Supporting Statement In formation Collection Request

**Exclusion Determinations for New Nonroad**  **Spark**
**- ignited Engines, New**  **Nonroad Compression** 
**- ignited Engines**  **and New On** 
**- road**  **Heavy Duty Engines (Renewal)** 

EPA Number 1852.0 5 OMB Control Number 2060

- 0395

40 CFR 85 Subpart R 40 CFR 89 Subpart J 40 CFR 90 Subpart J 40 CFR 91 Subpart K 40 CFR 92 Subpart J 40 CFR 94 Subpart J 40 CFR 1039.5 40 CFR 1045.5 40 CFR 1048.5 40 CFR 1051.5 40 CFR 1054.5 40 CFR 1068 Subpart C

Certificatio n Division Office of Transportation and Air Quality Office of Air and Radiation US Environmental Protection Agency1

**1. Identification of the Information Collection**
**1(a) Title and Number of the Information Collection** Exclusion Determinations for New Nonroad Spark

- ignited Engines, New Nonroad Compression

- ignited Engines , and New On

- road Heavy Duty Engines (Renewal) ; EPA Number 1852. 0 5 ; OMB Control Number 2060

- 0395.
**1(b) Short Characterization**  Under the provisions of the Clean Air Act (Act), the Administrator is required to promulgate regulations to control air pollutant emissions from motor vehicles and nonroad engines, as defined in the Act. Motor vehicles and nonroad engines /vehicles not meeting the applicable def initions are excluded from compliance with current regulations. A manufacturer may

make an exclusion determination by itself; however, manufacturers and importers may request EPA to make such determination to ensure that their determination does not dif fer from the Agency ’ s. To request an exclusion determination, manufacturers submit a letter with a description of the engine and/or vehicle (engine type, horsepower rating, intended usage etc.,) and sales brochures

. If the engine/vehicle for which the exc lusion is requested is a compression

- ignited engine, the information will be collected b y the D iesel Engine Compliance Center. If the engine/vehicle for which the exclusion is requested is a spark

- ignited engine, the information will be collected b y the G asoline Engine Compliance Center. Both of these centers are part of the Comp liance Division (CD), Office of Transportation and Air Quality (OTAQ), Office of Air and Radiation (OAR), U.S. Environmental Protection Agency (EPA). C D uses this information to d etermine whether the engine or vehicle is excluded from compliance with one or more emission regulations. C D then stores the data in its internal files, and makes it available to environmental groups and the public upon request under the Freedom of Inform ation Act. It is estimated that this information collection will have 2 respondents per year at a total annual cost to the respondents of **$** 1,040

.

**2. Need for and Use of the Collection**
**2(a) Need/Authority for the collection**  Section 203(a)( 1) of the Clean Air Act (Act) prohibits the introduction into commerce of any motor vehicle or engine unless it is covered by a certificate of conformity . Section 208(a) of the Act provides the Administrator with the authority to require a manufacturer to " make such reports, and provide such information as the Administrator may reasonabl y require to enable him to determine whether such manufacturer has acted or is acting in compliance with [Title II of the Act] or regulations promulgated thereunder... " . T his authority was extended to nonroad engines2

(small spark

- ignited engines, compression

- ignited engines, locomotive engines and marine engines) under Section 213(d). The exclusion of vehicles from coverage b y the Act ’ s motor vehicle provisions is based on section 216(2) of the Act, which defines a ' motor vehicle ' as " any self

- propelled vehicle designed for transporting persons or property on a street or highway. " Regulations promulgated at Title 40 of the Code of Federal Regulations , Section 85.1703 (40 CFR 85.1703), list criteria for determining the applicability of this definition. When one or more of these criteria are met, the vehicle is deemed not a > motor vehicle = and is excluded from compliance with the mot or vehicle emission requirements. Section 216(10) of the Act defines nonroad engine as an A internal combustion engine (including the fuel s ys tem) that is not used in a motor vehicle or a vehicle used solely for competition, or that is not subject to standards promulgated under section 111 [related to motor vehicle fuels] or section 202 [related to motor vehicles as previousl y defined]. An engine not meeting the above definition would not be considered a nonroad engine, and, therefore, is excluded from the nonroad engine emission requirements of the Act. A vehicle or engine may

be excluded from compliance under one definition but may be subjected to emission requirements under another. For example, a vehicle can be deemed > not for use on a street or highway = and, therefore, be excluded from the motor vehicle provisions at 40 CFR Part 85. That same vehicle may meet the definition of a nonroad engine and be covered under 40 CFR Part 89. A manufacturer may

make an exclusion determination by itself; however, manufacturers may elect to submit vehicle or engine specifications to EPA and request that EPA make the exclusion determination.
**2(b) Practical Utility/Users of the Data**  EPA collects information only when a request for exclusion determination is m ade or in rare instances where EPA believes that a determination made by a manufacturer or importer is erroneous. The information will be used by either the Diesel Engine Compliance Center (D ECC) or the Gasoline Engine Compliance Center (GECC), Certification Division, Office of Transportation and Air Quality , Office of Air and Radiation.

**3. Nonduplication, Consultations**  **, and Other Collection Criteria**  **3(a) Nonduplication**  The applicable regulations are administered only by the Office of Tran sportation and Air Quality

. No other program or agency collects this information. **3(b) Public Notice Required Prior to ICR Submission to OMB** 3

An announcement of the public comment period for this I CR renewal was published in the Federal Register (77 FR 18802) on March 28, 2012. This document may be accessed through the Federal Register's website at http://www.gpoaccess.gov/fr/index.html

. No comments were received in response to this I CR renewal. **3(c) Consultations**  Under the existing ICR, EPA has received onl y 2 responses in the last three years. Given this low level of activity , EPA did not attempt to contact potential respondents, and chose instead to use the burden estimates provided b y the respondents under the existing I CR. Costs were adjusted for inflation. **3(d) Effects of Less Frequent Collection**  Exclusion determinations are made only once. It is impossible to make an exclusion determination without the needed information. **3(e) General Guidelines**  This section is not applicable. None of the Paperwork Reduction Act guidelines are exceeded. **3(f) Confidentiality**  Respondents are allowed to assert a claim of confidentiality over information provided to EPA. Confidentiality

will be provided in accordance with the Freedom of Information Act and EPA regulations at 40 CFR Part 2. **3(g) Sensitive Questions**  No sensitive questions are asked in this information collection.

**4. Respondents and Information Requested** 
**4(a) Respondents/NAICS Codes**  Respondents are manufacturers, importers or vendors of on - road heav y duty vehicles, nonroad engines and nonroad equipment within the following North American Industry Classification System (NAI CS) codes: 333111 Farm Machinery and Equipment Manufacturing 333112 Lawn and Garden Tractor and Home Lawn and Garden Equipment Manufacturing 333120 Construction Machinery Manufacturing 333618 Other Engine Equipment Manufacturing 333924 Industrial Truck, Tractor, Trailer, and Stacker Machinery Manufacturing 336991 Motorcycle, Bicycle and Parts Manufacturing4

335312 Motor and Generator Manufacturing
**4(b) Information Requested**  **(i) Data Items, Including Recordkeeping Requirements**  The information is voluntarily submitted and is readily

avail able from sales brochures. The information needed to determine if an engine is covered b y a rule depends on the ty pe of engine for which the exclusion determination is requested. Such information includes: 1. On

- road heavy

- duty engines and vehicles (40 CFR 85.1703) a. Engine ty

pe 85.1703(a) b. Descriptive information of the vehicle* 85.1703(a)(2) i. “ Lacks features customarily associated with safe and practical street or highway use... " ii . “ Exhibits features which render its use on a street or highway unsafe, impractical, or highl y unlikely... " c. Vehicle = s capability

to transport people 85.1703(a) or materials 2. Nonroad Compression Ignition Engines (40 CFR 89) a. Engine ty

pe 89.1(a) b. Gross pow er output (hor sepower rating) 89.1(a) c. Intended usage 89.1(b) 3. Spark

- ignited Small Engines (40 CFR 90 and 1054 ) a. Engine ty

pe 90.1(a) and 1054.5(a) b. Gross power output (horsepower rating) 90.1(a) c. Intended usage 90.1(b) and 1054.5(c) d. Method of usage 90.1(b) and 1054.5(c) and (d) f. Descriptive information of the engine* 90.1(b) and 1054.5(a) and (c) g. Descriptive information of vehicle being powered* 90.1(b) and 1054.5(a) 4. Spark

- ignited Marine Engines (40 CFR 9 1 and 1045 ) a. Engine ty

p e 91.1 and 1045.5 b. Intended usage 91.1(a) and 1045.5 (a) and (b) c. Method of usage 91.3 and 1045.5 d. Descriptive information of the engine* 91.3 and 1045.5 e. Description of its technology 91.3 and 1045.5 f. Emission levels 91.3 5. Lo comotive Engines (40 CFR 92)5

a. Engine ty

pe 92.1(a) b. Intended usage 92.1(b) c. Method of usage 92.1(b) d. Descriptive information of the engine* 92.2 6. Marine Compression Ignition Engines (40 CFR 94 and 1039 ) a. Engine ty

pe 94 .1(b ) (1) and 1039.5 b. Gross power output (horsepower rating) 94 .1(b ) (1) and 1039.5 c. Intended usage 94 .1(b) (2) and 1039.5 7. Large Spark

- ignited Engines (40 CFR 1048) a. Whether the engine is certified under 40 CFR Part 1051 [1048.5(a)] b. Whether the engine is certified under 40 CFR Part 91 [ 1048.5(b)] 6. Recreational Engines (40 CFR 1051) a. Whether the engine is certified under 40 CFR Parts 89 or 1039 [1051.5(a)] b. Excluded engines may need to be labeled 1051.5 (b)

* In many cases, pictures from sales brochures are needed to evaluate or clarify some characteristics of the vehicle or equipment. No recordkeeping is required under this information collection.
**(ii) Respondent Activities**  Respondents will collect readil y available information and write to EPA requesting an exclusion determination. If pictures from each side of the vehicle are not available from sales brochures, the respondent will take the pictures, have the film developed, and submit the pictures along with the letter.

**5. The Information**  **Collected**
**-- Agency Activities, Collection Methodology and**  **Information Management**
**5(a) Agency Activities**  CD reviews the information submitted by the respondent and the requirements of the applicable rule(s), and answers the respondent ’ s request for an exclusion determination. CD also stores the data. In the event that a third party requests information about a particular exclusion determination, CD anal yzes the data for possible confidential business information and provides appropriate protection, if applicable. **5(b) Collection Methodology and Management** 6

The information is collected through a letter submitted by the respondent. The respondent usuall y includes sales brochures and/or pictures to help describe the engine or vehicle for which an exclusion determination has been requested. This can be done by email or b y regular mail. The information submitted is analyzed to determine if the engine or vehicle is covered b y the appropriate rules. If the engine is not covered by any rule, an exclusion determination is granted. If it is not covered b y the rule under which the exclusion determination was requested but under another regulation, the requester is notified. The information is stored in internal files, and disclosed under the provisions of the Freedom of Information Act. **5(c) Sm**  **all Entity Flexibil ity**  The information required is the minimum needed to make an exclusion determination and is usually readily available from sales brochures. Respondents submit the information voluntarily with a minimum burden. Respondents also have the option of making the exclusion determination by

themselves. Further flexibility is not necessary

or appropriate. **5(d) Collection Schedule**  The information is collected only once when an engine manufacturer or importer requests an exclusion determination.

**6. Estima**  **ting the Burden and Cost of the Collection** Please refer to Table A for further details.
**6(a) Estimating Respondent Burden**  Under the existing ICR, only 2 respondents requested exclusion determinations in the last three ye ars. Given this low level of activity , EPA did not attempt to contact potential respondents, and chose instead to use the burden estimates provided b y the respondents under the existing I C R. **6(b) Estimating Respondent Cost**  **(i) Estimating Labor Costs**  To estimate labor costs, EPA used the mean hourly wage estimates developed by the Bureau of Labor Statistics (BLS) for Machinery Manufacturing (NAICS Subsector 333 ) and adjusted the rates to account for overhead. The mean hourl y rate estimated by BL S for management occupations (SOC 11

- 0000 ) is $ 55. 11 , resulting in a rate of $ 11 5

. 7 3 after adding overhead/benefits by

a factor of 2.1 . The mean hourly rate for Secretaries, Except L egal, Medical, and Executive (SOC 43

- 6014) is $ 16.34 , resulting in a rate of $ 3 4

. 31 after adding overhead/benefits by

a factor of 2.1 . These estimates are taken from the " May 20 11 National Industry

- Specific Occupational Employ ment and Wage Estimates, NAI CS 33 30 00

- Machinery7

Manufacturing " table (http://www.bls.gov/oes/current/naics3_333000.htm). See Table A for a summary of the annual respondent burden and cost.

**Table A Ann**  **ual Respondent Burden and Cost**
**Hours and Cost per Respondent Total Hours and Cost**  **Info rmation**  **Collection Activit**  **y Manager** 

**$115.73/h r**  **Clerical $34.31/**  **hr Respo** 

**nd hr/**  **yr** ***** **Labor Cost/y**  **r Capital** 

**Startup Cost**  **O&M**

**Cost (1)**  **# Respon**  **dent s**  **(2) Total**  **hrs/y r**  **Total**

**Cost/y r** 

Learn about exclusions regulations (1) 1.5 0.0 1.5 $173.60 $0.00 $3.00 2 3 $353.19 Wr ite letter 1.0 1.0 2.0 $150.04 $0.00 $0.00 2 4 $300.08 Take and transfer pictures 0.0 1.0 1.0 $34.31 $0.00 $0.00 1 1 $34.31 Postage 0.0 0.0 0.0 $0.00 $0.00 $1.00 1 0 $1.00 Answer additional questions from EPA 1.5 0.0 1.5 $173.60 $0.00 $2.00 2 3 $351.19 **Total for one respondent**  **4.0 2.0**  **6.0** $531.54 **$0.00** $6.00 N/A N/A N/A **Total cost for the industry**  **N/A N/A**  **N/A** $1,028.77 **$0.00 $11.00**  **2 11**  **$1,039.77**
(1) Includes time to read the regulations and a phone call to an EPA official. (2) These numbers take into acc ount that only 1 respondent is expected to take pictures and submit the request by mail, while one respondent will submit by email and use pictures already available in sales brochures.

**(ii) Estimating Capital and Operations and Maintenance (O&M) Costs**  Operation and m aintenance ( O&M ) costs are virtually non - existent in this information collection . Respondents need onl y submit a letter and pictures of the equipment for which an exclusion determination is sought. These pictures are most of the time already readil y available in the respondent’s website and sales brochures. Inthe event that the respondent does not have a website or sales brochures, the respondent may take its own pictures. Today, most people use existing digital cameras or phones to take pictures. EPA does not believe that a respondent would purchase a camera with the sole purpose of taking pictures for an exclusions determination request, and/or not use it for any other purpose afterwards. Therefore, EPA is not counting the cost of the camera. Respondents do not incur in additional expenses while transferring pictures digitally , so EPA has accounted only for the respondent’s time. **(iii) Capital/Start** 
**- up vs. Operating and Maintenance Costs** 8

There are no capital start

- up costs associated with this information collection. O&M costs are discussed in section 6(b)(ii). **(iv) Annualizing Capital Costs**  There are no capital start

- up costs associated with this information collection.
**6(c) Estimating**  **Agency Burden and Cost** Government cost is based on GS

- 13 /10 salary for professional engineers & lawyers ($ 44.65 /hr), adjusted by

a factor of 1.6 to account for government benefits, resulting in a final rate of $ 71.44 /hr. The hourly rate was obtained from the Office of Personal Management , "Salary Table 20 12

- GS" ( http://www.opm.gov/oca/12tables/html/gs_h.asp ) . Agency time is allocated for review of the NCP application, review of the PCA data, determination of the emission compliance level and review of the quarterly reports and NCP fee calculation. Please refer to Table B for details. **Table B Annual Agency Burden and Cost**  **Hours and Cost per Response Total Hours and Cost**  **Info rmation**  **Collection Activit**  **y Enginee** 

**r/Law ye**  **r $71.44/h**  **r (1) Hours** 

**per Respon**  **se Labor** 

**Cost/ yr**  **Capital**

**Startup Cost**  **O&M**

**Cost (2)**  **Number**

**of Respons**  **es Total**  **Hours/ yr**  **Total**

**Cost/y r** 

Review the rules 1.5 1.5 $107.16 $0.00 $0.00 2 3 $214.32 Review request 1.0 1.0 $71.44 $0.00 $0.00 2 2 $142.88 Request additional information 2.0 2.0 $142.88 $0.00 $5.00 2 4 $295.76 Answer request 3.0 3.0 $214.32 $0.00 $1.00 2 6 $430.64 File information 0.25 0.3 $17.86 $0.00 $0.00 2 0.5 $35.72 **Total per Response**  **8 8**  **$553.66 $0.00**  **$6.00 N/A**  **N/A N/A**  **Total for Ag**  **ency N/A**  **N/A N/A**  **$0.00 $12.00**  **2 16**  **$1,119.32**

1 Includes phone calls, photocopying expenses and postage.

**6(d) Estimating the Respondent Universe and Total Burden and Costs** 9

During the last three ye ar s , EPA received approximately two exclusion determination request s . EPA expects to also receive about 2 exclusion determination requests in the next three ye ars. **6(e) Bottom Line Burden Hours and Cost Tables**  **(i) Respondent Tally** 

Number of Respondents: 2 Number of Activities: 5 Total Hours Per Year: 11 Total Labor Cost Per Year: $ 1,029 Total Annual Capital Cost: 0 Total Annual O& M Costs: $ 11 Total Costs: $ 1,040 **(ii) Agency Tally**  Number of Respons es : 2

Number of Activities: 5 Total Hours Per Year: 16 Total Labor Cost Per Year: $ 1,107 Total Annual Capital Cost: 0 Total Annual O & M Costs: $12 Total Costs: $ 1,119 **6(f) Reasons for**  **C hange in**  **B urden**  Total burden hours for this collection request decreased significantl y, due to a sharp decrease in respondents

. While the previous I CR estimated that a total of 12 respondents would submit requests, EPA only received requests from two respondents. Each respondent submitted only one request each. EP A expects this rate to continue in the next three years. The average burden per respondent decreased b y 0.5 hour. This is due to the ease of taking and submitting pictures electronicall y with current technology. **6(g) Burden Statement**  In requesting an exclusion determination, respondents are estimated to spend, on average , about 5.5 hours per request. This estimate includes time to gather the necessary information, take and develop pictures, and send a written exclusion request to EPA. There is no re cordkeeping burden associated with this I CR.10

Burden means the total time, effort, or financial resources expended b y persons to generate, maintain, retain, disclose or provide information to or for a Federal agency . This includes the time needed to review instructions; develop, acquire, install, and utilize technology and sy stems for the purposes of collecting, validating, and verifying information, processing and maintaining information, and disclosing and providing information; adjust the existing way s to comply with any previously

applicable instructions and requirements; train personnel to be able to respond to a collection of information; search data sources; complete and review the collection of information; and transmit or otherwise disclose the information. An agency may not conduct or sponsor, and a person is not required to respond to, a col lection of information unless it display s a currently

valid OMB control number. The OMB control numbers for EPA's regulations are listed in 40 CFR Part 9 and 48 CFR Chapter 15. To comment on the Agency's need for this information, the accuracy of the provided burden estimates, and any suggested methods for minimizing respondent burden, including the use of automated collection techniques, EPA has established a public docket for this I CR under Docket ID No. EPA

- HQ

- OAR

- 2005

- 0121, which is available for pub lic viewing at the Air and Radiation Docket and Information Center in the EPA Docket Center (EPA/DC), EPA West, Room 3334 , 1301 Constitution Avenue, NW, Washington, DC. The EPA Do cket Center Public Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday , excluding legal holiday s. The telephone number for the Reading Room is (202) 566

- 1744, and the telephone number for the Air and Radiation Docket and Information Center is (202) 566

- 1742. An electronic version of the public docket is availa ble online through Regulations.gov at http://www. regulations.gov . Use Regulations.gov to submit or view public comments, access the index listing of the contents of the public docket, and to access those documents in the public docket that are available e lectronically . Once in the sy stem, select search, then key in the docket ID number identified above. Also, you can send comments to the Office of Information and Regulatory

Affairs, Office of Management and Budget, 725 17th Street, NW, Washington, DC 205 03, Attention: Desk Office for EPA. Please include the EPA Docket ID No. EPA

- HQ

- OAR

2005

- 0121 and OMB control number (2060

- 0395) in any correspondence.