Defect and Noncompliance Notification and Reporting

Forms and Documents

Document Name	Status
12-22-2017 FINAL 573577 OMB 2127-0004 Part A Supporting Statement.docx Supporting Statement A	2017-12-22

IC Document Collections

IC ID	Document Title	Status
26132	Defect and Noncompliance Notification and Reporting	Modified

ICR Details

OMB Control No: 2127-0004	ICR Reference No: 201712-2127-006
Status: Historical Inactive	Previous ICR Reference No: 201611-2127-002
Agency/Subagency: DOT/NHTSA	Agency Tracking No:
Title: Defect and Noncompliance Notification and Reporting
Type of Information Collection: Revision of a currently approved collection	Common Form ICR:  No
Type of Review Request: Regular
OIRA Conclusion Action: Improperly submitted and continue	Conclusion Date: 04/04/2019
	Date Received in OIRA: 12/22/2017
Terms of Clearance:

	Inventory as of this Action	Requested	Previously Approved
Expiration Date	12/31/2017	36 Months From Approved	07/31/2020
Responses	6,821	0	6,821
Time Burden (Hours)	36,070	0	36,070
Cost Burden (Dollars)	96,630,000	0	96,630,000

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Abstract: The 49 CFR Part 573 and 577 requirements in this collection are required in accordance with federal statutes and regulations. The supplemental recall communications for the Takata recalls referenced in this collection are required under NHTSA’s Coordinated Remedy Order, as amended on December 9, 2016 (the “ACRO”), addressing the Takata recalls and requiring affected vehicle manufacturers to conduct supplemental owner notification efforts in coordination with NHTSA and the Independent Monitor of Takata. Specifically, this involves providing at least one form of consumer outreach per month for vehicles in a launched recall campaign (i.e., a recall where parts are available) until the vehicle is remedied (unless otherwise accounted for as scrapped, stolen, exported, or otherwise unreachable under certain procedures in the ACRO), and the Monitor recommended that manufacturers utilize at least three non-traditional means of communication (postcards; email; telephone calls; text message; social media) as part of their overall outreach strategy. For 49 CFR Part 573 and 577, entities that must respond are motor vehicle and motor vehicle equipment manufacturers. For the supplemental recall communications for the Takata recalls under the ACRO, entities that must respond are those subject to the relevant ACRO provisions. Generally, this collection involves recordkeeping, reporting, and notification requirements. The frequency of collection associated with 49 CFR Part 573 and 577 requirements varies depending on the information at issue. The frequency of collection associated with supplemental recall communications for the Takata recalls referenced in this collection is monthly. For collection associated with 49 CFR Part 573 and 577, the information to be reported, maintained, and/or disclosed includes safety defect and noncompliances, recall communications, recall reimbursement plans, lists of owners, purchasers, dealers, distributors, lessors, and lessees of products determined to be defective or noncompliant and involved in a recall campaign, tire disposal, bankruptcy, online recalls portal accounts, VIN look-up tools, 15-year repair statuses for recalled vehicles, and quarterly reports regarding progress of recall campaigns. DOT, vehicle owners, purchasers, dealers, and distributors will receive certain information under this collection. For the supplemental recall communications for the Takata recalls under the ACRO, supplemental communications notify owners of the recalls, safety-related information, and the associated remedy; affected vehicle owners will receive that information. The overall purpose of this collection is to enable NHTSA to administer, monitor, and enforce legal, statutory, and regulatory requirements intended to ensure the safety of the motoring public through the proper and timely notification and remedy of defective or noncompliant motor vehicles and motor vehicle equipment. Revisions to our previous estimates for this collection are due, first, to an increase in the number of safety recalls and volume of products in those recalls, as well as an underestimation as to the number of recalls the 17 major passenger-vehicle manufacturers conduct annually. Second, revisions are due to the consideration of comments, which resulted in revising several burdens upward. And last, revisions are due to the inclusion in this burden analysis of the aforementioned supplemental recall notifications requirement in NHTSA’s ACRO.

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Authorizing Statute(s): US Code: 49 USC 30101,30118,30119,30120,30166 Name of Law: Motor Vehicle Safety
   PL: Pub.L. 112 - 141 126 Stat 405 Name of Law: MAP-21 Act
  

Citations for New Statutory Requirements: PL: Pub.L. 112 - 141 Section 31301 Name of Law: Moving Ahead for Progress in the 21st Century (MAP 21) Act

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

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Federal Register Notices & Comments
60-day Notice:	Federal Register Citation:	Citation Date:
	82 FR 45941	10/02/2017
30-day Notice:	Federal Register Citation:	Citation Date:
	82 FR 245	12/22/2017
Did the Agency receive public comments on this ICR? Yes

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

IC Title	Form No.	Form Name
Defect and Noncompliance Notification and Reporting

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Burden increases because of Program Change due to Agency Discretion: Yes

Burden Increase Due to: Miscellaneous Actions

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

Burden Reduction Due to:

Short Statement: Adjustments to the estimates, first, to an increase in the number of safety recalls, and volume of products in those recalls, has increased the estimates for certain recalls-related burdens. We previously estimated that NHTSA administers an average of 854 recalls each year. However, NHTSA now administers an average of 963 recalls each year using updated figures from 2014, 2015, and 2016. We also previously underestimated that the 17 major passenger-vehicle manufacturers conducted an average of 45 recalls annually. Revisions and increases are detailed in our burden estimates found in Items 12 and 13. Second, adjustments to the estimates, due to the consideration of comments, which resulted in revising several burdens upward, including the gathering of information for quarterly reports and, for the 17 major passenger-vehicle manufacturers: the submission of quarter reports; updating Part 573 Reports with amendments; preparing and finalizing Part 577 owner notification letters; indexing communications regarding defects and noncompliances sent to owners, purchasers; and tailoring letters regarding reimbursement plans to specific recalls. And last, adjustments to the estimates, due to the inclusion in this burden analysis of a requirement in NHTSA’s Coordinated Remedy Order, as amended on December 9, 2016, addressing the Takata recalls and requiring affected vehicle manufacturers to conduct supplemental owner notification efforts in coordination with NHTSA and the Independent Monitor of Takata. Specifically, this involves providing at least one form of consumer outreach per month for vehicles in a launched recall campaign (i.e., a recall where parts are available) until the vehicle is remedied (unless otherwise accounted for as scrapped, stolen, exported, or otherwise unreachable under certain procedures in the ACRO), and the Monitor recommended that manufacturers utilize at least three non-traditional means of communication (postcards; email; telephone calls; text message; social media) as part of their overall outreach strategy.

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Annual Cost to Federal Government: $610,806

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

Does this ICR request any personally identifiable information (see OMB Circular No. A-130 for an explanation of this term)? Please consult with your agency's privacy program when making this determination.     No

Does this ICR include a form that requires a Privacy Act Statement (see 5 U.S.C. §552a(e)(3))? Please consult with your agency's privacy program when making this determination.     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

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Common Form ICR:  No

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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: 12/22/2017

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