Supporting Statement

Information 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 1852.05

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

Certification Division

Office of Transportation and Air Quality

Office of Air and Radiation

US Environmental Protection Agency

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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 

1852.05; 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 definitions 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 

differ 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 exclusion is requested is a 

compression-ignited engine, the information will be collected by the Diesel Engine Compliance 

Center. If the engine/vehicle for which the exclusion is requested is a spark-ignited engine, the 

information will be collected by the Gasoline Engine Compliance Center. Both of these centers are 

part of the Compliance Division (CD), Office of Transportation and Air Quality (OTAQ), Office of 

Air and Radiation (OAR), U.S. Environmental Protection Agency (EPA). CD uses this information 

to determine whether the engine or vehicle is excluded from compliance with one or more emission 

regulations. CD then stores the data in its internal files, and makes it available to environmental 

groups and the public upon request under the Freedom of Information 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 reasonably 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...". This authority was extended to nonroad engines 
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(small spark-ignited engines, compression-ignited engines, locomotive engines and marine 

engines) under Section 213(d). 

The exclusion of vehicles from coverage by 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 motor 

vehicle emission requirements.

Section 216(10) of the Act defines nonroad engine as an Ainternal combustion engine 

(including the fuel system) 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 previously 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 made 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 

(DECC) 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 Transportation and Air 

Quality. No other program or agency collects this information.

3(b) Public Notice Required Prior to ICR Submission to OMB
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An announcement of the public comment period for this ICR 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 ICR renewal. 

3(c) Consultations

Under the existing ICR, EPA has received only 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 by the respondents under the existing ICR. 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 heavy duty vehicles, 

nonroad engines and nonroad equipment within the following North American Industry

Classification System (NAICS) 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 Manufacturing
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335312 Motor and Generator Manufacturing

4(b) Information Requested

(i) Data Items, Including Recordkeeping Requirements

The information is voluntarily submitted and is readily available from sales brochures. 

The information needed to determine if an engine is covered by a rule depends on the type 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 type 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 

highly unlikely..."

c. Vehicle=s capability to transport people 85.1703(a) or materials

2. Nonroad Compression Ignition Engines (40 CFR 89)

a. Engine type 89.1(a)

b. Gross power output (horsepower rating) 89.1(a)

c. Intended usage 89.1(b)

3. Spark-ignited Small Engines (40 CFR 90 and 1054)

a. Engine type 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 91 and 1045)

a. Engine type 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. Locomotive Engines (40 CFR 92)
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a. Engine type 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 type 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 readily 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 analyzes the data for possible confidential business information and provides 

appropriate protection, if applicable.

5(b) Collection Methodology and Management
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The information is collected through a letter submitted by the respondent. The 

respondent usually 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 by 

regular mail.

The information submitted is analyzed to determine if the engine or vehicle is covered by the 

appropriate rules. If the engine is not covered by any rule, an exclusion determination is granted. 

If it is not covered by 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) Small Entity Flexibility

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. Estimating 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 years. Given this low level of activity, EPA did not attempt to contact potential 

respondents, and chose instead to use the burden estimates provided by the respondents under the 

existing ICR.

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 hourly rate estimated by BLS for 

management occupations (SOC 11-0000) is $55.11, resulting in a rate of $115.73 after adding 

overhead/benefits by a factor of 2.1. The mean hourly rate for Secretaries, Except Legal, 

Medical, and Executive (SOC 43-6014) is $16.34, resulting in a rate of $34.31 after adding 

overhead/benefits by a factor of 2.1. These estimates are taken from the "May 2011 National 

Industry-Specific Occupational Employment and Wage Estimates, NAICS 333000 - Machinery
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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

Annual Respondent Burden and Cost

Hours and Cost per Respondent Total Hours and Cost

Information 

Collection 

Activity

Manager 

$115.73/h

r

Clerical 

$34.31/

hr

Respo

nd 

hr/yr*

Labor 

Cost/yr

Capital 

Startup 

Cost

O&M 

Cost 

(1)

# 

Respon

dents

(2)

Total

hrs/yr

Total 

Cost/yr

Learn about 

exclusions 

regulations (1) 1.5 0.0 1.5 $173.60 $0.00 $3.00 2 3 $353.19

Write 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 account 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 maintenance (O&M) costs are virtually non-existent in this information 

collection. Respondents need only submit a letter and pictures of the equipment for which an 

exclusion determination is sought. These pictures are most of the time already readily available 

in the respondent’s website and sales brochures. In the 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
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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 2012-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

Information 

Collection 

Activity

Enginee

r/Lawyer 

$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/yr

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 

Agency N/A N/A N/A $0.00 $12.00 2 16 $1,119.32

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Includes phone calls, photocopying expenses and postage.

6(d) Estimating the Respondent Universe and Total Burden and Costs
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During the last three years, EPA received approximately two exclusion determination 

requests. EPA expects to also receive about 2 exclusion determination requests in the next 

three years.

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 Responses: 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 Change in Burden

Total burden hours for this collection request decreased significantly, due to a sharp 

decrease in respondents. While the previous ICR estimated that a total of 12 respondents would 

submit requests, EPA only received requests from two respondents. Each respondent submitted 

only one request each. EPA expects this rate to continue in the next three years. The average 

burden per respondent decreased by 0.5 hour. This is due to the ease of taking and submitting 

pictures electronically 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 

recordkeeping burden associated with this ICR.
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Burden means the total time, effort, or financial resources expended by 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 systems for the purposes of collecting, validating, and verifying information, processing and 

maintaining information, and disclosing and providing information; adjust the existing ways 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 collection of information unless it 

displays 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 ICR under 

Docket ID No. EPA-HQ-OAR-2005-0121, which is available for public 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 Docket Center Public 

Reading Room is open from 8:30 a.m. to 4:30 p.m., Monday through Friday, excluding legal 

holidays. 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 available 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 electronically. Once in the system, 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 

20503, Attention: Desk Office for EPA. Please include the EPA Docket ID No. EPA-HQ-OAR2005-0121 and OMB control number (2060-0395) in any correspondence.