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 Enti ty 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 is no addit ional need to reduce 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 partic ular 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 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 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. The total response burden is estimated to be 505 hours annually.

6(b) Estimating Respondent Costs

(i) Estimating l abor costs.

The re 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 Burea u 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 $1 1,277.9

(ii) Estimating Capital and Operations and Maintenance Costs

This collection has no capital, operations or maintenance costs.

( iii) Start

- up Costs

This collection has no start

- up costs.

6(c) Estimating Agency Burden

EPA uses contractor employees to collect essentially all t he 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 t otal 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 Ho urs and Cost

(i) Respondent Tally

Program Vehicles/

Engines Initial

Contacts Burden @

5 min ea.(min) Participa nt

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

B urden @

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 tally10

EMPLOYEES 1 .5 (directly involved in information collection)

COST $ 966,300

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 test ing 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; less than one h our 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 co mplete paperwork for delivery and p ickup 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 disc lose 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 a nd 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 publ ic

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 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

S treet, NW, Washington, D.C. 20503, Attention: Desk Officer for EPA. Please include the EPA11

Docket ID Number EPA

- HQ

- OAR

- 2010

- 0690 and OMB Control Number 2060

- 0086 in any correspondence.