Reports, Forms, and Record Keeping Requirements |
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Michael L. Brown
National Highway Traffic Safety Administration
20 December 2016
[Federal Register Volume 81, Number 244 (Tuesday, December 20, 2016)]
[Notices]
[Pages 92958-92963]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2016-30637]
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DEPARTMENT OF TRANSPORTATION
National Highway Traffic Safety Administration
[U.S. DOT Docket Number NHTSA-2016-0085]
Reports, Forms, and Record Keeping Requirements
AGENCY: National Highway Traffic Safety Administration (NHTSA), U.S.
Department of Transportation.
ACTION: Notice.
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SUMMARY: Before a Federal agency can collect certain information from
the public, it must receive approval from the Office of Management and
Budget (OMB). Under procedures established by the Paperwork Reduction
Act of 1995, before seeking OMB approval, Federal agencies must solicit
public comment on proposed collections of information, including
extensions and reinstatement of previously approved collections.This
document describes a collection of information for which NHTSA intends
to seek OMB approval.
DATES: Comments must be submitted to OMB on or before January 19, 2017.
ADDRESSES: Send comments to the Office of Information and Regulatory
Affairs, OMB, 725 17th Street NW., Washington, DC 20503, Attention:
Desk Officer.
FOR FURTHER INFORMATION CONTACT: Leo Yon, Trends Analysis Division
(NEF-170), Room W45-215, NHTSA, 1200 New Jersey Ave., Washington, DC
20590. Telephone: (202) 366-7028.
SUPPLEMENTARY INFORMATION: Under the Paperwork Reduction Act of 1995,
before an agency submits a proposed collection of information to OMB
for approval, it must first publish a document in the Federal Register
providing a 60-day comment period and otherwise consult with members of
the public and affected agencies concerning each proposed collection of
information. The OMB has promulgated regulations describing what must
be included in
[[Page 92959]]
such a document. Under OMB's regulation, see 5 CFR 1320.8(d), an agency
must ask for public comment on the following:
(i) Whether the proposed collection of information is necessary for
the proper performance of the functions of the agency, including
whether the information will have practical utility;
(ii) the accuracy of the agency's estimate of the burden of the
proposed collection of information, including the validity of the
methodology and assumptions used;
(iii) how to enhance the quality, utility, and clarity of the
information to be collected; and
(iv) how to minimize the burden of the collection of information on
those who are to respond, including the use of appropriate automated,
electronic, mechanical, or other technological collection techniques or
other forms of information technology, e.g. permitting electronic
submission of responses.
In compliance with these requirements, NHTSA asks for public
comments on the following collection of information:
Title: Reporting of Information and Documents about Potential
Defects.
Type of Request: Revision of a currently approved information
collection.
OMB Control Number: 2127-0616.
Affected Public: Businesses or individuals.
Abstract: This notice requests comment on NHTSA's proposed
extension to approved collection of information OMB No. 2127-0616. The
Transportation Recall Enhancement, Accountability, and Documentation
(TREAD) Act (Pub. L. 106-414) was enacted on November 1, 2000. These
TREAD requirements of the Act are found in 49 U.S.C. 30166 and many of
these requirements are implemented through, and addressed with more
specificity in, 49 CFR part 579 Reporting of Information and
Communications about Potential Defects.
These Early Warning Reporting (EWR) requirements specify that
manufacturers of motor vehicles and motor vehicle equipment submit
information, periodically or upon NHTSA's request, that includes claims
for deaths and serious injuries, property damage data, communications
from customers and others, information on incidents resulting in
fatalities or serious injuries from possible defects in vehicles or
equipment in the United States or in identical or substantially similar
vehicles or equipment in a foreign country, and other information that
assist NHTSA in identifying potential safety-related defects. The
intent of this information collection is to provide early warning of
such potential safety-related defects.
Estimated Burden Hours: This approved information collection was
last renewed in August 2013, when additional component type codes were
added to manufacturer EWR submissions. See 78 FR 51412. Due to one-time
investments and other associated costs, the collection was approved for
85,193 burden hours and $10.3 million dollars in the first year. We
estimated subsequent years would require 45,897 burden hours and $5.75
million dollars. Today we update these estimates by removing the first-
year costs associated with the 2013 rulemaking, as well as revising
estimates to better align with current EWR volume.
First, the below estimates are adjusted to better reflect current
EWR submission volume. Table 1 provides an average annual submission
count for each claim category submitted per the requirements of 49 CFR
579:
Table 1--Annual Average of Submissions by Manufacturers
[2013-2015]
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Light Heavy, med Emergency Child Equipment
Category of claims vehicles vehicles Trailers Motorcycles vehicles Buses Tires restraints mfr. Totals
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Injury Fatality............................................... 9,082 97 13 135 3 12 74 378 8 9,804
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Property Damage *............................................. 8,554 572 21 16 2 55 2,261 N/A N/A 11,481
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Warranty Claims............................................... Aggregate Data
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Consumer Complaints........................................... Aggregate Data
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Mfr. Field Reports............................................ 66,064 7,221 13 1,276 3 461 N/A 4,259 N/A 79,297
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Dealer Field Reports.......................................... Aggregate Data
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Foreign Death Claims.......................................... 59 1 1 2 0 0 2 35 0 101
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Totals.................................................... 83,759 7,891 48 1,429 8 528 2,337 4,672 8 100,683
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* Property damage claims are aggregate data but are counted differently because they require more time to manually review.
The above updated submission totals represent a 17% increase from
the currently approved information collection. Submission totals for
each category have risen with an average of 9,804 injury and fatality
claims (previously 6,041 claims), 11,481 property damage claims
(previously 11,402 claims), 79,297 manufacturer field reports
(previously 68,574 field reports), 101 foreign death claims (previously
41 claims), totaling 100,683 submissions on average (previously
estimated at 86,058 submissions).
The agency estimates that an average of 5 minutes is required for a
manufacturer to process each report, with the exception of foreign
death claims. We estimate foreign death claims require an average of 15
minutes to process. Multiplying this average number of minutes by the
number of submissions NHTSA receives in each reporting category yields
the burden hour estimates found below in Table 2:
[[Page 92960]]
Table 2--Estimated Annual Burden Hours
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Light Heavy, med Emergency Child Equipment
Category of claims vehicles vehicles Trailers Motorcycles vehicles Buses Tires restraints mfr. Totals
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Injury Fatality............................................... 757 8 1 11 0 1 6 32 1 817
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Property Damage *............................................. 713 48 2 1 0 5 188 N/A N/A 957
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Warranty Claims............................................... Aggregate Data
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Consumer Complaints........................................... Aggregate Data
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Mfr. Field Reports............................................ 5,505 602 1 106 0 38 N/A 355 N/A 6,608
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Dealer Field Reports.......................................... Aggregate Data
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Foreign Death Claims.......................................... 15 0 0 1 0 0 1 9 0 25
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Totals.................................................... 6,990 658 4 119 1 44 195 395 1 8,407
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* Property damage claims are aggregate data but are counted differently because they require more time to manually review.
Our previous estimates totaled 7,178 burden hours associated with
these Early Warning submissions. We now update that total to 8,407
burden hours, a 17% increase, associated with the above noted claim
categories.
The burden hours associated with aggregate data submissions for
consumer complaints, warranty claims, and dealer field reports are
included in reporting and computer maintenance hours. The burden hours
for computer maintenance are calculated by multiplying the hours of
computer use (for a given category) by the number of manufacturers
reporting in a category. Similarly, reporting burden hours are
calculated by multiplying hours used to report for a given category by
the number of manufacturers for the category. Using these methods and
the average number of manufacturers who report annually, we estimate
the burden hours for reporting cost and computer maintenance below in
Table 3:
Table 3--Estimated Annual Burden Hours for Reporting and Computer Maintenance
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Hours for
Average Quarterly Annual burden computer Annual burden
Vehicle/equipment category number of hours to hours for maintenance hours for
manufacturers report per reporting per computer
manufacturer manufacturer maintenance
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Light Vehicles.................. 39 8 1,248 347 13,533
Medium-Heavy Vehicles........... 39 5 780 86.5 3,374
Trailers........................ 80 1 320 86.5 6,920
Motorcycles..................... 15 2 120 86.5 1,298
Emergency Vehicles.............. 7 5 140 86.5 606
Buses........................... 38 5 760 86.5 3,287
Tires........................... 34 5 680 86.5 2,941
Child Restraints................ 34 1 136 86.5 2,941
Vehicle Equipment............... 6 1 24 .............. ..............
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Totals...................... .............. .............. 4,208 .............. 34,899
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Thus, the total burden hours for EWR death and injury data,
aggregate data and non-dealer field reports is 8,407 (Table 2) + 4,208
(Table 3) + 34,899 (Table 3) = 47,514 burden hours.
In order to provide the information required for foreign safety
campaigns, manufacturers must (1) determine whether vehicles or
equipment that are covered by a foreign safety recall or other safety
campaign are identical or substantially similar to vehicles or
equipment sold in the United States, (2) prepare and submit reports of
these campaigns to the agency, and (3) where a determination or notice
has been made in a language other than English, translate the
determination or notice into English before transmitting it to the
agency. NHTSA estimates that preparing and submitting each foreign
defect report (foreign recall campaign) requires 1 hour of clerical
staff and that translation of determinations into English requires 2
hours of technical staff (note: This assumes that all foreign campaign
reports require translation, which is unlikely). Between 2013 and 2015,
NHTSA received a yearly average of 133 foreign recall reports which
results in 133 hours for preparation and submission of the reports (133
defect reports x 1 hour clerical = 133 hours) and 266 hours for
technical time (133 foreign recall reports x 2 hours technical = 266
hours.
With respect to the burden of determining identical or
substantially similar vehicles or equipment to those sold in the United
States, manufacturers of motor vehicles are required to submit not
later than November 1 of each year, a document that identifies foreign
products and their domestic counterparts. NHTSA continues to estimate
that the annual list could be developed with 8 attorney hours and 1
hour for IT work. NHTSA receives these
[[Page 92961]]
lists from 83 manufacturers, on average, resulting in 747 burden hours
(83 vehicle manufacturers x 8 hours for attorney support = 664 hours) +
(83 vehicle manufacturers x 1 hour for IT support = 83 hours).
Table 4--Hourly Burden for Foreign Reporting
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Burden hours
Task Quantity Occupation -------------------------------
Per unit Total
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Annual List......................... 83 Attorney.................. 8 664
Annual list--Electronic............. 83 IT........................ 1 83
Foreign Defect Report............... 133 Clerical.................. 1 133
Foreign Defect report............... 133 Technical................. 2 266
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Total........................... .............. .......................... .............. 1,146
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Therefore, the total annual hour burden on manufacturers for
reporting foreign safety campaigns and substantially similar vehicles/
equipment is 1,146 hours (774 hours professional time + 133 hours
clerical time + 266 hours technical time). This is an increase of 154
burden hours from our previous estimate (1,146 hours for current
estimate - 992 hours for previous estimate).
Section 579.5 also requires manufacturers to submit notices,
bulletins, customer satisfaction campaigns, consumer advisories and
other communications that are sent to more than one dealer or owner.
Manufacturers are required to submit this information monthly. Section
579.5 does not require manufacturer to create these documents; rather,
only copies of these documents must be submitted to NHTSA. Therefore,
the burden hours are only those associated with collecting the
documents and submitting copies to NHTSA. Manufacturers must index
these communications and email them to NHTSA within 5 working days
after the end of the month in which they were issued.
NHTSA continues to estimate that we receive about 7,000 notices a
year. We estimate that it takes about 5 minutes to collect, index, and
send each notice to NHTSA. Therefore, we continue to estimate that it
takes 7,000 documents x 5 minutes = 35,000 minutes or 583 hours for
manufacturers to submit notices as required under Part 579.5.
Table 5--Total Burden Hours for This Collection
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Annual burden
Reporting type hours
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EWR Reporting (Table 3)................................. 47,514
Foreign Reporting (Table 4)............................. 1,146
Part 579.5.............................................. 583
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Total............................................... 49,243
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Estimated Cost Burdens--We now estimate the calculated cost burdens
that this collection imposes on industry. The hourly wage rates shown
below have been utilized in previous renewals of this collection and
are now updated through June 2016. These current rate adjustments are
derived from the Employment Cost Index Historical Listing (Volume III)
provided by the U.S. Bureau of Labor Statistics to adjust for
inflation. The non-seasonally adjusted wages and salaries, for private
industry workers, were referenced to calculate the following updated
2016 wage rates:
Table 6--Hourly Wage Rates by Occupation
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Wage rate
Occupation -------------------
2011 2016
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Attorney............................................ $130.39 $144.47
Engineer............................................ 130.39 144.47
IT.................................................. 145.59 161.31
Technical........................................... 94.09 104.25
Clerical............................................ 30.69 34.00
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2016 wage data from U.S. Department of Labor.
We have also constructed various breakdowns of the average five
minutes of labor among the various occupations depending on the type of
document that was reviewed. For example, to combine three minutes of
technical labor and two minutes of clerical labor produces a combined
wage rate of $76.15 per hour, using the adjusted 2016 wage rates in
Table 6. Table 7 shows the time allocations and weighted hourly rate by
report:
Table 7--Time Allocation and Weighted Hourly Rate by Report
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Weighted
Claim type Attorney Engineer IT Technical Clerical Total time hourly rate
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Claims of Injury/Death.................. 3 0 0 0 2 5 $100.29
Property Damage......................... 0 0 0 3 2 5 76.15
Mfr. Field Reports...................... 0 0 0 3 2 5 76.15
Foreign Deaths.......................... 3 10 0 0 2 15 129.74
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The total cost for 2016 Claims documents were obtained using the
following formula:
K x T x W = Costs for claim type
Where:
K = Documents submitted by industry
T = Average time spent on a document
W = Wage rate based on U.S. Department of Labor and skill mix.
For example, the estimated cost to report light vehicle death and
injury claims is $75,899 (9,082 death and injury claims reported x 5/60
hours x $100.29 wage rate).
NHTSA estimates the reporting costs as a function of
The number of manufacturers reporting;
The frequency of required reports;
The number of hours required per report; and
The cost of personnel to report.
The number of manufacturers reporting is estimated from EWR
submission. The frequency of reports is fixed at 4 times per year. The
number of hours for reporting ranges from 1
[[Page 92962]]
hour for trailer manufacturer to 8 hours for light vehicle
manufacturers (See Table 3). In addition, we assume that 50 percent of
the total burden hours are utilized by technical personnel while
clerical staff consumes the remaining 50 percent. In other words, the
hourly wage rate for each quarterly report is split evenly between
technical and clerical personnel and a weighted average of the wage
hour is developed from this assumption. For 2016 the wage rate is
$69.13 ([$104.25 x 0.5] + [$34.00 x 0.5]).
The reporting costs are calculated as follows:
M x Tp x 4 x $69.13 = cost of reporting
Where:
M = Manufacturers reporting data in the category
Tp = Reporting time for the category
4 = Quarterly reports per year
$69.13 = Reporting cost wage rate (rounded).
Thus, the estimated reporting cost for light vehicles is $86,272
(39 manufacturers x 8 hours x 4 quarters x $69.13 wage rate).
The costs for computer maintenance including software, hardware,
data storage, etc. were calculated using the following formula:
M x Tc x IT = cost of computer maintenance
Where:
M = Manufacturers reporting data in the category
Tc = Annual computer maintenance time per manufacturer
for the category
IT = IT wage rate
The computer maintenance costs for light vehicles are $2,183,059
(39 manufacturers x 347 hours x $161.31 wage rate).
Table 8 shows the annual cost of reporting EWR information to NHTSA
using the information outlined in tables 1, 2, 3, 6, and 7:
Table 8--Estimate EWR Costs by Submission Type
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Light Heavy, med Emergency Child Equipment
Category vehicles vehicles Trailers Motorcycles vehicles Buses Tires restraints mfr. Totals
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(Injury/Fatality)............................................. 75,899 811 109 1,128 25 100 618 3,159 67 81,916
Property Damage*.............................................. 54,284 3,630 133 102 13 349 14,348 0 0 72,859
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Warranty Claims............................................... Aggregate Data
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Consumer Complaints........................................... Aggregate Data
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Mfr. Field Reports............................................ 419,247 45,825 82 8,098 19 2,926 0 27,028 0 503,224
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Dealer Field Reports.......................................... Aggregate Data
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Foreign Death Claims.......................................... 1,914 32 32 65 0 0 65 1,135 0 3,244
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Reporting Cost................................................ 86,272 53,920 22,121 8,295 9,678 52,537 47,007 9,401 1,659 290,891
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Computer Maintenance.......................................... 2,183,059 544,192 1,116,291 209,305 97,675 530,238 474,424 474,424 0 5,629,607
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Totals.................................................... 2,820,674 648,410 1,138,769 226,992 107,410 586,150 536,463 515,147 1,726 6,581,741
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Note: Totals may not be exact due to rounding.
Table 9 details the total annual costs for reporting annual list of
substantially similar vehicles and foreign safety campaigns:
Table 9--Estimated Annual Costs for Substantially Similar Vehicles and Foreign Safety Campaigns
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Burden hours
Task Qty Occupation 2016 wage rate -------------------------------- Cost
(from Table 6) Per unit Total
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Annual list............................. 83 Attorney..................... $144.47 8 664 $95,929
Annual list--Electronic................. 83 IT........................... 161.31 1 83 13,389
Defect report........................... 133 Clerical..................... 34.00 1 133 4,523
Defect report........................... 133 Technical.................... 104.25 2 266 27,731
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Foreign Campaign Totals............. .............. ............................. ............... .............. 1,146 141,572
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The cost associated for manufacturers to submit Part 579.5 notices,
bulletins, customer satisfaction campaigns, consumer advisories and
other communications that are sent to more than one dealer or owner can
be estimated from the number of hours and wage of personal submitting
the documents. We understand that some manufacturers have clerical
staff collect and submit the documents and other have technical staff.
Because we do not know how many documents are sent by a particular
staff we will assume they are done the higher paid staff. Thus, we
estimated the cost to collect and submit Part 579.5 documents at 583
hours x $104.25 for Technical staff = $60,779 for manufacturers to
submit notices as required under Part 579.5.
Table 10 shows the estimated cost for manufacturers to report EWR
data, foreign campaigns, and Part 579.5 documents through this
collection:
[[Page 92963]]
Table 10--Total Dollar Estimates for Manufacturers To Comply With EWR
Reporting, Foreign Reporting, and Part 579.5 Reporting
------------------------------------------------------------------------
Annual cost
Reporting type ($)
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EWR Reporting (Table 8)................................. $6,581,741
Foreign Reporting (Table 9)............................. 141,572
Part 579.5 Submissions.................................. 60,779
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Total............................................... 6,784,092
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Removed Burdens--Our previous renewal of this collection included
one-time cost estimates associated with adding a new vehicle type, fuel
and/or propulsion system type, and four new components (stability
control, forward collision avoidance, lane departure prevention, and
backover prevention) to vehicle EWR reporting. These one-time costs
were estimated for manufacturers to amend their reporting templates and
revise their software system to support the new reporting requirements.
See 78 FR 51415. Manufacturers were required to make these changes to
their vehicle EWR reporting by January 1, 2015. See 79 FR 47591. As
these one-time costs have already been incurred and manufacturers have
already made the necessary modifications to their systems, a total of
39,296 burden hours and $4.57 million dollars will be removed from this
collection.
Summary of Burden Estimate--Based on the foregoing, we estimate the
burden hours for industry to comply with the current EWR requirements,
foreign campaign requirements and Part 579.5 requirements total 49,243
burden hours (47,514 for EWR requirements + 1,146 hours for foreign
campaign requirements + 583 hours for Part 579.5). This is a decrease
of 35,950 hours from the currently approved collection, mostly due to
the one-time costs we previously estimated and have now removed from
this collection. We now estimate the cost burden for current EWR
requirements, foreign campaign requirements, and Part 579.5
requirements to total $6,784,092 annually.
Estimated Number of Respondents--NHTSA receives EWR submissions,
foreign campaigns, and Part 579.5 submissions from roughly 292
manufacturers per year.
In summary, we estimate that there will be a total of 292
respondents per year associated with OMB No. 2127-0616.
Michael L. Brown,
Acting Director, Office of Defects, Investigation.
[FR Doc. 2016-30637 Filed 12-19-16; 8:45 am]
BILLING CODE 4910-59-P