Criminal Penalty Safe Harbor Provision

Forms and Documents

Forms and supporting documents for this ICR

Document	Type	Status	Availability
TREAD Act Pub L No 106 414 (Nov 1 2000).pdf	Supplementary Document	Uploaded 2013-08-07	Available
Safe Harbor PRA (2013 submission) (Supporting Statement)_08012013.doc	Supporting Statement A	Uploaded 2013-08-07	Available

IC Document Collections

Information collection document groups

IC ID	Collection	Type	Status	Form
26312	Criminal Penalty Safe Harbor Provision		Modified

ICR Details

OMB Control No: 2127-0609	ICR Reference No: 201308-2127-001
Status: Historical Active	Previous ICR Reference No: 201009-2127-003
Agency/Subagency: DOT/NHTSA	Agency Tracking No:
Title: Criminal Penalty Safe Harbor Provision
Type of Information Collection: Extension without change of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Approved without change	Conclusion Date: 10/25/2013
	Date Received in OIRA: 08/07/2013
Terms of Clearance:

table that charts list comparision

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	10/31/2016	36 Months From Approved	12/31/2013
Responses	1	0	1
Time Burden (Hours)	2	0	2
Cost Burden (Dollars)	0	0	0

---

Abstract: Section 5 of the Transportation Recall Enhancement, Accountability, and Documentation ("TREAD") Act (Pub. L. No. 106-414) establishes 49 U.S.C. § 30170, which provides for criminal liability in circumstances where a person had the intention of misleading the Secretary of Transportation (Secretary) regarding safety-related defects in motor vehicles or motor vehicle equipment that caused death or serious bodily injury. It also contains a “safe harbor” that allows a person to avoid criminal penalties if that person lacked knowledge at the time of the violation that the violation would result in an accident causing death or serious bodily injury and if that person corrects any improper reports or failure to report to the Secretary within a reasonable time. The Secretary is required to establish by regulation what constitutes a “reasonable time” and a sufficient manner of “correction.” This collection of information is necessary because it has been statutorily-mandated. In addition, this information collection supports the Department of Transportation’s strategic goal in safety by working towards the elimination of transportation related deaths and injuries.

---

Authorizing Statute(s): PL: Pub.L. 106 - 414 5 Name of Law: Transportation Recall Enhancement Accountability and Document Act
  

Citations for New Statutory Requirements: None

---

Associated Rulemaking Information
RIN:	Stage of Rulemaking:	Federal Register Citation:	Date:
	Not associated with rulemaking

---

Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 23330	04/18/2013
30-day Notice:	Federal Register Citation:	Citation Date:
	78 FR 44620	07/24/2013
Did the Agency receive public comments on this ICR? No

---

Number of Information Collection (IC) in this ICR: 1

table that charts list of burden

IC Title	Form No.	Form Name
Criminal Penalty Safe Harbor Provision

---

ICR Summary of Burden

table that charts list of burden

	Total Approved	Previously Approved	Change Due to New Statute	Change Due to Agency Discretion	Change Due to Adjustment in Estimate	Change Due to Potential Violation of the PRA
Annual Number of Responses	1	1	0	0	0	0
Annual Time Burden (Hours)	2	2	0	0	0	0
Annual Cost Burden (Dollars)	0	0	0	0	0	0

Burden increases because of Program Change due to Agency Discretion: No

Burden Increase Due to:

Burden decreases because of Program Change due to Agency Discretion: No

Burden Reduction Due to:

Short Statement:

---

Annual Cost to Federal Government: $0

Does this IC contain surveys, censuses, or employ statistical methods? No

Is the Supporting Statement intended to be a Privacy Impact Assessment required by the E-Government Act of 2002? No

Is this ICR related to the Affordable Care Act [Pub. L. 111-148 & 111-152]? No

Is this ICR related to the Dodd-Frank Wall Street Reform and Consumer Protection Act, [Pub. L. 111-203]? No

Is this ICR related to the American Recovery and Reinvestment Act of 2009 (ARRA)? No

Is this ICR related to the Pandemic Response? Uncollected

---

Common Form ICR:  No

---

On behalf of this Federal agency, I certify that the collection of information encompassed by this request complies with 5 CFR 1320.9 and the related provisions of 5 CFR 1320.8(b)(3).

The following is a summary of the topics, regarding the proposed collection of information, that the certification covers:

(a) It is necessary for the proper performance of agency functions;

(b) It avoids unnecessary duplication;

(c) It reduces burden on small entities;

(d) It uses plain, coherent, and unambiguous language that is understandable to respondents;

(e) Its implementation will be consistent and compatible with current reporting and recordkeeping practices;

(f) It indicates the retention periods for recordkeeping requirements;

(g) It informs respondents of the information called for under 5 CFR 1320.8 (b)(3) about:

(i) Why the information is being collected;

(ii) Use of information;

(iii) Burden estimate;

(iv) Nature of response (voluntary, required for a benefit, or mandatory);

(v) Nature and extent of confidentiality; and

(vi) Need to display currently valid OMB control number;

(h) It was developed by an office that has planned and allocated resources for the efficient and effective management and use of the information to be collected.

(i) It uses effective and efficient statistical survey methodology (if applicable); and

(j) It makes appropriate use of information technology.

If you are unable to certify compliance with any of these provisions, identify the item by leaving the box unchecked and explain the reason in the Supporting Statement.

Certification Date: 08/07/2013

---