Defect and Voluntary Emission Report System
Guidance for Submitting Emission Defect
Information Reports and Voluntary Emission
Recall Reports to the Verify Document Module
United States
Environmental Protection
Agency
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Defect and Voluntary Emission Report System
Guidance for Submitting Emission Defect
Information Reports and Voluntary Emission
Recall Reports to the VERIFY Document Module
Compliance and Innovative Strategies Division
Office of Transportation and Air Quality
U.S. Environmental Protection Agency
v>EPA
United States EPA-420-B-10-001
Environmental Protection r , „„_
Agency February 2009
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BACKGROUND AND INTRODUCTION
All manufacturers are required to submit reports to the United States
Environmental Protection Agency (EPA) describing emission-related defects and
plans for remediation of indicated defects to the EPA according to the regulations
in 40 CFR §85.1903 and §85.1904, respectively. This document describes the
general process for submitting electronic versions of Emissions Defect
Information Reports (DR), Voluntary Emission Recall Reports (VERR), and
VERR Quarterly Update Reports (QR) to the Verify Document Module.
Previously, manufacturers submitted DRs, VERRs, and QRs to EPA in hard-copy
form via regular mail delivery or in various electronic files via e-mail. To
standardize the forms, improve the submission process, and provide for
improved storage and use of the data EPA developed electronic forms to allow
electronic submittal of DRs, VERRs, and QRs. In order to use existing systems
and automate the submittal process, EPA is using the Document Module of the
Verify data management system to collect these electronic files.
Once the new DRA/ERR/QR electronic forms are implemented, the process
described in this document will be the only method available to manufacturers for
submitting DRA/ERR/QRs unless otherwise directed.
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DEFECT AND VOLUNTARY EMISSION REPORTS -
VERIFY DOCUMENT MODULE SUBMITTAL PROCESS
VERIFY DOCUMENT MODULE ACCESS VIA CDX
1. Log on to the Central Data Exchange (CDX) home page at
http://www.epa.gov/cdx/ and enter your login name and password.
§
File Edit View Favorites Tools Help
Eupsn Central Data Exchange I ... X
U.S. ENVIRONMENTAL PROTECTION AGENCY
Search: OAll EPA 0 This Area
herei EC& Name » Central Data Exchange
CENTRAL DATA
EXCHANGE
The Central Data Exchange (CDX) enables fast, efficient and more accurate environmental data submissions from
state and local governments, industry and tribes to the Environmental Protection Agency (EPA) and participating
program offices.
EPA's CDX is the point of entry on the Environmental Information Exchange Network (Exchange Network) for
environmental data submissions to the Agency. CDX works with both EPA program offices looking for a way to
better manage incoming data, and stakeholders looking for a way to reduce time and money spent to meet EPA
| reporting requirements. CDX provides stakeholders with the ability to:
Submit data through one centralized point of access
Fill out a single electronic form which can be submitted instantaneously instead of mailing multiple paper
forms
Receive Agency confirmation when submissions are received
Submit data in a variety of formats including Webs Forms, XML, binary., or flat-file
Exchange data with target systems using web services
Reduce costs associated with submitting and processing data submissions
125,587 CDX User
Registrations
4* systems in production
16 systems in test or
development
Visit CDX Projects
Cress-Media Electronic
Reporting Rule
Exchange Network
Network Grants Program
Utilize publishing services to share information collected by EPA with other stakeholders., including states and
tribes
e/change
^-Network
Have a question about CDX?
The CDX Hglp Desk is available for data submission technical support between the hours of 8:00 am and 6:00 pin (EST) at 1-888-890-1995 or
:- "i esc,com.
+V1DO%
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2. Select "Log-in to CDX" in the blue panel on the left side of the page and
enter your user name and your password on the CDX log-in page. (If you
do not have a CDX account, see http://www.epa.gov/otaq/verify/setup.htm
for the required steps to take).
File Edit View Favont-
f-^Environmental Protection ,,, X
U.S. Environmental Protection Agency
Centra! Data Exchanae Loain
EPAs Central Data E ecnange Registration procedure is part of a United Stales Environmental FrotectHW ^..iency iEPA; computer system mien is for authorized use
only Unauthorized access or use of this computer system may subject violators to criminal civil and'or administrative action All information on this computer system
may be monitored, recorded read copied and disclosed by and to authorized personnel for official purposes including law enforcement. Access or use of this compute
system by any person whether authorized or unauthorized constitutes consent to these terms.
EPA will use the persona d-=nt,tying mfrjrma'icn vn«3! ycu provide fcr th= expressed Liispos^ cf recMstration to the Central Data Exchange site and for updating and
correcting information in internal EPA databases as necessary The Agency will not make this information available for other purposes unless required by law EPA does
net sell a,' other ;se tsansfe! personal infonr-sr-cn i;: an outsi:!e ihnJ part, i^J^a -:^:i;-. (.'.S'll ' :. lO.l'1 :n.'i^ -." ' i.i IK ^ : 1 I J'a:^ '1'. : '.- ' 1: '
You are in an encrypted secure session
Help Desk: (338; B90-1&B5
-
3. Following log-in, your personal CDX page, the "MyCDX" page, will load.
On this page, you should select "Verify: Upload Compliance Documents"
under the "Available Account Profiles" box.
File Edit View Favorites Tools Help
F~-*= €>|@-S» m-
MyCDX
U.S. fnwronmental Protection Agency -
Welcome. Last Login: August 25. 2009
Mr Don Louwsma Registered Since: October 7, 2008
RecertiTication Date: October 7, 2008
CDX Registration Status: Active
You have 0 new messages In yo
Clt.iii'ie SusTem E«BT Peison.il Eilrt ciinei
AvaiLible Account Profiles:
• VERIFY: Upload Compliance Documents
• VERIFY Light- Duty
ur Inbox
It A«kl Hew
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You are In an encrypted s
Q EPA Central Data Exchange
Last undated on June 10. 2005
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4. Next, the page for submitting a document to Verify via CDX will load. You
are now ready to enter the information needed for submitting DRA/ERR
Forms and Attachments to the Verify Document Module.
U.S. Environmental Projection Agency
Upload EPA Compliance Documents From Manufacturer Workstation
y_CDX > Upload EPA Compliance Documents
Logged in as. JOHNHENDON. Manufacturer; Environrne... - EPA (Logout)
1. Required fields are marked with ' and cannot tte left blank.
MyCDX
Inbox
Change Password
Frequently Asked
Questions
Help & Support
Document Path ninl File Name '
Industry :
(CTRL -• Click to select multiple values)
Compliance Document Ty|>e
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Coiificleiitmlity Status '
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Does tills document apply to one/multiple
specific mn
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DEFECT AND VOLUNTARY EMISSION REPORTS -
VERIFY DOCUMENT MODULE SUBMITTAL PROCESS
SUBMITTING DEFECT AND VOLUNTARY EMISSION RECALL REPORT
FORMS AND ATTACHMENTS - INSTRUCTIONS FOR ENTERING
INFORMATION IN THE VERIFY DOCUMENT MODULE
1. EPA Manufacturer Code: This field will be auto-populated based on the
manufacturer code you entered during the CDX registration process.
2. Document Path and File Name: You can type in the filename or you can
select "Browse" and locate the file on your computer. The file that is being
uploaded must already be saved on the submitter's workstation according
to the naming convention shown at the end of this document, which is
much simpler than the document naming convention shown on the Verify
Document Module's Help Page.
3. Industry: Select an industry from the pull-down menu. In the rare case
that the DRA/ERR you are submitting applies to multiple industries, you
can select them all by holding down "Ctrl" on your keyboard and left click
your mouse on each of the applicable industries.
4. Compliance Document Type: Within the pull-down menu, there are
several options depending on the type of document you are submitting
(e.g. report or attachments). Below are the different options for entering
data in this field. From the pull-down menu, you should select:
a. "Defect Report (Report)" for submitting a defect report (DR);
b. "Voluntary Emission Recall Report" for submitting a voluntary
emission recall report (VERR) or a VERR quarterly update report
(QR).
DO NOT SELECT THE "VERR QUARTERLY UPDATE" OPTION!
This will be handled under the subsequent field, "General
Document Type"; or
c. "Other" for a DR/VERR Attachment. A text box will appear that you
are required to enter data into since you selected "Other". In this
field, you should indicate what type of report (e.g., DR or VERR)
that this attachment applies to and the applicable report number
(e.g., "DR attachment - 3522" or "VR attachment - 0021").
d. Note that attachments should not be submitted for QR's. New
documents that are created during the period covered by a QR
should be submitted as an attachment to a revised VERR.
5. Compliance Document Topic: Data can only be entered in this field
when you have selected "Defect Report (Report)" or "Voluntary Emission
Recall Report" for "Compliance Document Type" (see paragraph 4c
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above). Below are the different options for entering data in this field.
Depending on the type of report you are submitting, you should select:
a. "Initial Report" or "Follow-up Report" for submitting a DR,
depending on whether you are submitting it for the first time or are
correcting/updating an existing DR, respectively;
b. "Notification of Voluntary Recall" or "Follow-up Report" for
submitting a voluntary emission recall report (VERR), depending on
whether you are submitting it for the first time or are
correcting/updating an existing VERR, respectively;
c. "Quarterly Update Report" for submitting a VERR quarterly update
report (QR).
DO NOT SELECT THE "REMEDIAL PLANS" OPTION! The
VERR includes the information that constitutes a remedial plan and,
therefore, this option is not necessary.
6. General Document Type: Data can only be entered in this field when
you have selected "Other" for "Compliance Document Type" (see
paragraph 4c above). Select the appropriate entry from the pull-down
menu.
7. Confidentiality Status: For manufacturers filing a report(s) for Light-Duty
and Complete Heavy-Duty Vehicles and Trucks, you must select FOIA.
For manufacturers filing a report(s) for Heavy-Duty or Nonroad engines,
you may select CBI.
8. Document Applicability: Since manufacturers will be including the test
group information on the report(s) submitted to the Verify Document
Module, manufacturers should select "General Applicability (do not specify
any EF/TGs)" for this field.
9. Does this document apply to one/multiple specific model year(s)?: In
almost all cases, you should select "Yes" for this field. You will then be
required to select the applicable model year(s) in the subsequent field. If
Model Year is not applicable to your product or industry, please select
"No".
10. Model Year: If the report applies to a single model year, please select the
applicable model year. If the report applies to multiple model years,
depress the "Ctrl" button on your keyboard and select each applicable
model year.
11. Document Date: Click the "Select" button to bring up a calendar and then
select the date of the report. (The submittal date will be automatically
recorded by the system.)
12. Title: Enter the title of the document as it appears on the document you
are submitting. For more guidance, you may click the "Help" button at the
top of the form and follow the instructions given for this field.
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13. Abstract: At the beginning of this field, you should enter the applicable
DR or VERR number (e.g., 3522) to allow searching for a particular report.
Note that in the case of a QR that applies to more than one VERR, the
VERR numbers that the QR applies to should be entered as a comma
separated list.
Following the DRA/ERR number, you may enter information that describes
the document. For more guidance, you may click on the "Help" button at
the top of the form and follow the instructions given for this field.
14. Keywords: For all report types (DRA/ERR/QR), you should select "In-
Use" at a minimum. For the VERR/QR, in addition to selecting "In-Use",
you should also select "Recall".
15. Are you the document owner?: If the person submitting the document
to the Verify Document Module is also the person that should be
contacted regarding details in the document being submitted, you should
check "Yes" for this field. The Verify Document Module will automatically
enter the information for the document owner name, phone number and e-
mail address in the appropriate boxes based on your Verify user account
information. Otherwise, you should check "No" and enter the appropriate
document owner's name, phone number and e-mail address in the
required text boxes.
This information, along with the Verify user account information, will be
used to automatically populate the submitter and contact information in
EPA's database and for reference by the EPA. Therefore, please ensure
the accuracy of this information when entering data.
16. Comments: You may enter any additional details or notes in this field
that you feel are relevant and necessary. For more guidance, you may
click on the "Help" button at the top of the form and follow the instructions
given for this field.
17. As noted throughout these instructions, there is a Help button at the top of
the page that will provide guidance for each field in the Verify Document
Module submittal page.
18. If you want to resubmit a document: Each document that is submitted
to the Verify Document Module must have a unique name. If you have to
resubmit a document because it was not accepted by the Verify Document
Module, you will have to rename the file with a unique file name. In this
case you only need to add a lower case letter, starting with the letter "a"
and incrementing upward in alphabetical order, at the end of the "Version
Indicator" field. For example, if you submitted a file with a minor error in it
named:
FOI_ABC_DRE_0013_BD_ROO.pdf
the corrected and resubmitted file should be renamed:
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FO I_AB C_D RE_0013_B D_ROOa. pdf
If multiple resubmissions are required, increment the lower case letter for
each successive resubmission (e.g., "a", "b", "c").
NOTE: This character is only necessary if a document you
submitted was not accepted by the Verify Document Module.
Otherwise, you may leave this character off of the file name.
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Naming a Document File
A name of a document file consists of four sections:
Confidentiality Applicability Information Type_ Version Indicator, suffix [file type]
Each section has multi-elements as listed in the following table:
Section 1
Confidentiality
(3 characters + underscore)
Section 2
Applicability
(3 characters + underscore)
Section 3
Information Type
(9 characters + 3 underscores)
Section 4
Version and
Submission
Indicator
(4 characters)
CBI_: a confidential file
that will not be released to
the public
FOI _: a non-confidential
file after remove
confidential information
from a CBI file so that it is
readily releasable to the
public after your
vehicles/engines are
introduced into commerce
Manufacturer Code_: the
three character code used by
the manufacturer in VERIFY
DRE_XXXX_BD_: Defect report CD w
VER_ XXXX_BD_: Voluntary emission
recall report a> (4>
• QR#_ YYYY_BD_: Voluntary emission
recall quarterly report (2)(3)(4)
Notes:
(i)
"XXXX_" should be the four digits DR or
VERR number assigned by the manufacturer.
(2)
"# "should be 1, 2, 3 or 4 indicating the
quarter of the calendar year that the report
applies to.
"YYYY_" should be the calendar year the
report applies to.
W
"BD_" (Base Document) should only be
changed to one of the following when a
document is an _attachment to a DR or a
VERR:
ED: Emissions Data
DN: Dealer Notification
ON: Owner Notification
RI: Repair Instructions
SB: Technical Service Bulletin
SL: Sample Repair Label
OT: Other
Version Indicator
(Characters 1-3)
• ROO: original
sty
• R01: 1 revision
nod
• R02: 2 revision
Submission
Indicator
(Character 4;
optional: only
required if you are
resubmitting a
document following
an unsuccessful
submission)
• RXXa: 1st
resubmission of same
document
RXXb: 2nd
resubmission of same
document
10
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Examples:
Reports submitted by manufacturer ABC:
bl. Example Names for DR/VERR/QR Report Files
Application File Name
FOI_ABC_DRE_0013_BD_R02
CBI_ABC_VER_00 14_BD_ROO
FOI_ABC_QR3_2009_BD_ROO
FOI_ABC_DRE_0013_BD_R02a
Name Explanation
Public file with CBI (Confidential Business
Information) removed, for manufacturer ABC, Defect
Report #0013, second revision.
File containing Confidential Business Information, for
manufacturer ABC, Voluntary Emission Recall Report
#0014, original version.
Public file with CBI (Confidential Business
Information) removed, for manufacturer ABC,
Voluntary Emission Recall Quarterly Reports for 3Q
2009, original version.
Public file with CBI (Confidential Business
Information) removed, for manufacturer ABC, Defect
Report #0013, second revision, first resubmission
following unsuccessful submission
b2. Example Names for Attachments to DR/VERR Report Files
Application File Name
CBI
FOI_
ABC_DRE_0013_ED_ROO
ABC_VER_00 14_SB_ROO
Name Explanation
File containing Confidential Business Information, for
manufacturer ABC, Defect Report #0013, Available
Emissions Data, original version.
Public file with CBI (Confidential Business
Information) removed, for manufacturer ABC,
Voluntary Emission Recall Report #0014, Technical
Service Bulletin, original version.
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