Document ID: EPA-HQ-OAR-2004-0059-0004
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2004-10-13T04:00Z

Supporting
Statement
for
Information
Collection
Request
Emissions
Certification
and
Compliance
Requirements
for
Nonroad
Compression­
ignition
Engines
and
On­
highway
Heavy
Duty
Engines
(
Renewal)

42
USC
7521
§
206
42
USC
7521
§
213(
d)
40
CFR
Part
86
40
CFR
Part
89
40
CFR
Part
94
August
2004
Certification
and
Compliance
Division
Office
of
Transportation
and
Air
Quality
Office
of
Air
and
Radiation
U.
S.
Environmental
Protection
Agency
­
2­
1.
Identification
of
the
Information
Collection
1
(
a)
Title
and
Number
of
the
Information
Collection
Emissions
Certification
and
Compliance
Requirements
for
Nonroad
Compression­
ignition
Engines
and
On­
highway
Heavy
Duty
Engines
(
Renewal);
EPA
ICR
Number
1684.06,
OMB
Control
Number
2060­
0287.

1(
b)
Short
Characterization
This
supporting
statement
consolidates
portions
of
three
previously
existing
ICRs
(
EPA
Numbers
1684.05,
0011.08
and
1897.05)
into
ICR
number
1684.06).
This
action
is
undertaken
to
consolidate
information
requirements
for
the
same
industry
into
one
ICR
for
simplification
and
to
eliminate
duplicity.
All
three
ICRs
cover
programs
with
similar,
almost
identical,
requirements
and
address
the
same
set
of
respondents.

With
this
consolidation,
we
combine
most
of
the
burden
associated
with
emission
certification
and
compliance
requirements
affecting
manufacturers
of
nonroad
compression­
ignition
engines,
on­
highway
heavy­
duty
engines,
and
marine
CI
engines.
We
should
note
that
respondents
for
all
three
collections
are,
for
the
most
part,
the
same
companies.
In
this
ICR,
we
are
specifically
consolidating
burden
associated
with
participation
in
the
Certification,
Averaging,
Banking
and
Trading
(
AB&
T),
Productionline
Testing
(
PLT)
and
Selective
Enforcement
Audits
(
SEAs)
Programs.

ICR
1684.05
covered
nonroad
CI
engine
and
on­
highway
heavy
duty
engine
applications
for
emission
certification
and
participation
in
the
AB&
T
program.
ICR
0011.08
covered
SEA
requirements
for
the
same
sectors.
(
ICR
0011.08,
OMB
Control
Number
2060­
0064,
expired
on
8/
31/
1999;
no
collection
of
information
from
ICR
0011.08
has
been
conducted
since
its
expiration;
upon
approval
of
ICR
1684.06,
the
agency
shall
resume
this
information
collection).
ICR
1897.05
covered
all
three
programs
­
certification,
AB&
T
and
SEA­
for
marine
CI
engine
manufacturers.

Under
Title
II
of
the
Clean
Air
Act
(
42
U.
S.
C.
7521
et
seq.;
CAA),
EPA
is
charged
with
issuing
certificates
of
conformity
for
those
engines
that
comply
with
applicable
emission
standards.
Such
a
certificate
must
be
issued
before
engines
may
be
legally
introduced
into
commerce.
To
apply
for
a
certificate
of
conformity,
manufacturers
are
required
to
submit
descriptions
of
their
planned
production
engines,
including
detailed
descriptions
­
3­
of
emission
control
systems
and
test
data.
This
information
is
organized
by
"
engine
family"
groups
expected
to
have
similar
emission
characteristics.
There
are
also
recordkeeping
requirements.

Those
manufacturers
electing
to
participate
in
the
AB&
T
Program
are
also
required
to
submit
information
regarding
the
calculation,
actual
generation
and
usage
of
credits
in
an
initial
report,
end­
of­
the­
year
report
and
final
report.
These
reports
are
used
for
certification
and
enforcement
purposes.
Manufacturers
will
also
maintain
records
for
eight
years
on
the
engine
families
included
in
the
program.

The
Act
also
mandates
EPA
to
verify
that
manufacturers
have
successfully
translated
their
certified
prototypes
into
mass
produced
engines,
and
that
these
engines
comply
with
emission
standards
throughout
their
useful
lives.
Under
the
Productionline
Testing
(
PLT)
Program,
manufacturers
are
required
to
test
a
sample
of
engines
as
they
leave
the
assembly
line.
This
selfaudit
program
(
referred
to
as
the
"
PLT
Program")
allows
manufacturers
to
monitor
compliance
with
statistical
certainty
and
minimize
the
cost
of
correcting
errors
through
early
detection.
Through
Selective
Enforcement
Audits
(
SEAs),
EPA
verifies
that
test
data
submitted
by
engine
manufacturers
is
reliable
and
testing
is
performed
according
to
EPA
regulations.

This
information
is
collected
by
the
Engine
Programs
Group
(
EPG),
Certification
and
Compliance
Division
(
CCD),
Office
of
Transportation
and
Air
Quality
(
OTAQ),
Office
of
Air
and
Radiation
(
OAR),
U.
S.
Environmental
Protection
Agency
(
EPA).
Besides
CCD,
this
information
could
be
used
by
the
Office
of
Enforcement
and
Compliance
(
OECA)
and
the
Department
of
Justice
for
enforcement
purposes.
Confidential
Business
Information(
CBI)
is
also
disclosed
in
a
public
database
and
over
the
Internet.
It
is
used
by
trade
associations,
environmental
groups,
and
the
public.
The
information
is
usually
submitted
in
an
electronic
format,
and
it
is
stored
in
EPG's
certification
database.

It
has
been
estimated
that
a
total
of
68
manufacturers
will
respond
to
this
collection
with
an
approximate
cost
of
$
13,978,203.

2.
Need
for
and
Use
of
the
Collection
2(
a)
Need/
Authority
for
the
Collection
­
4­
Vehicle
and
engine
manufacturers
may
not
legally
introduce
their
product
into
US
commerce
unless
EPA
has
certified
that
their
vehicles
and
engines
comply
with
applicable
emission
standards.
To
ensure
compliance
with
these
statutes,
EPA
reviews
product
information
and
manufacturers'
test
results.
EPA
also
tests
some
vehicles
and
engines
to
confirm
manufacturers'
results.

EPA's
emission
certification
programs
are
statutorily
mandated;
the
agency
does
not
have
discretion
to
cease
these
functions.
Under
Section
206(
a)
of
the
CAA
(
42
USC
7521):

"
The
Administrator
shall
test,
or
require
to
be
tested
in
such
manner
as
he
deems
appropriate,
any
new
motor
vehicle
or
new
motor
vehicle
engine
submitted
by
a
manufacturer
to
determine
whether
such
vehicle
or
engine
conforms
with
the
regulations
prescribed
under
§
202
of
this
Act.
If
such
vehicle
or
engine
conforms
to
such
regulations,
the
Administrator
shall
issue
a
certificate
of
conformity
upon
such
terms,
and
for
such
period
(
not
in
excess
of
one
year)
as
he
may
prescribe."

This
provision
also
applies
to
nonroad
engines,
pursuant
to
§
213(
d)
of
the
CAA.
Also,
under
the
authority
of
the
CAA
§
217,
on­
highway
engine
manufacturers
are
required
to
pay
a
fee
when
applying
for
a
certificate
of
conformity.

EPA
also
conducts
an
Averaging,
Banking,
and
Trading
(
AB&
T)
Program.
This
program
is
one
of
many
regulatory
features
designed
to
enhance
the
compliance
flexibility
for
and
reduce
the
burden
on
the
affected
engine
manufacturers,
without
compromising
the
expected
emissions
benefit
derived
from
these
emissions
standards.

Section
206(
b)(
1)
of
the
Act
authorizes
EPA
to
inspect
and
require
testing
of
new
vehicles
and
engines
to:
(
1)
verify
that
manufacturer's
final
product
actually
complies
with
EPA
standards;
(
2)
assure
that
the
correct
parts
are
installed
correctly
in
each
engine;
and
(
3)
audit
the
manufacturer's
testing
process
to
ensure
testing
is
being
done
correctly.
The
Production
Line
Testing
Program
(
PLT)
and
the
Selective
Enforcement
Audit
Program
(
SEA)
fulfill
these
requirements
by
inspecting
and
testing
engines
taken
directly
from
the
assembly
line
and
by
auditing
the
engine
manufacturer's
testing
procedures
and
facilities.

The
programs
are
codified
at
the
following
parts
of
Title
40
of
the
Code
of
Federal
Regulations:

Table
1
­
5­
Regulations
Program
Nonroad
CI
40
CFR
Part
89
Heavy­
duty
On­
highway
40
CFR
Part
86
Marine
CI
40
CFR
Part
94
Certification
Subpart
B
Subpart
D
Subpart
C
AB&
T
Subpart
C
Subpart
A
Subpart
D
PLT
N/
A
N/
A
Subpart
F
SEA
Subpart
F
Subpart
K
Subpart
F
The
subparts
listed
specifically
contain
the
reporting
and
recordkeeping
requirements
listed
in
this
ICR.
Other
Subparts
in
each
Part
provide
information
that
support
and
supplement
the
Subparts
listed.

2(
b)
Practical
Utility/
Users
of
the
Data
EPA
uses
certification
information
to
verify
that
the
proper
engine
prototypes
have
been
selected
and
that
the
necessary
testing
has
been
performed
to
assure
that
each
engine
complies
with
emission
standards.

The
AB&
T
program
allows
manufacturers
to
generate
emission
credits.
Under
averaging,
a
manufacturer
could
certify
one
or
more
engine
families
within
its
product
line
at
levels
above
the
emission
standard,
provided
the
increased
emissions
are
offset
by
emission
reductions
from
one
or
more
families
certified
below
the
standard.
The
average
emissions
(
weighted
by
horsepower
and
production)
from
all
the
manufacturer's
engine
families
involved
in
the
program
in
a
given
model
year
must
be
at
or
below
the
emission
standard.
The
banking
program
would
allow
a
manufacturer
to
bank
credits
generated
in
one
model
year
for
use
in
averaging
or
trading
in
subsequent
model
years.
The
trading
program
would
allow
credit
transactions
between
manufacturers.

During
the
certification
phase,
manufacturers
submit
emissions
data
obtained
through
testing
an
engine
prototype.
In
order
to
verify
that
a
manufacturers'
final
products
do
comply
with
emission
standards,
manufacturers
test
engines
directly
from
the
assembly
line
(
PLT).
Through
SEAs,
EPA
verifies
that
manufacturers'
testing
procedures
comply
with
applicable
regulations
and
that
test
data
submitted
by
manufacturers
during
certification
is
reliable.
SEAs
also
provide
manufacturers
with
­
6­
feedback
on
the
effectiveness
of
their
production
quality­
control
techniques
and
how
effectively
their
prototype
designs
translate
into
a
mass
produced
engine.
SEAs
assure
that
the
correct
parts
are
installed
in
the
correct
manner
on
each
engine
and
vehicle.

EPA
uses
the
information
requested
to
support
various
enforcement
actions
as
mandated
by
the
CAA.
This
information
collection
enables
EPA
to
ensure
that
engine
manufacturers
are
complying
with
applicable
emission
regulations,
measure
the
impact
of
nonroad
engines'
emissions
on
air
quality,
and
take
corrective
actions
as
needed.

The
information
will
be
received
and
used
by
EPG/
CCD/
OTAQ/
OAR.
Non­
confidential
portions
of
the
information
submitted
to
EPG
is
available
to
and
used
by
importers,
environmental
groups,
members
of
the
public
and
local,
state
and
federal
government
organizations.

3.
Nonduplication,
Consultations
and
Other
Collection
Criteria
3(
a)
Nonduplication
The
information
requested
under
this
ICR
is
required
by
statute.
Because
of
its
specialized
(
and
sometimes
confidential)
nature,
and
the
fact
that
it
must
be
submitted
to
EPA
prior
to
the
start
of
production,
the
information
collected
is
not
available
from
any
other
source.
Furthermore,
some
of
the
information
requested
under
the
AB&
T
 
such
as
actual
sales
volumes­­
is
confidential
in
nature;
therefore
EPA
can
only
obtain
it
if
the
manufacturers
submit
it.
Participation
in
the
program
is
voluntary.

3(
b)
Public
Notice
Required
Prior
to
ICR
Submission
to
OMB
An
announcement
of
the
public
comment
period
for
this
ICR
renewal
was
published
in
the
Federal
Register
(
69
FR
34158)
on
June
18,
2004.
A
copy
of
this
FR
notice
is
provided
in
this
package.
Only
one
comment
was
received
and
was
directed
to
several
ICRs,
not
only
to
this
one.

The
commenter
expressed
concerns
that
engine
emissions
affect
human
health
and
EPA
should
"
insist
on
zero
emissions"
for
all
nonroad
engines.
­
7­
3(
c)
Consultations
EPA
consulted
less
than
ten
past
respondents
regarding
this
information
collection
burden.

Contact:
George
Valencia
Company:
Daewoo
Heavy
Industries
Phone:
770­
831­
2228
Contact:
Richard
Bishop
Company:
Deere
Power
Systems
Phone:
319­
292­
8157
Contact:
Saul
Boast
Company:
Caterpillar
Phone:
309­
675­
5217
3(
d)
Effects
of
Less
Frequent
Collection
The
CAA
states
that
emission
certification
must
be
done
on
a
yearly
basis
(
CAA
206(
a)(
1)),
coinciding
with
the
industry's
`
model
year'.
Major
product
changes
typically
occur
at
the
start
of
a
model
year.
For
these
reasons,
a
collection
frequency
of
less
than
a
model
year
is
not
possible.
However,
when
an
engine
design
is
"
carried
over"
to
a
subsequent
model
year,
the
amount
of
new
information
required
is
substantially
reduced.

For
practical
reasons,
PLT
reports
are
submitted
on
a
quarterly
basis.
Manufacturers
are
required
to
test
up
to
one
percent
of
their
production
at
random
to
ensure
that
mass
produced
engines
comply
with
emission
requirements.
If
a
problem
is
found,
manufacturers
must
correct
it
and
might
need
to
recall
engines
that
have
already
been
sold.
Engine
manufacturing
companies
update
their
internal
production
volume
reports
every
quarter.
By
conducting
this
quality
control
testing
also
on
a
quarterly
basis,
manufacturers
are
able
to
learn
about
and
address
any
problems
early,
before
the
start
of
the
next
quarter's
production,
thus
minimizing
costs.

SEA
information
is
only
collected
on
occasion,
when
EPA
audits
a
manufacturer.

3(
e)
General
Guidelines
­
8­
According
to
40
CFR
86.098­
7(
on­
highway)
and
89.210­
96(
nonroad),
certification,
AB&
T,
and
end­
of­
the­
year
report
related
records
must
be
maintained
for
eight
years.
However,
"
records
may
be
retained
as
hard
copy
or
reduced
to
microfilm,
ADP
film,
etc.,
depending
on
the
manufacturer's
record
retention
procedure,
provided
that
in
every
case
all
the
information
contained
in
the
hard
copy
is
retained."
These
recordkeeping
requirements
stem,
in
large
part,
from
the
statutory
requirement
to
warrant
some
items
for
long
periods
of
time.
In
addition,
the
manufacturers
must
comply
with
requirements
to
recall
vehicles
and
engines
failing
to
meet
emission
standards
during
their
useful
lives.

Manufacturers
are
required
to
submit
confidential
business
information
such
as
sales
projections
and
certain
sensitive
technical
descriptions
(
Please
see
section
4(
b)(
i)
for
reference).
This
information
is
kept
confidential
in
accordance
with
the
Freedom
of
Information
Act,
EPA
regulations
at
40
CFR
Part
2,
and
class
determinations
issued
by
EPA's
Office
of
General
Counsel.
Also,
non­
proprietary
information
submitted
by
manufacturers
is
held
as
confidential
until
the
specific
vehicle
or
engine
to
which
it
pertains
is
available
for
purchase.

Manufacturers
are
required
to
submit
test
results
and
information
within
5
working
days
after
all
engines
ordered
to
be
tested
under
SEA
have
been
tested.
The
items
requested
are
all
readily
available
or
generated
during
the
SEA.
The
information
is
requested
in
less
than
thirty
days
so
that
EPA
can
verify
the
accuracy
and
validity
of
the
emission
data
and
expeditiously
reach
a
conclusive
audit
decision.
An
expeditious
audit
decision
allows
the
manufacturer
to
quickly
release
the
tested
vehicles
or
engines
for
introduction
into
commerce.

No
other
general
guideline
is
exceeded
by
this
information
collection.

3(
f)
Confidentiality
Manufacturers
are
allowed
to
assert
a
claim
of
confidentiality
over
information
provided
to
EPA.
Confidentiality
is
provided
in
accordance
with
the
Freedom
of
Information
Act
and
EPA
regulations
at
40
CFR
Part
2.
For
further
detail,
refer
to
section
3(
e).

3(
g)
Sensitive
Questions
­
9­
No
sensitive
questions
are
asked
in
this
information
collection.

4.
Respondents
and
Information
Requested
4(
a)
Respondents/
SIC
Codes
Respondents
are
manufacturers
of
non­
road
engines
within
the
following
North
American
Industry
Classification
System
(
NAICS)
codes:

333618
Other
Engine
Equipment
Manufacturing
336312
Gasoline
Engine
and
Engine
Parts
Manufacturing
4(
b)
Information
Requested
All
manufacturers
must
describe
their
products
and
supply
test
data
to
verify
compliance.
This
information
is
organized
by
"
engine
family"
groups
expected
to
have
similar
emission
characteristics.
Manufacturers
must
also
retain
records.

The
certification
burden
for
a
given
engine
family
is
reduced
after
the
model's
first
production
year,
because
data
and
information
from
previous
years
can
be
"
carried
over"
when
no
significant
changes
have
occurred.
For
instance,
an
engine
family
certified
in
model
year
2004
can
be
certified
in
the
2005
model
year
by
"
carry
over"
of
data
and
paperwork
from
the
2004
model
year
if
no
significant
changes
have
occurred
to
the
engine
family
between
model
years.
EPA
may
also
allow
manufacturers
to
"
carry
across"
data
and
paperwork
from
on­
highway
certification
of
an
engine
family
which
they
produce
for
both
the
on­
highway
and
nonroad
markets
if
there
are
no
significant
differences
between
the
on­
highway
and
nonroad
versions
of
the
engine
family.
Allowing
manufacturers
to
"
carry
over"
and
"
carry
across"
data
and
paperwork
saves
manufacturers
the
burden
of
duplication
of
data
and
paperwork
which
would
occur
in
the
absence
of
such
provisions.

Engine
manufacturers
are
also
required
to
pay
a
fee
under
the
authority
of
Section
217
of
the
CAA
and
the
Independent
Offices
Appropriation
Act
(
31
U.
S.
C.
9701)
to
ensure
that
the
motor
vehicle
emissions
compliance
program
is
self­
sustaining
to
the
extent
possible.
A
new
fee
schedule
was
recently
published
in
the
Federal
Register.
See
section
6(
b)(
ii)
for
details.
­
10­
(
i)
Data
Items
Although
different
data
items
may
be
requested
depending
on
the
type
and
specific
characteristics
of
the
engine
family
to
be
certified,
the
data
requested
is
similar
for
all
three
engine
categories
included
in
this
ICR
(
nonroad
CI,
marine
CI
and
onhighway
heavy­
duty).
Some
of
data
items
are
only
required
to
be
kept
in
records
and
submitted
upon
request.

EPA
encourages
manufacturers
to
apply
electronically
and
has
developed
a
simple
electronic
application
format.
A
copy
of
the
application
template
is
attached.
The
Large
Engine
Application
Form
is
designed
to
be
used
by
both
nonroad
and
on
highway
engine
manufacturers.
The
Marine
CI
Application
Form
is
used
by
marine
CI
manufacturers.
Questions
are
answered
as
applicable
to
each
engine
category.
A
complete
application
consists
of
(
1)
a
Statement
of
Compliance,
(
2)
a
Family
Information
Form
(
FIF),
(
3)
a
Test
Information
Form
(
TIF),
(
4)
a
Technical
Description
Form
(
TDF),
(
5)
an
Engine
Model
Summary
(
EMS),
and
(
6)
an
Engine
Part
Summary
(
EPS).
However,
manufacturers
requesting
a
certificate
of
conformity
for
evaporative
engine
families
are
only
required
to
submit
the
Statement
of
Compliance
and
an
Evaporative
Engine
Form
(
EEF).
There
is
also
a
Production
Line
Testing
Information
Form.

The
following
are
lists
of
data
items
requested
under
each
program.
Other
data
items
may
be
listed
in
the
regulations.
EPA
Regulations
provide
that
the
Agency
may
also
require
additional
information
as
needed
to
evaluate
the
application
for
certification
and
compliance
with
requirements.

A.
Certification:

Information
Items
Requested
Under
The
Certification
Program
°
Statement
of
compliance
°
Identification
and
description
of
the
basic
engine
design
including,
but
not
limited
to,
the
engine
family
specifications
(
fuel,
cooling
medium,
etc.)

°
An
explanation
of
how
the
emission
control
system
operates
°
Fuel
System
type
and
components
°
Useful
life
Period
­
11­
°
Deterioration
factors
°
Intended
Service
Class
°
Projected
Sales
°
Estimated
Production
Period
°
Sales
Area
°
Plant
Contact
and
Location
°
Program
information
°
Family
emission
limits
°
Nonroad
engine
equipment
types
°
Detailed
description
and
justification
of
each
auxiliary
emission
control
devices
(
AECD),
and
how
they
affects
emissions
°
A
description
of
all
adjustable
parameters,
their
adjustable
ranges
and
methods
employed
to
prevent
tampering,
etc
°
Detail
drawings
and
descriptions
of
the
of
the
various
emission
related
components
°
A
description
of
the
test
equipment
and
fuel
to
be
used
°
A
description
of
the
test
procedures
to
be
used
to
establish
the
durability
data
or
the
exhaust
emission
deterioration
factors
°
All
test
data
obtained
by
the
manufacturer
on
each
test
engine
°
A
statement
of
the
useful
life
°
If
applicable,
a
statement
of
the
alternative
useful­
life
period
and
a
brief
synopsis
of
the
justification
°
Maintenance
information
°
Description
of
the
provisions
taken
to
prevent
tampering
with
emission
control
computer
instructions
°
Proposed
test
fleet
selection
and
the
rationale
for
the
test
fleet
selection
°
Special
or
alternate
test
procedures,
if
applicable
­
12­
°
The
period
of
operation
necessary
to
accumulate
service
hours
on
test
engines
and
stabilize
emission
levels
°
Fee
Filing
Form
For
Heavy­
duty
engines
only:

°
For
evaporative
families:
°
a
description
of
any
unique
procedures
required
to
perform
evaporative
and/
or
refueling
test,
and
of
the
method
used
to
develop
those
unique
procedures
°
Canister
working
capacity,
canister
bed
volume,
and
fuel
temperature
profile
for
the
running
loss
test
°
Maximum
nominal
fuel
tank
capacity
°
Certification
standard
°
Weight
category
°
The
manufacturer
shall
identify
those
families
which
will
not
comply
with
cold
temperature
CO
standards
°
For
families
incorporating
an
emission
control
diagnostic
system:
a
full
and
detailed
description
of
its
functional
characteristics,
the
method
of
detecting
malfunctions,
and
provisions
taken
to
prevent
tampering
°
For
methanol­
fueled
vehicles:
wether
the
vehicle
is
flexible
or
dedicated,
and
the
fuel
for
which
the
vehicle
was
design
For
Marine
CI
engines
only:
°
all
information
required
for
EPA
to
interpret
all
messages
and
parameters
broadcast
on
an
engine's
controller
area
network
°
Information
about
the
engine
family's
compliance
with
the
`
Not
to
Exceed
Standards'

Manufacturers
must
keep
records
for
eight
years
(
86.094­
7(
a)(
3),
89.124­
96(
b)
and
94.215(
a)(
3))
except
routine
emission
records.
Manufacturers
must
keep
routine
emission
records
for
only
one
year.
­
13­
Recordkeeping
Requirements
Certification
General
records:

°
Identification
and
description
of
all
engines
for
which
testing
is
required
°
Description
of
emission
control
systems
°
Description
of
test
procedures
Individual
Records:

°
Copies
of
all
the
applications
submitted
°
A
brief
history
of
all
test
engines
and
running
changes
°
A
complete
record
of
all
emission
tests
performed
°
The
date
of
each
mileage
accumulation
run
and
the
mileage
accumulated
°
Record
and
description
of
all
maintenance
and
other
servicing
performed
°
Record
and
description
of
each
test
performed
to
diagnose
engine
or
emission
control
system
performance
°
A
brief
description
of
any
significant
events
affecting
the
vehicle
°
Actual
U.
S.
sales
volume
°
For
Heavy
Duty
engines
model
1996­
98:
Shipment
date,
purchaser,
purchaser
contract,
and
EPA
evaporative/
refueling
family
°
Routine
emission
test
data
When
a
manufacturer
needs
to
make
changes
to
a
certified
engine,
or
to
add
an
engine
model
to
an
already
certified
engine
family,
the
following
information
must
be
submitted.
Running
changes
are
submitted
using
the
same
electronic
format
used
to
apply
for
a
certificate
of
conformity.
­
14­
Running
Changes
°
Notification
of
changes
made
to
the
application
and
request
to
amend
the
application
°
A
full
description
of
the
change
to
be
made
°
Engineering
evaluations
or
data
showing
that
engines
as
modified
or
added
will
comply
with
all
applicable
emission
standards
°
A
determination
wether
the
original
test
fleet
selection
is
still
appropriate,
and
proposed
new
test
fleet
selections,
if
applicable
°
Upon
request,
test
data
on
the
engine
changed
or
added
°
Supporting
documentation,
test
data
and
engineering
evaluations
as
appropriate
to
demonstrate
that
all
affected
engines
will
still
meet
applicable
emission
standards
Each
manufacturer
is
also
required
to
submit
the
following
information:

Annual
Production
Report
and
Hearings
°
An
annual
production
report
identifying
the
number
of
engines
produced
by
engine
family,
by
gross
power,
by
displacement,
by
fuel
system,
or
by
other
categories
as
the
Administrator
may
require.

°
If
the
manufacturer
requests
a
hearing
on
the
Administrator's
denial
or
revocation
of
a
certificate
of
conformity,
the
request
shall
be
filed
within
30
days
of
the
Administrator's
decision,
shall
be
in
writing,
and
shall
set
forth
the
manufacturer's
objections
to
the
Administrator's
decision
and
data
to
support
the
objections.
1Applicable
production
volume
includes
only
those
engines
that
have
been
tracked
to
a
location
defined
as
a
point
of
first
retail
sale
within
the
U.
S.,
excluding
ineligible
states.

­
15­
The
Engine
Model
Summary
(
EMS)
is
requested
to
evaluate
whether
engine
families
were
developed
correctly.
The
information
contained
in
this
form
allows
EPA
engineers
to
know
if
the
engine
models
were
grouped
correctly,
and,
most
important,
if
the
test
data
submitted
corresponds
to
the
worst
case
within
that
family.
The
calculation
of
the
engine's
rated
power,
torque,
etc.,
is
customary
business
practice.

The
Part
Summary
Form
(
PSF)
allows
EPA
to
make
sure
that
the
engine
is
actually
built
in
its
certified
configuration.
This
information
is
used
when
conducting
Selective
Enforcement
Audits.
The
Selective
Enforcement
Program
is
covered
by
a
separate
ICR.

B.
Average,
Banking
and
Trading
(
AB&
T):

AB&
T
data
requirements
can
be
found
at
part
89,
subpart
C
for
nonroad
CI
engines,
part
86
subpart
A,
for
HD
Engines
and
part
94
subpart
D
for
marine
CI
engines.

Information
Items
Required
Under
the
Average,
Banking
and
Trading
Program
°
Intent
to
include
this
specific
engine
family
in
the
ABT
program
°
Declaration
that
participation
in
this
program
will
not
cause
the
applicable
emission
standard
to
be
exceeded
(
have
negative
credit
balance)

°
Family
emission
limit
°
Projected
applicable1
production
volumes
for
the
model
year
°
Values
required
to
calculate
credits
°
Projected
number
of
credits
generated/
used
­
16­
°
If
credits
are
generated,
the
designated
use
of
the
credits
involved
or
if
credits
are
used,
the
source
of
those
credits
AB&
T
records
are
to
be
kept
for
eight
years
(
86.094­
7(
c)(
3,
89.210­
96(
d)
and
94.308(
d)).

Recordkeeping
Requirements
Average,
Banking
and
Trading
Program
°
EPA
engine
family
°
Engine
identification
number
°
Engine
build
date
and
model
year
°
Power
rating
°
Purchaser
and
destination
°
Assembly
plant
°
Family
emission
Limit
°
Useful
life
°
Projected
and
actual
production
model
°
For
families
participating
in
trading,
the
following
records
must
be
kept
quarterly:

°
Actual
quarterly
and
cumulative
applicable
production/
sales
volume
°
Value
required
to
calculate
credits
°
Resulting
type
and
number
of
credits
generated/
required
°
How
and
where
credit
surpluses
are
dispersed
°
How
and
through
what
means
credit
deficits
are
met
C.
Selective
Enforcement
Auditing
(
SEAs)
and
Marine
CI
Production
Line
Testing
All
Nonroad
CI
engine
manufacturers
are
subject
to
be
audited
by
EPA.
EPA
collects
the
information
needed
for
SEAs
in
two
stages:
First,
a
limited
number
of
manufacturers
is
asked
to
­
17­
submit
their
production
plans
for
a
specified
period
of
time,
as
described
below.
EPA
uses
this
"
pre­
audit"
information
to
efficiently
determine
which
manufacturers
and
engine
models
to
audit.
After
a
manufacturer
has
been
chosen,
EPA
issues
a
test
order
specifying
which
engine
models
and
configurations
will
be
tested.
When
all
required
testing
in
completed,
manufacturers
submit
a
report
containing
all
testing
results.
This
"
audit"
information
is
then
used
to
determine
compliance
with
applicable
emission
standards.

Per
89.505
(
d)
and
86.1005­
90(
d),
EPA
can
request
manufacturers
to
submit
additional
SEA
information
or
keep
records
not
specifically
listed
in
this
section.
SEA
data
requirements
can
be
found
at
part
89,
subpart
F
for
nonroad
CI
engines,
part
86
subpart
K,
for
HD
Engines.

Although
there
are
no
SEA
requirements
under
marine
CI
regulations,
marine
engine
manufacturers
must
conduct
PLT
Testing.
The
marine
CI
PLT
Program
have
data
requirements
very
similar
to
those
of
the
SEA
program,
however
testing
requirements
are
different.
Whereas
in
SEA,
manufacturers
are
only
required
to
test
on
occasion,
when
EPA
orders
testing,
under
the
PLT
Program
manufacturers
must
test
a
sample
of
engines
every
quarter.

Pre­
Audit
Data
Requested
Under
the
Selective
Enforcement
Auditing
Program
Upon
EPA's
request,
engine
manufacturers
must
submit
the
following
information
regarding
engine
production.
EPA
uses
this
information
to
determine
which
engines
will
be
audited:

°
Projected
US
sales
data
for
each
engine
configuration
°
Number
of
engines,
by
configuration
and
assembly
plant,
scheduled
for
production
within
the
time
period
designated
by
EPA
°
Number
of
engines,
by
configuration
and
assembly
plant,
storage
facility
or
port
facility,
scheduled
to
be
stored
during
the
time
period
designated
by
EPA
°
Number
of
engines,
by
configuration
and
assembly
plant,
produced
during
the
designated
period
that
are
complete
for
introduction
into
commerce
Within
five
working
days
after
all
tests
ordered
by
EPA
are
completed,
manufacturers
must
submit
a
report
with
the
following
­
18­
information:

Audit
Data
Requested
Under
the
Selective
Enforcement
Auditing
Program
and
Marine
CI
Production
Line
Testing
Program
°
Testing
facilities'
location
and
description
°
The
applicable
standards
or
compliance
levels
against
which
the
engines
were
tested
°
Deterioration
factors
for
the
selected
configurations
°
A
description
of
the
engine
and
the
method
used
to
select
its
emission­
related
components
°
For
each
test
conducted:

°
Test
engine
description
°
Location
where
service
accumulation
was
conducted
and
a
description
of
the
procedure
°
Test
information,
raw
results,
etc.

°
A
complete
description
of
any
modification,
repair,
preparation,
maintenance
and/
or
testing
performed
on
the
engine
not
previously
reported
°
If
an
engine
was
deleted
from
the
test
sequence
by
authorization
of
EPA,
the
reason
to
delete
it.

°
Brake­
specific
fuel
consumption
values
for
all
valid
and
invalid
tests
°
Any
other
information
requested
by
EPA
°
A
statement
of
compliance
and
endorsement
°
Manufacturers
can
request
EPA
to
allow
re­
testing
of
failed
engines
Records
must
be
kept
for
one
year
after
all
ordered
tests
have
been
completed.
Records
may
be
kept
in
any
media,
according
to
the
manufacturer's
procedures,
provided
that
in
every
case
all
the
information
contained
in
the
hard
copy
is
kept.
­
19­
Recordkeeping
Requirements
Under
the
Selective
Enforcement
Auditing
Program
and
Marine
CI
Production
Line
Testing
Program
°
General
records:
a
description
of
all
test
equipment
used
°
Individual
records
for
each
audit:

°
Date,
time
and
location
of
each
test
°
Number
of
hours
accumulated
in
each
engine
when
testing
began
°
Names
of
all
supervisory
personnel
involved
°
Detail
records
of
all
repairs
performed
prior/
after
EPA's
authorization
°
Date
engine
was
shipped
and
date
it
was
received
°
A
complete
record
of
all
tests
performed
including
worksheets
and
other
documentation
required
under
90.405,
90.406,90.418,
and
or
90.425,
as
applicable.

°
A
brief
description
of
any
significant
event
occurred
during
the
audit
°
A
copy
of
the
trace
for
each
test
°
A
description
of
the
equipment
in
each
test
cell
that
can
be
used
to
perform
SEA
testing
During
an
SEA,
manufacturers
are
required
to
allow
EPA
officials
to
enter
to
facilities
where
engines
are
being
manufactured,
stored,
or
tested
and
where
records
may
be
located.
Manufacturers
are
also
expected
to
afford
reasonable
assistance
(
such
as
clerical
or
translation
services,
photocopying,
etc)
to
EPA
personnel
conducting
the
audit.
This
requirements
also
apply
when
EPA
conduct
an
audit
while
marine
CI
engine
manufacturers
conduct
PLT
testing.

When
an
engine
family
fails
an
audit
or
PLT,
the
certificate
of
conformity
issued
to
that
engine
family
may
be
revoked
or
suspended,
in
whole
or
in
part,
effective
no
later
than
10
days
after
failure.
A
certificate
may
be
suspended
for
other
reasons
established
at
89.511(
d),
including
refusal
by
the
engine
manufacturer
to
allow
EPA
to
gain
access
to
the
appropriate
­
20­
facilities.
The
affected
manufacturer
must
then
remedy
the
noncomformity,
retest
or
reaudit.
In
any
of
these
cases,
the
affected
manufacturer
must
submit
a
report
describing
the
reason
for
the
noncompliance
and
the
remedy
to
be
implemented,
among
other
items
appropriate
to
each
case
(
89.512(
g)
and
(
h)).
Section
86.1012
explains
revocation
of
certificates
for
heavy­
duty,
onhighway
engines.

If
the
affected
manufacturer
disagrees
with
EPA's
determination
to
revoke
a
certificate
of
conformity,
the
manufacturer
may
request
a
public
hearing.
A
request
for
public
hearing
must
be
filed
within
15
days
after
and
must
include:

Public
Hearings
Selective
Enforcement
Auditing
Program
and
Marine
CI
Production
Line
Testing
Program
°
A
statement
as
to
which
configuration(
s)
within
a
family
is
to
be
the
subject
of
the
hearing
°
A
concise
statement
of
the
issues
to
be
raised
by
the
manufacturer
at
the
hearing
°
A
statement
specifying
reasons
why
the
manufacturer
believes
it
will
prevail
on
the
merits
of
each
of
the
issues
raised
°
A
summary
of
the
evidence
which
supports
the
manufacturer's
position
on
each
of
the
issues
raised
(
ii)
Respondent
Activities
The
activities
manufacturers
carry
out
under
each
program
are
as
follows:

(
ii)
(
a)
Certification
activities
°
Review
the
regulations
and
the
guidance
document
°
Develop
engine
family
groups
°
Test
engines
for
compliance
with
emission
standards
°
Develop
deterioration
factors
(
on­
highway
and
some
categories
of
nonroad
engines,
see
section
6(
a)
for
details).
°
Gather
emissions
data
°
Submit
the
fee
filing
form
(
On
Highway
only)
°
Pay
the
corresponding
fee
(
On
Highway
only)
­
21­
°
Submit
the
Application
for
Certification
°
Retain
and
maintain
records,
and
submit
them
upon
Administrator's
request
°
Submit
an
annual
production
report
(
ii)
(
b)
AB&
T
Activities
°
Pre­
certification
Activities:
°
Familiarization
with
the
AB&
T
program
provisions
°
Determine
which
engine
families
will
participate
in
ABT.
°
Project
applicable
production
volumes
for
the
model
year
for
all
engine
families.
°
Submit
AB&
T
information
with
the
certification
application
°
Gather
information
regarding
point
of
first
retail
sale
°
Monitor
production
volumes
and
engine
sales
(
customary
business
practice)
°
Develop
and
submit
end­
of­
year
reports
°
Develop
and
submit
final
reports
°
Store,
file,
and
maintain
information
as
required
(
ii)
(
c)
Selective
Enforcement
Auditing
°
Gather/
maintain
production
data
(
customary
business
practice)
°
Read
instructions
and
regulations
°
Provide
pre­
audit
information
°
Plan
activities
°
Train
personnel
°
Test
engines
°
Enter
data
and
analyze
it
°
Prepare
and
submit
reports
°
Keep
records
(
ii)
(
d)
Marine
CI
Production
Line
Testing
°
Gather/
maintain
production
data
(
customary
business
practice)
°
Read
instructions
and
regulations
°
Train
personnel
°
Project
testing
needs
and
plan
schedules
­
22­
°
Select
engines
to
be
tested
°
Inspect
engines
to
be
tested
°
Contract
an
independent
facility
to
test
engines
(
if
needed)
°
Test
engines
°
Enter
data
and
analyze
it
°
Prepare
and
submit
reports
°
Keep
records
5.
The
Information
Collected­­
Agency
Activities,
Collection
Methodology,
and
Information
Management
5(
a)
Agency
Activities
As
part
of
the
implementation
of
the
certification
programs,
EPA
officials
carry
out
the
following
activities:

°
Review
and
interpret
regulations,
provide
guidance
°
Gather
applications
from
the
industry,
enter
data
into
the
database
°
Review
the
applications
for
completeness
and
accuracy
°
Verify
that
the
correct
engines
have
been
selected
and
tested
°
Answer
questions
from
manufacturers
and
the
public
°
Issue
appropriate
certificates
of
conformity
°
Periodically
perform
maintenance
or
enhance
the
database
°
Make
data
available
to
the
public,
including
making
it
available
through
the
Internet
°
Analyze
and
manage
requests
for
confidentiality
°
Determining
if
"
carry
over"
of
data
from
a
previous
model
year
is
appropriate
or
if
new
testing
will
be
required
°
Store,
file
and
maintain
data
Activities
related
to
AB&
T
involve:

°
Reviewing
requirements
and
providing
guidance
°
Entering
the
data
into
the
database
°
Receiving
quarterly
and
final
reports,
reviewing
calculations,
making
sure
that
the
information
submitted
by
manufacturers
is
accurate
and
complete
°
Audit
manufacturers
reports
and
files
to
make
sure
all
participants
have
zero
or
positive
credit
balances
at
the
end
of
the
year
°
Keep
records
­
23­
In
addition,
when
conducting
SEAs,
the
agency
must:

°
Request
and
gather
production
data
from
manufacturers
°
Make
a
determination
as
to
which
manufacturers
and
engine
families
to
audit
°
Issue
a
SEA
test
order
°
Travel
to
the
testing
laboratory
to
witness
the
testing
°
Oversee
testing,
ensure
proper
procedures
are
followed,
answer
questions
As
part
of
the
implementation
of
the
PLT
and
SEA
Programs,
EPA
officials
carry
out
the
following
activities:

°
Review
and
interpret
applicable
regulations
°
Answer
questions
from
manufacturers
and
the
public
°
Review
submissions
for
format
and
completeness,
input
data
into
the
database
°
Analyze
data
submitted
in
reports,
compare
results
to
standards
and
FELs
°
Request
and
review
additional
information
as
needed
°
Periodically
perform
maintenance
or
make
enhancements
to
the
database
°
Make
data
from
completed
test
programs
available
to
the
public,
including
posting
it
on
the
Internet
°
Analyze
and
manage
requests
for
confidentiality
°
Take
any
appropriate
enforcement
actions
°
Keep
records
of
the
information
submitted
by
manufacturers
and
EPA's
actions
and
determinations
5(
b)
Collection
Methodology
and
Management
EPA
currently
makes
extensive
use
of
electronic
media
in
gathering
and
evaluating
information
from
engine
manufacturers.
Manufacturers
submit
Certification,
AB&
T
and
SEA
data
in
electronic
formats.

Once
the
data
is
received,
the
information
is
entered
into
a
database
and
reviewed
for
completeness.
If
the
manufacturer
chooses
to
make
hard
copy
submittals,
then
EPA
manually
enters
the
information
into
the
database.
The
certification
reviewer
analyses
the
information
to
ensure
compliance
with
the
CAA
and
applicable
regulations.
­
24­
The
public
can
access
non­
confidential
portions
of
the
certification
applications
and
test
data
by
contacting
EPG
or
through
the
Engine
Certification
Information
Center
at
http://
www.
epa.
gov/
otaq/
certdata.
htm.

5(
c)
Small
Entity
Flexibility
Small
on­
highway
engine
manufacturers
may
use
optional
procedures
outlined
in
86.098
to
demonstrate
compliance
with
the
general
standards
and
specific
emission
requirements.
These
procedures
apply
to
manufacturers
with
US
sales,
including
all
imported
engines,
of
fewer
than
10,000
units.
The
alternate
procedures
reduce
small
manufacturers'
burden
associated
with
durability
data
requirements,
testing,
determination
of
deterioration
factors
and
certification
test
data.
Small
volume
manufacturers
are
also
exempt
from
some
reporting
and
recordkeeping
requirements
associated
to
the
certification
of
evaporative
families
(
86.098­
22(
m)).
Also,
section
86.1008­
2001
provides
a
reduced
SEA
testing
schedule
for
heavy­
duty
engine
manufacturers
with
projected
US
sales
of
30,000
engines
or
less.

EPA
can
also
approve
a
reduction
in
certification
application
fee
upon
request
by
the
manufacturer.
A
fee
waiver
could
be
granted
if:
(
1)
the
certificate
is
to
be
used
to
sell
engines
within
the
United
States;
and
(
2)
the
full
fee
exceeds
1%
of
the
aggregate
projected
retail
sales
price
of
all
vehicles
covered
by
the
certificate
of
conformity.
Although
this
is
a
provision
available
to
all
manufacturers,
it
is
beneficial
to
some
small
manufacturers.
Section
6(
b)(
ii)
provides
more
details.

Small
volume
manufacturers
are
excluded
from
marine
CI
PLT
requirements.

Under
the
other
programs
included
in
this
ICR,
the
information
being
requested
is
considered
to
be
the
minimum
needed
to
effectively
conduct
and
maintain
integrity
of
the
required
certification
and
enforcement
programs.
Further
measures
to
simplify
reporting
for
small
businesses
do
not
appear
prudent
or
necessary.

5(
d)
Collection
Schedule
Collection
frequency
is
largely
determined
by
the
manufacturer's
marketing
and
product
plans.
Information
must
be
submitted
for
each
`
model
year'
that
a
manufacturer
intends
to
build
(
or
import)
an
engine
model.
A
certificate
of
conformity
­
25­
must
be
obtained
before
the
start
of
production
(
or
importation).
Taking
these
two
considerations
into
account,
manufacturers
normally
submit
information
on
an
annual
basis
and
submit
their
applications
at
their
earliest
convenience.

Running
change
and
correction
applications
are
submitted
by
manufacturers
as
the
need
occurs.

PLT
reports
are
submitted
quarterly,
as
manufacturers
update
their
own
production
records.

SEA
information
is
submitted
on
occasion,
when
EPA
audits
a
manufacturer.

6.
Estimating
the
Burden
and
Cost
of
the
Collection
Refer
to
Tables
2
through
8
for
details.

6(
a)
Estimating
Respondent
Burden
Burden
estimates
were
taken
from
the
previous
ICRs
and
adjusted
to
reflect
comments
from
fewer
than
10
respondents
consulted
by
EPA
and
EPA
experience
in
these
and
other
similar
programs.

6(
b)
Estimating
Respondent
Costs
(
i)
Estimating
Burden
Hours
To
estimate
labor
costs,
EPA
used
the
Bureau
of
Labor
Statistics'
National
Industry­
specific
Occupational
Wage
Estimates
(
May
2003)
for
the
Engine
and
Turbines
Industry
(
SIC
351)
and
increased
by
a
factor
of
2.1
to
account
for
benefits
and
overhead.
The
specific
rates
used
are
listed
below.
These
are
mean
hourly
rates.

Table
9
Labor
Costs
Estimates
Occupation
SOC
Code
Number
Mean
Hourly
Rate
(
BLS)
110%
­
26­
Mechanical
Engineers
17­
2141
$
30.61
$
64.28
Engineering
Managers
11­
9041
$
46.17
$
96.96
Lawyers
23­
1011
$
51.83
$
108.84
Secretaries,
Except
Legal,
Medical
and
Executive
43­
6014
$
14.79
$
31.06
Mechanical
Engineering
Technicians
17­
3027
$
21.62
$
45.40
Engine
and
Other
Machine
Assemblers
51­
2031
$
16.00
$
33.60
Truck
Drivers,
Heavy
and
Tractor­
Trailer
53­
3032
$
18.04
$
37.88
(
ii)
Estimating
Capital
and
Operations
and
Maintenance
Costs
Capital
costs
(
associated
with
building
emission
testing
facilities)
were
incurred
by
manufacturers
when
the
nonroad
CI
and
on­
highway
heavy­
duty
engine
industry
became
regulated
for
the
first
time.
In
the
Marine
CI
sector,
10
out
of
13
respondents
are
companies
which
manufacture
engines
regulated
under
other
programs
(
nonroad
CI,
Marine
spark­
ignition,
on­
highway,
etc)
and
have
already
invested
in
developing
their
own
test
cells.
Those
marine
CI
engine
manufacturers
who
do
not
participate
in
other
programs,
are
small
companies
with
one
or
two
engine
families
and
a
combined
production
volume
of
less
than
200
engines.
Their
small
production
volume
makes
it
more
economical
for
them
to
contract
out
their
testing
needs
than
to
build
expensive
test
cells.
Therefore,
capital
costs
are
excluded
from
this
ICR.
EPA
does
not
expect
any
new
engine
manufacturers
to
build
its
own
emission
testing
laboratories
in
the
next
three
years.
Other
emission
testing
expenses
are
included
as
O&
M
costs
as
explained
above.

Operation
and
Maintenance
costs
(
O&
M
Costs)
associated
with
this
information
collection
include
diskettes,
photocopying,
postage
and
other
shipping
expenses,
calls,
maintenance
of
emission
laboratories
(
for
those
manufacturers
that
own
testing
cells),
and
testing
costs
(
for
those
manufacturers
that
contract
testing
facilities).
Diskettes
are
used
by
manufacturers
to
submit
their
electronic
applications
and
to
keep
records.
2
Category
3
refers
to
marine
CI
engines
"
with
a
specific
engine
displacement
greater
than
or
equal
to
30
liters
per
cylinder"
(
40
CFR
94.2).
They
range
in
size
from
about
2,500
to
70,000
kilowatts
(
3,000
to
100,000
horsepower).
These
are
very
large
marine
diesel
engines
used
for
propulsion
power
on
ocean­
going
vessels
such
as
container
ships,
oil
tankers,
bulk
carriers,
and
cruise
ships.
Their
size
makes
them
more
expensive
to
test.

­
27­
Engine
manufacturers
that
have
in­
house
testing
facilities
use
them
for
all
their
certification
and
compliance
testing
needs
as
well
as
for
research
and
development.
The
cost
of
maintaining
these
laboratories
have
been
estimated
at
$
62,000
per
year.
This
estimate
(
which
appears
under
the
certification
program
estimates
­
Table
1)
include
the
cost
of
test
fuels,
calibration
gases
and
equipment.

EPA
has
also
accounted
for
the
cost
incurred
by
those
manufacturers
who
prefer
to
hire
a
contractor
to
conduct
the
necessary
certification
and
compliance
emission
testing
in
the
contractor's
facilities.
EPA
has
estimated
that
testing
at
a
private
facility
costs,
on
average:

Heavy­
duty
and
Large
nonroad
CI:
$
10,000
Marine
CI:
$
1,500
Marine
CI
Category
3:
$
20,0002
Testing
cost,
however,
is
a
one­
time
cost
per
engine
family
since
manufacturers
can
carry
over
emissions
data
from
one
model
year
to
the
next.
This
cost
has
been
annualized
over
the
approval
period
requested
for
this
ICR
(
3
years)

Heavy­
duty
and
Large
nonroad
CI:
$
3,333
Marine
CI:
$
500
Marine
CI
Category
3:
$
6,667
Engine
manufacturers
are
required
to
pay
a
fee
every
model
year
when
submitting
an
application
for
a
certificate
of
conformity.
This
fee
is
requested
under
the
authority
of
the
CAA
Section
217.
EPA
recently
published
the
new
schedule
of
fees
in
the
Federal
Register
(
69
FR
26224).

Nonroad
CI
Engines:
$
1,822
Heavy
Duty
Engines:
Federal
Certificate:
$
21,578
California­
only:
$
826
Evaporative
only:
$
826
Marine
CI
Engines:
$
826
The
new
fees
rule
provides
for
a
reduction
in
fee
when
"
the
full
fee
exceeds
1.0
percent
of
the
projected
aggregate
retail
­
28­
price
of
all
vehicles
or
engines
covered
by
that
certificate"
(
69
FR
26226,
Section
F).
The
reduced
fee
must
not
exceed
one
percent
of
the
aggregate
retail
price
of
the
vehicles
and
engines
covered
by
the
certificate.

(
iii)
Capital/
Start
Up
Costs
There
are
no
capital
or
start
up
costs
associated
with
the
renewal
of
this
ICR.
(
See
6(
b)(
ii)
for
details.)

(
iv)
Annualizing
capital
costs
There
are
no
capital
costs
associated
with
the
renewal
of
this
ICR.
(
See
6(
b)(
ii)
for
details.)

6(
c)
Estimating
Agency
Burden
Tables
10
through
13
explain
EPA's
overall
burden
associated
with
the
programs
contained
in
this
information
collection.

Table
10
summarizes
EPA's
labor
costs
associated
with
this
information
collection.
These
costs
are
based
on
2004
hourly
wage
rates
obtained
from
the
Office
of
Personnel
Management
and
adjusted
by
a
factor
of
1.6
to
account
for
benefits
and
overhead.

Table
14
Agency
Labor
Costs
Occupation
Hourly
Rate
160%

Engineer
(
GS­
13/
6)
$
39.16
$
62.66
Lawyers
(
GS­
13/
7)
$
41.46
$
66.34
Managers
(
GS­
15)
$
48.03
$
76.85
SES­
1
$
84.47
$
135.15
Senior
©
Employee)
$
11.81*
$
17.65*

*
The
salary
of
a
senior
for
clerical
support
is
$
11.81
per
hour
plus
approximately
150%
increase
for
benefits,
for
a
total
of
­
29­
$
17.65.
This
data
was
obtained
from
EPG's
financial
officer.

6(
d)
Estimating
the
Respondent
Universe
and
Total
Burden
and
Costs
6(
d)(
1)
Certification
Estimates
EPA
receives
approximately
901
certification
applications
from
68
engine
manufacturers
each
year
under
the
programs
included
in
this
collection
request
(
nonroad
CI,
on­
highway
heavy­
duty
and
marine
CI).
These
responses
are
distributed
as
follows:

EPA
receives
about
94
on­
highway
heavy­
duty
applications
annually
and
657
nonroad
CI
applications
for
a
total
of
751
applications.
There
are
68
companies
in
this
sector,
many
of
which
manufacture
both
on­
highway
heavy­
duty
and
nonroad
CI
engines.
Of
these
applications,
457
(
or
61%)
are
carry
overs.
Five
on­
highway
engine
manufacturers
also
submit
applications
for
evaporative
engine
families.
They
submitted
28
applications
in
2004:
18
carry
overs
and
10
"
non­
carry
overs".
EPA
also
received
107
running
changes
from
14
manufacturers.

In
the
marine
CI
sector,
EPA
received
100
applications
from
13
manufacturers.
This
is
a
newly
regulated
sector.
Emission
requirements
became
effective
on
January
1,
2004.
Therefore,
EPA
will
start
seeing
carry­
over
applications
in
2005
applications.
However,
based
on
experience
gained
in
the
marine
SI
sector,
EPA
expects
the
number
of
applications
to
increase
to
150
per
year
during
the
next
three
years,
a
third
of
which
will
be
carry­
overs.
The
estimates
in
Tables
4
through
7
are
based
on
those
projections.

Ten
of
the
13
engine
manufacturers
currently
participating
in
the
marine
CI
sector
are
large
companies
which
are
already
familiar
with
EPA
regulations
and
policies.
Burden
hour
estimates
for
the
various
programs
in
marine
CI
industry
are
larger
than
in
other
sectors
to
account
for
a
familiarization
with
the
new
regulations.
These
regulations,
however,
are
modeled
after
and
thus
very
similar
to
other
emission
certification
and
compliance
programs.

6(
d)(
2)
Average,
Banking
and
Trading
Participation
in
AB&
T
is
voluntary
for
all
sectors.
Twelve
on­
highway
heavy­
duty
and
nonroad
CI
manufacturers
are
currently
participating
in
AB&
T
with
a
total
of
105
families.
Only
five
marine
CI
manufacturers
have
expressed
interest
in
participating
3
94.2
defines
`
small­
volume
manufacturer'
as
a
"
manufacturer
with
annual
U.
S.­
directed
production
of
fewer
than
1,000
internal
combustion
engines
(
marine
and
nonmarine).
For
manufacturers
owned
by
a
parent
company,
the
limit
applies
to
the
production
of
the
parent
company
and
all
its
subsidiaries."

­
30­
in
AB&
T
so
far.
Again,
the
number
of
hours
allocated
for
each
task
is
higher
for
marine
CI
than
for
other
sectors
to
allow
manufacturers
to
become
familiar
with
the
new
regulations.

Reports
and
other
activities
in
this
program
are
carried
out
from
a
company
perspective
as
opposed
to
on
a
per­
engine
family
basis.
Therefore,
manufacturers
need
to
submit
only
one
report
quarterly
and
one
final
report
in
which
they
account
for
their
company's
activities
under
AB&
t.

6(
d)(
3)
Production­
line
Testing
Only
marine
CI
manufacturers
are
required
to
conduct
PLT.
Participation
is
mandatory.
Class
3
engine
families
and
small
volume
manufacturers3
are
exempt.
Since
there
are
three
small
volume
manufacturers
participating
in
the
marine
CI
certification
program,
only
nine
manufacturers
are
subject
to
marine
CI
PLT
requirements.
All
of
these
manufacturers
have
in­
house
testing
laboratories.

Currently,
there
are
no
PLT
requirements
for
nonroad
CI
engines.

6(
d)(
4)
Selective
Enforcement
Audits
EPA
plans
to
conduct
about
7
audits
per
year
in
the
sectors
included
in
this
collection
request.
Since
the
majority
of
respondents
own
testing
laboratories,
it
is
more
likely
that
the
majority
of
the
SEAs
will
entail
in­
house
testing.
However,
EPA
has
accounted
for
audits
to
two
manufacturers
who
contract
out
testing.

6(
e)
Bottom
Line
Burden
Hours
and
Cost
Tables
(
i)
Respondent
Tally
Table
15
Total
Estimated
Respondent
Burden
And
Cost
Summary
­
31­
Program
Number
of
Respon
Number
of
Activities
Total
Hours
Per
Year
Total
Labor
Cost
Per
Year
Total
Annual
Capital
Costs
Total
Annual
O&
M
Costs
Total
Costs
On­
highway
and
Nonroad
CI
Certification
55
12
95,934
$
5,724,222
0
$
5,259,976
$
10,984,198
Evap
Cert
5
9
1,442
$
70,708
0
$
25,544
$
96,252
AB&
T
12
5
4,188
$
264,933
0
$
1,320
$
266,253
Marine
CI
Certification
13
12
30,485
$
1,798,901
0
$
163,438
$
1,962,339
ABT
5
5
2,025
$
129,605
0
$
550
$
130,155
PLT
9
10
6,327
$
341,084
0
$
16,101
$
357,185
SEAs
­
All
sectors
10
9
3,203
$
163,866
0
$
17,955
$
181,821
Total
68
62
143,604
$
8,493,319
0
$
5,484,884
$
13,978,203
(
ii)
The
Agency
Tally
Table
16
Total
Estimated
Agency
Burden
And
Cost
Summary
Program
Number
of
Respon
Number
of
Activities
Total
Hours
Per
Year
Total
Labor
Cost
Per
Year
Total
Annual
Capital
Costs
Total
Annual
O&
M
Costs
Certification
68
11
65,340
$
3,687,585
0
$
38,158
$
3,725,743
AB&
T
17
6
322
$
20,177
0
$
158
$
20,335
PLT
9
10
605
$
39,103
0
$
298
$
39,401
SEAs
10
10
1,014
$
65,374
0
$
35,193
$
100,567
Total
68
37
67,281
$
3,812,239
0
$
73,807
$
3,886,046
6(
f)
Reasons
for
change
in
burden
­
32­
Current
ICR
Burden:
143,604
hours
Previous
ICR
Burden:
89,047
hours
Change:
54,557
hours
There
is
an
increase
of
54,557
hours
in
the
total
estimated
burden
for
ICR
1684.06
currently
identified
in
the
OMB
Inventory
of
Approved
ICR
Burdens.
This
increase
is
due
to
two
factors:
(
1)
we
have
done
a
better
job
at
accounting
for
the
time
manufacturers
spent
responding
to
these
collections,
and
(
2)
we
are
consolidating
three
ICRs
into
1684.06
(
1684.05,
0011.08
and
part
of
1897.05).
Therefore,
this
change
is
due
to
an
Adjustment.

Previous
ICR
1684.05
only
accounted
for
time
engineers
and
clerical
assistants
spent
responding
to
the
collection.
In
this
ICR,
we
have
accounted
for
time
spent
by
managers,
attorneys,
test
cell
operators,
assemblers
and
transporters
in
addition
to
engineers
and
clerical
assistants.

We
have
also
added
burden
from
two
other
ICRs:
(
1)
ICR
11.08
which
covered
SEAs
for
the
on­
highway
heavy­
duty
engines
and
nonroad
CI
engines,
among
other
sectors,
and
(
2)
ICR
1897.05
which
covered,
among
other
programs,
certification,
ABT,
PLT
and
SEA
requirements
for
marine
CI
engines.

6(
g)
Burden
Statement
On­
highway
heavy­
duty
engine
manufacturers,
nonroad
CI
engine
manufacturers
and
marine
CI
engine
manufacturers
spend,
in
average,
2,112
hours
in
emission
certification
and
compliance
activities.

These
estimates
include
time
to
review
applicable
regulations
and
guidance
documents,
generate
and
gather
the
necessary
information,
submit
applications
and
reports,
and
maintain
records.

Burden
means
the
total
time,
effort,
or
financial
resources
expended
by
persons
to
generate,
maintain,
retain,
or
disclose
or
provide
information
to,
or
for
a
federal
EPA.
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
­
33­
the
information.
An
EPA
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
Number
OAR­
2004­
0059,
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
B102,
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
through
EPA
Dockets
(
EDOCKET)
at
http://
www.
epa.
gov/
edocket.
Use
EDOCKET
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.
When
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
Officer
for
EPA.
Please
include
the
EPA
Docket
ID
Number
OAR­
2004­
0059
and
OMB
Control
Number
2060­
0287
in
any
correspondence.

Part
B
of
the
Supporting
Statement
This
part
is
not
applicable
because
no
statistical
methods
were
used
in
collecting
this
information.