Instructions for Certifying Imported 

Mini Trucks 
Instructions for Certifying Imported 


Mini Trucks 


Certification and Compliance Division 

Office of Transportation and Air Quality 

U.S. Environmental Protection Agency 

EPA-420-B-09-028 

June 2009 
I. Introduction 

EPA has revised regulations that affect the importation of vehicles that were 

originally built and used as motor vehicles but have been converted for nonroad use. 

These regulatory provisions were published in the Federal Register on October 8, 2008 

(73 FR 59053), and can be found on our web site at: 

http://www.epa.gov/otaq/regs/nonroad/marinesi-equipld/bondfrm.pdf. Under the revised 

regulations, EPA now requires certification of engines and vehicles converted for 

nonroad use that are imported on or after December 8, 2008. 

Japanese Kei-class light-duty trucks, also known as mini trucks, which have been 

converted to limit speed to 25 miles per hour (mph), are impacted by the new 

regulations. Generally, mini trucks are small trucks or vans with small spark-ignited (SI) 

engines with displacement below 1000 cubic centimeters and maximum engine power 

less than 30 kilowatts (kW) with a governed maximum speed of 25 mph or less. Mini 

trucks can also fall into the Large SI category if they are either >1000cc displacement 

or > 30kW maximum engine power with a governed maximum speed of 25 mph or less 

(after 2011 model year the maximum engine power will be determined without any 

mechanical governor). 

The revised regulations do not abolish importation of these products, but they do 

add the requirement to certify engines before importation. Certification of nonroad 

engines generally involves testing the engines to show that emission levels are below 

the standards, applying to EPA for a certificate of conformity, and complying with other 

requirements specified in the applicable regulations (either 40 CFR 90, 40 CFR 1054 or 

40 CFR 1048) for certified engines. In order to be considered nonroad, mini trucks must 

be speed limited to less than 25 mph, and the manufacturer (the importer will be 

referred to as the manufacturer through out this document) must prove the minitruck 

has a robust tamper-proof speed limiting method. 

If the imported engine/vehicle was originally equipped with automotive-type 

emission controls, we would expect only minor modifications to be needed to meet 

nonroad engine emission standards. If the engine/vehicle does not have emission 

controls, extensive modifications may be needed to comply with nonroad engine 

emissions standards. 

EPA has determined that only mini trucks that have been permanently modified 

from the original motor vehicle design such that the resulting vehicle speed is 25 mph or 

less are considered to be nonroad vehicles. All other mini trucks are classified as motor 

vehicles and must meet all applicable regulations for motor vehicles. This is consistent 

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with EPA’s motor vehicle exclusion determinations per the Code of Federal Register 

(CFR), 40 CFR 85.1703 for mini trucks. 

As discussed above, mini trucks generally fall into the Small SI (40 CFR 90) 

category which includes engines ≤ 19 kW (engines with displacement ≤ 1000cc and

power ≤ 30kW may optionally meet Small SI standards). Engines with power >30 kW 

or displacement > 1000 cc must be certified to the Large SI (40 CFR 1048) standards. 

The following requirements apply uniquely to Large SI engines: 

• More stringent exhaust emissions standards including a useful life of 

5000 hours (§1048.101) 

• Field-testing standards (§1048.101 (c) and 1048.515) 

• Evaporative controls (§1048.105)

• Diagnostic requirements (§1048.110) 

• Different steady state duty cycle (§1048.505)

• Transient duty cycle for engines governed to operate with maximum 

test speed at or below 3400 rpm (§1048.510)

• In-use testing program for manufacturers (Part 1048 Subpart E) 

• Lower threshold for production line testing (Part 1048 Subpart D). 

This document is intended to provide an overview of the processes and 

procedures that must be completed in order to obtain an EPA certificate of conformity, 

found in 40 CFR 90. However, beginning in 2011 Model Year, the procedures that must 

be completed in order to obtain an EPA certificate of conformity can be found in 40 CFR 

1054. 40 CFR 1054 establishes a new set of emission standards and also includes 

additional reporting requirements. Most other general certification procedures remain 

the same. The following outlines the new/expanded requirements for 40 CFR 1054: 

• Evaporative emissions compliance – full requirements are outlined in 

40 CFR 1060. Requirements include: 

o Fuel line permeation (§1060.102) 15 g/m2

/day standard 

o Fuel tank permeation (§1060.103) 1.5 g/m2/day standard @ 

28oC (2.5 g/m2/day @ 40oC) 

o Optional Diurnal certification (to replace fuel line and fuel tank 

certification) (§1060.105(e)) 

o Running Loss demonstration (§1060.104) 

• Compliance at varying atmospheric pressures (§1054.205®) 

• Listing of ports at which engines have been imported over the last 

twelve months (§1054.205(aa)(1)) 

• Names and addresses of agents you have authorized to import your 

engines (§1054.205(aa)(2)) 

• Location of a test facility in the US where your engines can be tested 

(§1054.205(aa)(3) 

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Any individual or company intending to certify and/or import mini trucks into the U.S. 

should read all of the applicable regulatory provisions as the certificate holder is 

responsible for all warranty and in-use compliance activities. The applicable regulations 

for minitrucks (certified as nonroad engines) are as follows: 

Power <30 kW AND Engine Displacement < 1000 cc

Power >30 kW OR Engine 

Displacement > 1000 cc 

(and power >19 kW)

2009 and 2010 MY 2011 MY and Beyond 2009 MY and Beyond 

40 CFR 90 

40 CFR 1054, 40 CFR 

1060, 40 CFR 1068, 

40 CFR 1065 

40 CFR 1048 

II. Pre-Application 

In order to hold a certificate you have to be the importer of the product or the 

manufacturer of record. In order to be established as the manufacturer of record, the 

items in this section must be completed by the certificate holder prior to preparation and 

submission of the certification application. Be sure to allow ample time to complete the 

steps in this section. 

A. Obtaining a Manufacturer Code

The CFR defines a nonroad engine manufacturer as any person engaged in the 

manufacturing or assembling of new (as defined in 40 CFR 1048.801) nonroad engines 

or the importing of such engines for resale, or one who acts for and is under the control 

of any such person in connection with the distribution of such engines. 

All manufacturers that plan to certify vehicles or engines with EPA must first 

obtain a three-character EPA manufacturer code. This code will be used in each 

certified engine family name and provides a direct link to the certifying company. 

Obtaining a manufacturer code is done via the Agency’s Central Data Exchange 

(CDX). CDX is the single point of entry for electronic environmental information 

submissions to the Agency. Once you complete this process, the manufacturer code for 

your company will be sent to the business e-mail address you provided. 

If you are a new manufacturer who has not obtained a three-character 

manufacturer code from EPA, please follow the steps in the manufacturer code request 

instructions found at http://www.epa.gov/otaq/verify/index.htm

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B. EPA Contact Persons

The manufacturer must assign a primary contact person to work with EPA. EPA 

will direct all communications, including issuance of the Certificate of Conformity, to the 

manufacturer’s primary contact, unless otherwise directed. 

Information for the manufacturer’s primary contact person may be mailed via 

standard U.S. mail to (express Mail such as FedEx or UPS to this address will be 

returned to sender): 

Heavy-Duty and Nonroad Engine Group 

U.S. Environmental Protection Agency 

1200 Pennsylvania Ave. N.W. 

Mail Code 6405J 

Washington, DC 20460 

For express mail deliveries such as FedEx or UPS, please use the following 

address: (regular U.S. mail delivered to this address will be returned to sender): 

Heavy-Duty and Nonroad Engine Group 

 U.S. Environmental Protection Agency 

1310 L Street, NW 

Suite 656C 

Washington, DC 20005 

Each manufacturer will be assigned a primary EPA contact. However, initial 

Questions should be directed to Mike Marko at the above address or by e-mail at 

marko.michael@epa.gov. Mr. Marko will direct manufacturers to the primary EPA 

certification contact person as appropriate. 

C. Manufacturer’s Model Year Certification Plans (Letter of Intent)

EPA suggests that each manufacturer provide written certification plans for each 

model year in advance of submitting the certification application. The submission of the 

certification plan allows manufacturers to notify EPA of any variations from the 

certification requirements that may require advanced approvals, such as deviations from 

the required test procedures, test equipment, or test facilities specified in the regulatory 

requirements. This is also the time to provide justification for the worst case test engine 

selection. Any issue where EPA approval is needed should be addressed in advance of 

acting on the issue to avoid non-approval and required retesting, reselection, etc. The 

plans should include an estimate of the number of engine families to be certified as well 

as any unusual circumstances that may affect certification. 

Manufacturers who choose not to request advance approval in a timely manner 

may face delays in processing the certification application. As a general rule, the EPA 

certification contact will not respond to model year plans that have been submitted 

unless further discussion or clarification is needed. 

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D. Bond Requirement and U.S. Agent for Service

40 CFR 90.1007 (40 CFR 1054.690) specifies the bond requirement which 

covers any possible compliance action– recall, penalties, warranty failure, etc. A fact 

sheet explaining the bond requirements as well as the worksheet that must be 

submitted at the time the Application for Certification is submitted can be found on our 

web site at http://www.epa.gov/otaq/certdat2.htm. 

An Agent for Service is defined as a contact located in the United States that will 

receive all correspondence (test orders, subpoenas, etc.) and ensure that the certificate 

holder is informed. The agent for service information is required to be submitted at the 

time of certification. 

III. Application for Certification 

A. Model Year

The model year of an imported used mini truck will be the same as the calendar 

year of importation or date of conversion if operated as a speed-limited mini truck before 

importation. A mini truck that is converted near the end of a calendar year and not 

imported until the following calendar year is required to meet the standards of the 

following calendar year. For example, if a mini truck is converted in November of 2010 

and is imported in January of 2011, it will be required to meet the 2011 model year 

standards as defined in the appropriate section of the regulations. Manufacturers must 

apply for certification on an annual basis. 

B. Determining Engine Families

Manufacturers’ product lines are divided into engine families. In order for 

multiple engines to be classified in the same engine family, in addition to the base 

engine being from the same engine manufacturer, the following criteria must be 

identical for all of the engines, as defined 40 CFR 90.116 (d) (40 CFR 1054.230 (b)): 

• Combustion cycle 

• Cooling mechanism 

• Cylinder configuration 

• Number of cylinders 

• Engine class. Engines of different displacements that are within 15% 

of the largest displacement may be included within the same engine 

family as long as all engines are within the same class 

• Location of valves, where applicable 

• Number of catalytic converters, location, volume and composition 

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• Thermal reactor characteristics 

• Fuel required 

• Useful life – which will be 1000 hours for all minitrucks 

EPA is willing to consider grouping multiple model years of original production of 

a given brand of mini truck into a single model year of importation if a manufacturer can 

provide a complete justification that they are identical in all material respects. 

C. General Certification Application Requirements

A complete Certification Application must include the following: 

1. Certification Application Fee 

2. Signed Statement of Compliance 

3. FileMaker Pro Application 

1. Certification Application Fee 

Once engine families have been determined, certification application fees can 

be submitted. EPA will not start the review process until confirmation is received 

that all required fees have been paid. To expedite review of the certification 

application, payment should be submitted at least two weeks in advance of the 

submission of the rest of the application. 

The fee filing form and corresponding fees must be submitted for each engine

family to be certified. Fee regulations, amounts, filing forms, and guidance letters 

can be found at: http://www.epa.gov/otaq/fees.htm

 2. Statement of Compliance 

A signed statement of compliance is required as part of a complete 

certification application. The signed statement of compliance signifies that the 

manufacturer understands and accepts the emission standards and other 

requirements of the applicable CFR section to which the engines are being certified. 

In the statement of compliance, manufacturers should specifically refer to the set of 

regulations to which the engine complies. The signed statement of compliance 

should be mailed to the Heavy-Duty and Nonroad Engine Group address given 

above. 

Requirements for this statement are specified in 40 CFR 90.107 (1054.205 

(u)) and a sample statement of compliance are included in Appendix A. 

3. FileMaker Pro Application 

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Engine family applications must be submitted using a FileMaker Pro template 

created by EPA for Nonroad SI engines. The files for this template and instructions 

can be found at: http://epa.gov/otaq/certdat2.htm

D. Application Data Requirements

1. Confidential Business Information (CBI) 

Information considered CBI is clearly marked in the FileMaker Pro 

template. Only non-CBI material entered into the template will be posted on 

EPA’s engine certification data website. For additional information on CBI, 

please refer to 40 CFR 90.4 (40 CFR 1054.815). 

2. Durability Testing / Deterioration Factor (DF) Calculation 

The manufacturer is required to test the worst case engine, which is 

defined as the engine most likely to exceed the emission standard within a given 

engine family (40 CFR 90.117, 40 CFR 1054.235). The most important factors 

for determining the worst-case vehicle for mini trucks are substantially different 

than for manufacturers producing engines from an assembly line. We consider 

the extent of service outside the United States to be the most important factor in 

selecting a worst-case test engine. This approach allows a manufacturer to 

adequately demonstrate that all imported engines from the engine family will 

comply with all emission standards for the post-importation useful life of the mini 

truck, which is 1000 hours. 

The emission results from the test engine serve to predict the maximum 

emission level for all engines in the engine family throughout the engine's useful 

life. There will be a multiplicative deterioration factor applied to the test results 

from the test engine to show that it complies with the standards for the postimportation useful life of 1000 hours. For small-volume manufacturers (up to 

10,000 U.S. sales per year for the whole company) and for small-volume 

emission families (up to 5,000 U.S. sales per hear for the engine family), this 

deterioration factor can be assigned by EPA. Please contact your certification 

representative for assigned deterioration factors. 

Manufacturers that do not qualify for an assigned deterioration factor must 

follow the procedures specified in 40 CFR 90 (40 CFR 1054) to determine a 

deterioration factor based on durability testing, which is generally based on 

service accumulation in a laboratory. This is the conventional approach used by 

engine manufacturers for certifying their new engines. 

If a manufacturer tests the worst-case engine, based on the engine’s 

service outside the U.S., then we would allow the manufacturer's application and 

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certificate of conformity to include any engines, within the same engine family, 

installed in vehicles that had a lower mileage than the test engine. 

An example of this is as follows: A mini truck has 120,000 kilometers at 

the time of importation; the engine is taken out of the vehicle and tested. The 

deterioration factors are applied to the test results and the resulting certification 

levels pass all applicable emission standards. These test results are considered 

to be the worst-case emissions for the engine family. The certificate of 

conformity may therefore cover engines from the same engine family that are 

installed in mini trucks with an odometer reading of less than 120,000 kilometers 

at the time of importation. 

3. Certification Testing

Please refer to 40 CFR 90.119 (a) and Table 2 of Appendix A to Subpart E 

of 40 CFR 90 (40 CFR 1054 Subpart F) to determine the applicable test cycles 

for the engines to be certified. Please refer to 40 CFR 90 Subpart E (40 CFR 

1054 Subpart F) for information about certification testing allowed in the 

regulations. When testing an engine at its full useful life, you may follow the 

scheduled maintenance instructions in 40 CFR 90.118(b) (40 CFR 1054.245 (b) 

(4).

4. Certification Fuel 

There are three options for certification fuel permitted in 40 CFR Part 90. 

The first fuel option is average in-use gasoline (e.g., Clean Air Act Baseline), 

specified in 40 CFR 90, Subpart D, Appendix A, Table 3 (40 CFR 1065 Subpart 

H). The second option is to use the fuel specified in 40 CFR 1065, subpart H, for 

gasoline-fueled engines. The third option allows small SI engine manufacturers 

to use other fuels, such as natural gas, propane, methanol, or others, under 

conditions described at 40 CFR 90.308(b)(2) and (3) (40 CFR 1054.645). 

5. Data Carry Over 

Under 40 CFR 90.119 (c) (40 CFR 1054.235 (d)), the engine manufacturer 

may request to use test data from a previous EPA model year to represent a new 

EPA model year. This is known as data carry over. Spaces are provided in the 

FileMaker Pro certification template for manufacturers to designate “carry over” 

data. Any differences between the previous and new model year engines must 

be shown. The engine for which the carry over data is being used must fully 

comply with the applicable standard. 

Calendar year is the only change that allows data to be carried over. Data 

may not, for example, be carried over into an engine family that has different 

catalyst loading. 

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6. Test Data Used by Multiple Manufacturers 

Due to the nature of the used mini truck industry, EPA anticipates multiple 

manufacturers contracting with a testing facility to use the same set of test 

results. This may be acceptable given the following conditions are satisfied: 

• The test data is representative. The test data must be used for an 

engine family that is identical (as described above in the definition of 

an engine family). The only difference in the engine family would be 

the manufacturer code. 

• The statement of compliance (found in Appendix A) includes a 

statement referencing the contract between the manufacturer and the 

testing facility generating the test data. 

The in-use and warranty liability resides with the certificate holder. For 

example if the same set of test data is used by 5 manufacturers, all 5 

manufacturers would be subject to the recall investigation. 

7. Labeling

All vehicles are required to have an engine information label per 40 CFR 

90.114 (40 CFR 1054.135). The label must be permanently affixed prior to 

importation or introduction into U.S. commerce in order to be compliant. 

Label requirements and sample language are included in Appendix B. If 

mini trucks have a label from the original manufacturer’s initial certification in 

Japan, the label to be installed per U.S. EPA regulations should include an 

additional sentence. This sentence should read: “This label replaces the label 

from the original manufacturer.” The original label must not be removed. 

8. Warranty 

Warranty period is defined in 40 CFR 90.1103 (40 CFR 1054.120), two 

years of engine use from the date of sale to the ultimate purchaser. 

9. Production Line Testing 

Manufacturer Production Line Testing (PLT) is required for all Small SI 

engines covered under part 90 and the procedures are described in Subpart H of 

40 CFR 90 (40 CFR 1054 Subpart D). Per 40 CFR 90.701 (b) (40 CFR 1054.301 

(a) PLT is optional for small volume engine manufacturers (annual U.S.-directed 

production volume ≤10,000 engines for non-handheld) and small volume engine 

families (annual U.S.-directed production volume ≤ 5000 engines). All Small SI 

engines are subject to Selective Enforcement Audit (Subpart F of 40 CFR 90,

Subpart E of 40 CFR 1068). 

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E. Completing the Application

1. EPA Review 

EPA generally reviews each application within 30 calendar days of receipt 

and fees payment confirmation. As part of the review, EPA will determine 

whether to request additional information (audit) and/or to perform confirmatory 

testing. Manufacturers should keep the test engine in its certification 

configuration until the end of production. 

EPA will contact the manufacturer should additional information or other 

circumstances cause a delay. 

2. Certificate of Confirmatory 

Once EPA determines that the regulatory requirements are met, it will 

issue a certificate of conformity for an engine family. Engines covered by the 

certificate can be introduced into commerce as of the date listed on the 

certificate. The certificate ceases to be valid for new production at the end of the 

production period or December 31 of the calendar year for which the model year 

is named, whichever date is sooner. 

The certificate of conformity is signed by the Director of the Compliance 

and Innovative Strategies Division who is delegated with signature authority by 

the EPA Administrator. A certificate is not valid without this signature. An 

electronic version of the original signed certificate will be e-mailed to the “Contact 

Person” listed on the Engine Family page of the FileMaker Pro application. 

Check to ensure that the correct contact person and contact information (mailing 

address, phone number, fax number, and e-mail address) are listed on the 

application.

A sample certificate is included in Appendix C. 

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IV. Appendices 

A. Appendix A – Sample Statement of Compliance

Manufacturer Primary Contact 

XY Engine Company 

4567 Industrial Highway 

El Monte, CA 91731 

March 1, 200x 

Heavy-Duty and Nonroad Engine Group 

U.S. Environmental Protection Agency 

Mail Code 6403J 

1200 Pennsylvania Ave, NW 

Washington, DC 20460 

Dear _____________: 

Please find enclosed the model year 200x application for engine family 

6XYES.1452GR. On behalf of XY Engine Company, I hereby certify that the test 

engine(s), as described in this application for certification, has been tested in 

accordance with the applicable test procedures, utilizing the fuels and equipment 

required under subparts D and E of 40 CFR 90, and that on the basis of such tests the 

engine(s) conforms to the requirements of 40 CFR 90. I further certify that the test 

engine(s) was/were tested by {Name of Test Laboratory}, the testing facility identified in 

this certification application, under a contract between XY Engine Company and [Name 

of Test Laboratory]. I further certify that all engines in this engine family comply with all 

requirements of 40 CFR 90 and the Clean Air Act and that the engines are not modified 

in any way that would affect emissions performance. 

Sincerely, 

[MANUFACTURER PRIMARY CONTACT] 

SIGNATURE 

Enclosures

Refer in this letter to any alternate or special test procedure approvals or any other approvals required 

from EPA for this engine family. It is recommended that manufacturers print the statement of compliance 

o n company letterhead. 

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B. Appendix B – Sample Label Wording 

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C. Appendix C – Sample Certificate of Conformity

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