Document ID: EPA-HQ-OAR-2003-0139-0001
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2003-07-01T04:00Z

Supporting
Statement
for
Information
Collection
Request
Exclusion
Determinations
for
New
Non­
road
Spark­
ignited
Engines
At
or
Below
19
Kilowatts,
New
Non­
road
Compression­
ignited
Engines,
New
Marine
Engines,
and
New
On­
road
Heavy
Duty
Engines
EPA
Number
1852.02
OMB
Control
Number
2060­
0395
40
CFR
85
Subpart
R
40
CFR
89
Subpart
A
40
CFR
90
Subpart
J
40
CFR
91
Subpart
K
May
2002
Certification
and
Compliance
Division
Office
of
Transportation
and
Air
Quality
Office
of
Air
and
Radiation
US
Environmental
Protection
Agency
­
2­
1.
Identification
of
the
Information
Collection
1
(
a)
Title
and
Number
of
the
Information
Collection
Exclusion
Determinations
for
New
Non­
road
Spark­
ignited
Engines
at
or
Below
19
Kilowatts,
New
Non­
road
Compression­
ignited
Engines,
New
Marine
Engines,
and
New
On­
road
Heavy
Duty
Engines;
EPA
Number
1852.02;
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
`
non­
road
engines',
as
defined
in
the
Act.
Motor
vehicles
and
non­
road
engines
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
routinely
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,
to
the
Engine
Programs
Group
(
EPG),
Certification
and
Compliance
Division,
Office
of
Transportation
and
Air
Quality.
EPG
uses
this
information
to
determine
whether
the
engine
or
vehicle
is
excluded
from
compliance
with
one
or
more
emission
regulations.
EPG
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
12
respondents
per
year
at
a
total
annual
cost
of
$
2,045.

On
March
8,
2002,
EPA
published
in
the
Federal
Register
(
FR)
a
request
for
public
comment
on
the
renewal
of
this
ICR
(
67
FR
10709).
In
that
notice,
EPA
stated
that
this
ICR
was
to
be
consolidated
with
ICR
Number
12.11,"
Motor
Vehicle
Exclusion
Determinations"
(
OMB
Control
Number
2060­
0294).
However,
this
consolidation
did
not
occur.
Instead,
ICR
12.11
was
consolidated
into
ICR
00783.42,
"
Motor
Vehicle
Emission
and
Fuel
Economy
Compliance;
Light
Duty
Vehicles,
Light
Duty
Trucks
and
Motorcycles"
(
OMB
Control
Number
2060­
0140).
The
consolidation
of
ICR
0012.11
into
0783.42
was
described
to
the
public
through
a
FR
notice
on
October
9,
2001
(
66
FR
51428).
­
3­
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
non­
road
engines
(
small
sparkignited
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
`
non­
road
engine'
as
an
"
internal
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
non­
road
engine,
and,
therefore,
is
excluded
from
the
non­
road
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.
­
4­
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
the
Engine
Programs
Group
(
EPG),
Certification
and
Compliance
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
An
announcement
of
the
public
comment
period
for
this
ICR
renewal
was
published
in
the
Federal
Register
on
March
8,
2002
(
67
Federal
Register
10709).
No
comments
were
received.
A
copy
of
the
FR
notice
is
attached.

3(
c)
Consultations
EPA
consulted
three
past
respondents
regarding
this
information
collection
burden.

Contact:
Mr.
Jean­
Luc
Berne
Company:
Plein
Air,
Inc.
Phone:
310.318.6222
Fax:
310.318.6552
Contact:
Mr.
James
Lester
Company:
Vantage
Vehicle
Group
Phone:
714.744.9830
x.
102
Fax:
714.744.1300
Contact:
Mr.
Larry
Keller
Company:
Polaris
Industries
Phone:
715.294.5329
Fax:
715.294.2518
This
ICR
has
been
amended
to
reflect
their
comments.
­
5­
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
codes:

333111
Farm
Machinery
and
Equipment
Manufacturing
333112
Lawn
and
Garden
Tractor
and
Home
Lawn
and
Garden
Equipment
Manufacturing
33312
Construction
Machinery
Manufacturing
333618
Other
Engine
Equipment
Manufacturing
333924
Industrial
Truck,
Tractor,
Trailer,
and
Stacker
Machinery
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:
­
6­
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.
Non­
road
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
Marine
Engines
(
40
CFR
89)

a.
Engine
type
91.1
b.
Intended
usage
91.1(
a)
c.
Method
of
usage
91.3
d.
Descriptive
information
of
the
engine*
91.3
e.
Description
of
its
technology
91.3
f.
Emission
levels
91.3
4.
Spark­
ignited
Small
Engines
(
40
CFR
90)

a.
Engine
type
90.1(
a)
b.
Gross
power
output
(
horsepower
rating)
90.1(
a)
c.
Intended
usage
90.1(
b)
d.
Method
of
usage
90.1(
b)
e.
Descriptive
information
of
the
engine*
90.1(
b)
f.
Descriptive
information
of
vehicle
being
powered*
90.1(
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.
­
7­
(
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
EPG
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.
EPG
also
stores
the
data.
In
the
event
that
a
third
party
requests
information
about
a
particular
exclusion
determination,
EPG
analyzes
the
data
for
possible
confidential
business
information
and
provides
appropriate
protection,
if
applicable.

5(
b)
Collection
Methodology
and
Management
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.
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.
­
8­
6.
Estimating
the
Burden
and
Cost
of
the
Collection
Refer
to
Table
A
for
further
details.

6(
a)
Estimating
Respondent
Burden
Burden
estimates
were
taken
from
the
previous
ICR
and
adjusted
to
reflect
comments
from
fewer
than
10
respondents
consulted
by
EPA.

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
the
Industrial
and
Machinery
Equipment
Industry
(
SIC
Major
Group
35).
The
hourly
rate
estimated
by
BLS
for
management
occupations
(
SOC
11­
0000)
is
$
32.78.
The
mean
hourly
rate
for
Secretaries,
Except
Legal,
Medical,
and
Executive
(
SOC
43­
6014)
is
$
11.98.

In
the
previous
ICR,
EPA
used
an
hourly
rate
provided
in
consultation
with
the
industry
of
$
38
per
hour
for
clerical
staff
instead
of
the
rates
provided
by
BLS.
At
the
time,
EPA
estimated
that
clerical
staff
at
major
engine
manufacturing
companies
were
involved
in
preparing
exclusion
determination
requests.
The
rate
calculated
by
BLS
($
15.15
per
hour
at
the
time)
is
an
average
for
all
manufacturing
industries
and
did
(
and
does)
not
reflect
the
actual
cost
for
the
engine
manufacturing
industry,
which
is
much
higher.

A
review
of
exclusion
determination
requests
received
in
the
last
three
years
revealed
that
respondents
are
mostly
equipment
manufacturers
and
importers.
These
are
usually
small
businesses
with
salary
rates
much
lower
than
those
of
engine
manufacturers
and,
therefore,
are
better
represented
by
the
BLS­
estimated
cost
rates.

Also,
one
past­
respondent
consulted
by
EPA
commented
that
managers,
not
clerical
staff,
are
involved
in
preparing
these
requests.

Table
A,
Annual
Respondent
Burden
and
Cost,
has
been
amended
to
reflect
these
findings.
­
9­
Table
A
Annual
Respondent
Burden
and
Cost
Hours
and
Cost
per
Respondent
Total
Hours
and
Cost
Information
Collection
Activity
Manager
$
32.78/
hr
Sec.
@
$
11.98/
hr
Respon
hr/
yr
Labor
Cost/
yr
Capital
Start
Up
Cost
O
&
M
Cost
1
Number
of
Respon
2
Total
hr/
yr
Total
Cost/
yr
Gather
Information
2.5
0.0
2.5
$
81.95
0
0
12
30
$
983.40
Take
and
develop
pictures
0.5
1.0
1.5
$
28.37
0
$
18.00
4
6
$
185.48
Report
information
0.5
1.0
1.5
$
28.37
0
$
2.00
12
18
$
364.44
Answer
additional
questions
from
EPA
1.5
0.0
1.5
$
49.17
0
$
2.00
10
15
$
511.70
Total
for
one
respondent
varies
varies
7.0
$
187.86
0
$
22.00
12
N/
A
N/
A
Total
cost
for
the
industry
3
N/
A
N/
A
N/
A
$
1,040
0
$
116
12
69
$
2,045
1
Includes
postage,
photocopying,
film
and
film
developing
expenses.

2
These
numbers
take
into
account
that
only
five
respondents
are
expected
to
take
and
develop
pictures;
the
remaining
seven
are
expected
to
submit
pictures
already
available
in
sales
brochures.

(
ii)
Estimating
Capital
and
Operations
and
Maintenance
(
O&
M)
Costs
Operation
and
Maintenance
costs
associated
with
this
information
collection
include
the
photocopying
of
brochures,
postage,
film
and
film
development
(
Table
A).
Although
only
four
pictures
are
needed,
one
from
each
side
of
the
engine
or
vehicle,
the
cost
of
a
roll
of
film
and
its
development
were
included
entirely.
These
pictures
are
needed
to
evaluate
some
vehicle's
or
equipment's
characteristics
that
could
lead
to
its
exclusion
from
the
corresponding
rule.
If
these
pictures
are
available
from
­
10­
sales
brochures,
then
the
respondent
does
not
have
to
incur
these
expenses.

(
iii)
Capital/
Start­
up
vs.
Operating
and
Maintenance
Costs
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
salary
for
professional
engineers
($
31.73/
hr).
The
hourly
rates
were
obtain
from
the
Office
of
Personal
Management.

Refer
to
Table
B
for
details.
­
11­
Table
B
Annual
Agency
Burden
and
Cost
Hours
and
Cost
per
Response
Total
Hours
and
Cost
Information
Collection
Activity
GS­
13
Eng.
$
31.73
/
hr
Hours
Per
Respon
Labor
Cost
Per
Respon
Capital
Start
Up
Cost
O&
M
Cost
1
Number
of
Respon
Total
hr/
yr
Total
Cost/
yr
Review
the
information
1.0
1.0
$
31.73
0
0
12
12
$
380.76
Review
the
rules
2.0
2.0
$
63.46
0
0
12
24
$
761.52
Request
additional
information
1.5
1.5
$
47.60
0
$
5.00
10
15
$
525.95
Answer
request
3.0
3.0
$
95.19
0
$
2.00
12
36
$
1,166.28
File
information
0.5
0.5
$
15.87
0
0
12
6
$
190.38
Total
per
response
8.0
8.0
$
253.84
0
$
7.00
N/
A
N/
A
N/
A
Total
for
EPA
N/
A
N/
A
$
2,951
0
$
74
12
93
$
3,025
1
Includes
phone
calls,
photocopying
expenses
and
postage.

6(
d)
Estimating
the
Respondent
Universe
and
Total
Burden
and
Costs
During
the
last
2
years,
EPA
has
received
about
12
exclusion
determination
requests
per
year.
This
increase
from
the
last
estimate
(
10
requests
per
year)
reflects
the
fact
that
a
new
category
of
nonroad
engines
(
compression­
ignited
engines
rated
below
37
KW)
became
regulated
for
the
first
time
between
1999
and
2000.
EPA
expects
to
receive,
on
average,
12
exclusion
requests
per
year
for
the
next
three
years.
After
that,
that
amount
should
decrease
again.
­
12­
6(
e)
Bottom
Line
Burden
Hours
and
Cost
Tables
(
i)
Respondent
Tally
Number
of
Respondents:
12
Number
of
Activities:
4
Total
Hours
Per
Year:
69
Total
Labor
Cost
Per
Year:
$
1,040
Total
Annual
Capital
Cost:
0
Total
Annual
O
&
M
Costs:
$
116
Total
Costs:
$
2,045
(
ii)
Agency
Tally
Number
of
Respondents:
12
Number
of
Activities:
5
Total
Hours
Per
Year:
93
Total
Labor
Cost
Per
Year:
$
2,951
Total
Annual
Capital
Cost:
0
Total
Annual
O
&
M
Costs:
$
74
Total
Costs:
$
3,025
6(
f)
Reasons
for
change
in
burden
Burden
estimates
have
increased
from
16.25
hours
in
the
­
13­
previous
ICR
to
69
hours
in
this
renewal
for
several
reasons.
First,
the
number
of
respondents
has
increased.
In
1999,
EPA
started
regulating
compression­
ignited
(
CI)
engines
rated
below
37
kW;
therefore,
these
engines
were
not
included
in
the
previous
ICR.
Entities
or
persons
requesting
exclusion
determinations
for
engines
in
this
category
account
for
most
of
the
responses
to
this
information
collection
during
the
past
two
years.

Second,
EPA
has
increased
its
burden
estimates
in
response
to
comments
from
past
respondents.
Although
previous
estimates
seemed
adequate
at
the
time,
the
characteristics
of
today's
respondents
have
changed.
Previously,
EPA
estimated
that
most
respondents
were
engine
manufacturers
with
certain
level
of
knowledge
about
emission
regulations.
However,
most
of
the
respondents
in
the
last
two
years
are
equipment
manufacturers
or
importers
who
are
not
as
familiar
with
EPA's
emission
regulations.
EPA
expects
that
trend
to
continue.

6(
g)
Burden
Statement
In
requesting
an
exclusion
determination,
respondents
are
estimated
to
spend,
in
average,
7
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.

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.

Send
comments
on
the
Agency's
need
for
this
information,
the
accuracy
of
the
provided
burden
estimates,
and
any
suggested
methods
for
minimizing
respondent
burden,
including
through
the
use
of
automated
collection
techniques
to
the
Director,
Collection
Strategies
Division,
U.
S.
Environmental
Protection
Agency
(
2822),
1200
Pennsylvania
Ave.,
NW,
Washington,
D.
C.
20460;
and
to
the
Office
of
Information
and
Regulatory
Affairs,
­
14­
Office
of
Management
and
Budget,
725
17th
Street,
NW,
Washington,
DC
20503,
Attention:
Desk
Officer
for
EPA.
Include
the
EPA
ICR
number
1852.02
and
OMB
control
number
2060­
0395
in
any
correspondence.