Document ID: EPA-HQ-OAR-2007-1138-0006
Agency: epa
Document Type: Supporting & Related Material
Title: 
Posted Date: 2011-06-29T04:00Z

Supporting Statement

	for

	Information Collection Request

	Reporting and Recordkeeping Requirements for

	Importation of Nonroad Engines and Recreational Vehicles

	EPA ICR 1723.06

	OMB Control Number: 2060-0320

	June 2011

	Compliance and Innovative Strategies Division

	Office of Transportation and Air Quality

	Office of Air and Radiation

	U.S. Environmental Protection Agency

1.    IDENTIFICATION OF THE INFORMATION COLLECTION

(a)  TITLE OF THE INFORMATION COLLECTION

Reporting and Recordkeeping Requirements for Importation of Nonroad
Engines and Recreational Vehicles (Renewal), OMB #2060-0320, ICR
#1723.05.

(b)  SHORT CHARACTERIZATION (ABSTRACT)

     The Clean Air Act requires that motor vehicles and motor vehicle
engines imported into the U.S. conform with applicable emission
requirements.  The Clean Air Act Amendments of 1990 extended these
requirements to nonroad engines. This Information Collection Request
(ICR) includes the importation of outboard spark ignition (SI) marine
engines; personal watercraft SI marine engines; non-propulsion
compression ignition (CI) engines used in marine applications; small
nonroad SI engines (less than 25 horsepower), used, for example, in some
lawn and garden equipment; and other nonroad CI engines such as
construction equipment and farm tractors. Finally, this ICR was
broadened to include the importation of other recently regulated
categories of engines that will, like the above, all be listed on the
same importation form, EPA Form 3520-21: locomotives and locomotive
engines; large (greater than 50 horsepower) marine CI engines; nonroad
recreational vehicles such as snowmobiles, all-terrain vehicles (ATVs),
and off-highway motorcycles; and large nonroad SI engines used in such
things as forklifts and compressors.  

      The Compliance and Innovative Strategies Division (CISD) in the
Office of Air and Radiation collects information and requires some
recordkeeping to help ensure that nonconforming engines are brought into
compliance with Federal emission requirements, unless eligible for
exemption or exclusion.  Also, the information is used by the U.S.
Customs Service (Customs), State regulatory agencies, businesses, and
individuals to determine whether engines are in compliance.

     Information collected includes identification of the importer, the
entry date, the manufacturer, engine model and serial number, and an
indication, by checking the appropriate boxes, of the regulatory
category of engine and of the relevant regulatory provision under which
it is being imported. The information is retained in document form.  The
information is used to monitor compliance of imports with the law and
regulations and to respond to inquiries from the public concerning the
compliance status of specific imported engines.

     a) EPA Form 3520-21.  This form is used by importers who are
applying for entry of nonroad engines.  Form 3520-21 has been routinely
used since ICR 1723.01 was approved in 1995.  As such, we don't find it
necessary to include the expiration date on the front page of the form.
The OMB control number, EPA form number, and Paperwork Reduction Act
statement are appropriately displayed on the form.

     b) EPA Form 3520-8.  This form is used by independent commercial
importers (ICIs) to request final admission (as opposed to initial
declaration, which is covered by EPA Form 3520-1 and OMB 2060-0095 for
on-road imports) of a nonconforming engine that has been brought into
compliance with Federal emission requirements. To date, nearly all such
ICIs have been light-duty vehicle importers under 40 CFR Part 85,
Subpart P. There have also been a few on-road motorcycle ICI imports.
The above-named uses of Form 3520-8 are also covered by OMB 2060-0095
(ICR 0010). Regulations for ICI imports of nonroad CI engines are also
set forth at 40 CFR Part 89, Subpart G and contemplate requests for
final admission of these engines.  However, because this program is not
yet active, only a placeholder burden is included here, so that this ICR
covers all nonroad imports.

          The information collection will involve an estimated 4,801
respondents at an estimated labor cost of $261,479 and a capital/startup
and O&M cost of $38,002. 

2.   NEED FOR AND USE OF THE COLLECTION

(a)  NEED/AUTHORITY FOR THE COLLECTION

     Joint EPA and Customs regulations at 40 CFR 90.601 et seq. and 19
CFR 12.74 promulgated under the authority under the Clean Air Act
(Sections 203, 208 and 213) give authority for the collection of
information.  The collection of this information helps ensure the
compliance of imported nonroad engines with Federal emissions
requirements, which helps meet the Agency goal of reducing air
pollution.  Without this information, EPA could not confirm that engines
being imported conform to the emission requirements of the Act, and,
consequently, would not be able to allow importation of these engines.

(b)  USE/USERS OF THE DATA

     The Compliance and Innovative Strategies Division receives the
information either directly from the importers or indirectly from the
importers through Customs.  The information is used by Agency
enforcement personnel to verify that all nonroad vehicles and engines
subject to Federal emission requirements have been declared upon entry
or that the category of exclusion or exemption from emissions
requirements has been identified in the declaration.  The information is
also used to identify and prosecute violators of the regulations and to
monitor the program in achieving the objectives of the regulations.

3. NONDUPLICATION, CONSULTATIONS, AND OTHER COLLECTION CRITERIA

(a)  NONDUPLICATION

     Because the information collected is specific to identifying the
appropriate regulated category and appropriate regulatory provisions for
imported nonroad engines under the Clean Air Act, the information is
highly specific to EPA and not likely amenable to combining with other
programs or agencies. Note that the form is currently already shared
between EPA and Customs. 

(b)  PUBLIC NOTICE



	EPA solicited public comment by means of a Federal Register Notice
published on ____,  , __ Federal Register ___; a copy can be found at
_____________ . The draft ICR was placed in the docket. 

(c)  CONSULTATIONS

     The following representatives and manufacturers of imported nonroad
engines were also consulted to further define the burden that will be
involved in handling Form 3520-21.

Mark Perk

General Motors, Electromotive Division

2021 Oxford St.

London, Ontario N5V2Z7

Canada

519-459-5953

Bruce Bradley and Edward Meyer

Nissan Forklift Corp., North America

240 North Prospect Street

Marengo, Illinois 60152

815-568-0061	and 815-568-4779

Ed Klim

International Snowmobile Manufacturers Association

1640 Haslett Rd., St. 170

Haslett, MI 48840

517-339-7788

(d)  EFFECTS OF LESS FREQUENT COLLECTION

     Since reporting is done only at the time of entry, less frequent
collection would seriously undermine the Agency's ability to determine
whether engines being imported meet applicable emission requirements. 
Consequently, the Agency would not be able to allow entry of engines
being imported.  Therefore, less frequent collection is not feasible. 
Note that one form per shipment may be used, provided attachments
including all the information required to describe each engine is
included.

(e)  GENERAL GUIDELINES

This ICR requires that in the event of nonroad CI ICI imports, the
importer notify EPA when requesting final admission for vehicles (Form
3520-8); this might occasionally result in reporting more often than
quarterly.  This requirement is necessary for EPA to inspect vehicles
prior to release from the ICI.  If EPA required quarterly reports,
either the ICI would have to hold engines and only release them on a
quarterly basis or EPA would likely not have the opportunity to inspect
engines imported by the ICI.

Additionally, EPA's regulations require that any such nonroad CI ICIs
retain records for eight years from the date of final admission (40 CFR
86.607(a)).  For comparison, the Clean Air Act requires that light duty
vehicles meet Federal emission standards throughout their useful lives,
which is defined by the Clean Air Act to be 10 years or 100,000 miles.
The imports regulations further specify that the useful life period
starts from the date that the vehicle is delivered to the owner by the
ICI.  Therefore, because of this requirement, compliance documentation
must ordinarily be maintained six years from the date of entry.

(f)  CONFIDENTIALITY

     Any information submitted to the Agency for which a claim of
confidentiality is made will be safeguarded according to policies set
forth in Title 40, Chapter 1, Part 2, Subpart B - Confidentiality of
Business Information (see 40 CFR 2.201 et seq.).  The public is not
permitted access to information containing personal or organizational
identifiers.  This collection complies with the Privacy Act of 1974 and
OMB Circular A-130.

(g) SENSITIVE QUESTIONS

     No sensitive questions are asked.

4.  THE RESPONDENTS AND THE INFORMATION REQUESTED

(a)  RESPONDENTS/NAICS CODES

     The Compliance and Innovative Strategies Division collects
information from individual importers and both small and large companies
who import, or import and manufacture nonroad engines and recreational
vehicles.  The NAICS codes for the respondents are as follows:

Non-road compression ignition engines

333618			Manufacturers of nonroad diesel engines

333111			Manufacturers of farm machinery and equipment

333112			Manufacturers of lawn and garden tractors (home)

333924			Manufacturers of industrial trucks

333120			Manufacturers of construction machinery

333131			Manufacturers of mining machinery and equipment

333132			Manufacturers of oil and gas field machinery and equipment

811112, 811198		Commercial importers of vehicles and vehicle components

33631				Manufacturers of motor vehicle gasoline engine and engine parts

336312			Manufacturers of gasoline engine and engine parts

33639				Manufacturers of other motor vehicle parts

Small nonroad spark-ignition engines

333618			Other engine equipment manufacturing

336312			Gasoline engine and engine parts manufacturing

336999			Other transportation equipment manufacturing

336911			Motorcycle, bicycle and parts manufacturing

Marine outboard and personal watercraft engines  

333618			Manufacturers of marine spark ignition engines

333112			Manufacturers of recreational marine vessels

336611			Ship building and repair

336612			Boat building

336999			Other marine outboard and personal watercraft manufacturing

441222			Motorcycle, boat, and other motor vehicle dealers



Locomotive engines

333618			Manufacturers of locomotives and locomotive engines

48211, 482111, 482112	Railroad owners and operators

488210			Engine repair and maintenance

Large marine compression ignition engines

333618			Manufacturers of marine diesel engines

33661, 346611		Ship and boat building; ship building and repair

811310			Engine repair and maintenance

483				Water transportation, freight and passenger

336612			Boat building (watercraft not built in shipyards and typically
of the type suitable or intended for personal use)

441222			Motorcycle, boat, and other motor vehicle dealers

Recreational vehicles, including snowmobiles, all-terrain vehicles, and
certain high-speed utility vehicles

336991			Motorcycle manufacturers

336999			Snowmobile and all-terrain vehicle manufacturers

441222			Motorcycle, boat, and other motor vehicle dealers

Large nonroad spark-ignition engines

333618			Manufacturers of new nonroad spark-ignition engines

333111			Manufacturers of farm equipment

333112			Manufacturers of construction equipment

333924			Manufacturers of industrial trucks

811310			Engine repair and maintenance

(b)  INFORMATION REQUESTED

(i)  Data Items    

      The data requested in reports include:

     - engine identification number

     - engine make

     - engine model

     - model year of the engine

     - port of entry

     - date of entry

     - entry number

     - importer name, address and telephone number

     - broker name, address and telephone number (optional)

     - owner name, address and telephone number (optional) 

     - identification of the type of vehicle or engine by regulatory
category

     - identification of the provision under which the vehicle or engine
is being imported

     - justification for an exclusion or exemption, if applicable

(ii) Respondent Activities

     To complete the collection, the respondent would:

      

      -read form instructions

      -collect data and complete forms

INFORMATION REQUIREMENTS FOR

IMPORTATION OF NONROAD CI ENGINES 

40 CFR PART 89 SUBPARTS G AND J

INFORMATION REQUIREMENTS						CITATION

I. ICI requirements

Reporting

- Certification application and					89.603(d) 

  production changes

- Notification of transfer to another ICI				89.604(c)(4)

- Notification of acceptance of responsibility				89.604(d)

- Application for final admission					89.605(a)

  (certified engine)

- Application for final admission					89.609(b)

  (modification/test engine)	

- Attestation regarding maintenance					89.610

  instructions, warranties and emission labeling

- Reply to notice of suspension or revocation				89.612(e)(3)(ii)   

- Request for hearing							89.612(e)(3)(iii)

Recordkeeping

- Vehicle disposition							89.607	

- Owners or ultimate purchasers					89.608(b)

- Maintenance instructions, warranties and				89.610

  emission labeling

  

II. Requirements applying to all importers

- Notification of conditional admission				89.604(a)

- Request for prior approval 						89.611

89.909

	INFORMATION REQUIREMENTS FOR

	IMPORTATION OF SMALL NONROAD SI ENGINES

40 CFR PART 90 SUBPARTS G AND J

INFORMATION REQUIREMENTS						CITATION

- Notification of conditional admission				90.604(c), 

90.611(a)

- Request for prior approval 						90.612

90.909

INFORMATION REQUIREMENTS FOR

IMPORTATION OF MARINE SI ENGINES

INCLUDING MARINE OUTBOARD AND PERSONAL WATERCRAFT ENGINES

40 CFR PART 91 SUBPARTS H AND K

INFORMATION REQUIREMENTS			     			CITATION

- Notification of conditional admission				91.703 (b)

- Request for prior approval						91.704

91.1009

INFORMATION REQUIREMENTS FOR

	IMPORTATION OF NON-PROPULSION CI ENGINES

USED IN MARINE APPLICATIONS 

	40 CFR PART 89 SUBPARTS G AND J

INFORMATION REQUIREMENTS						CITATION

- Notification of conditional admission				89.604(a)

- Request for prior approval 						89.611

89.909

INFORMATION REQUIREMENTS FOR 

IMPORTATION OF LOCOMOTIVES OR LOCOMOTIVE ENGINES

40 CFR PART 92, SUBPARTS I AND J

INFORMATION REQUIREMENTS						CITATION

( Notification of conditional admission				92.803

( Request for prior approval						92.804

92.909

INFORMATION REQUIREMENTS FOR

LARGE MARINE CI ENGINES

40 CFR PART 94, SUBPARTS I AND J 

INFORMATION REQUIREMENTS						CITATION

( Notification of conditional admission				94.803

( Request for prior approval						94.804

94.909

INFORMATION REQUIREMENTS FOR

IMPORTATION OF OTHER NONROAD ENGINES

40 CFR PART 1068 SUBPARTS C AND D

INFORMATION REQUIREMENTS			     			CITATION

( Notification of conditional admission			           1068.301

( Request for prior approval					           1068.301

5.  THE INFORMATION COLLECTED--AGENCY ACTIVITIES, COLLECTION
METHODOLOGY, AND INFORMATION MANAGEMENT

(a)  AGENCY ACTIVITIES

     The Compliance and Innovative Strategies Division receives the
information as required from Customs, individuals, and businesses. 
After receiving the information, EPA uses the information to determine
whether the engines and vehicles meet EPA requirements and retains the
information in order to respond to public, State government, and Federal
government inquires.

(b)  COLLECTION METHODOLOGY AND MANAGEMENT

     Both Customs and the Compliance and Innovative Strategies Division
use the information to determine if engines meet EPA requirements.  The
Compliance and Innovative Division retains information in document form
in order to respond to public, State government, and Federal government
inquires, which are handled by CISD staff. The documents are maintained
by an EPA contractor. 

(c)  SMALL ENTITY FLEXIBILITY

     Small entities are required to submit the forms covered by this ICR
when applicable. There is no exemption for small entities. EPA does
endeavor to provide small entities the maximum feasible flexibility in
submitting the data. 

(d) COLLECTION SCHEDULE

     The information is not subject to a collection schedule, but is
collected at the time of engine entry and, in the event of a non-road
ICI import, when the engine is ready for approval by EPA of final
admission.

6. ESTIMATING THE BURDEN AND COST OF THE COLLECTION

6(a) ESTIMATING RESPONDENT BURDEN

I. ICI Recording, Recordkeeping and Testing Burden for Nonroad CI
engines

A.  Reporting 

                            			Burden Est.   		Est. # of   		Est. of 

(hrs/instance)		instances/yr  		Burden (hrs) 

     Form 3520-8	       		0.81			1			0.81                     	

B.  Recordkeeping 

      Form 3520-8 & other required ICI records (see 4(b)   

         					0.5			1			0.5		 	

C.  Testing:				28.0			1			28.0	 

                                      

II. Reporting Burdens, Form 3520-21

Burden Est.  		Est. # of   		Est. of 

(hrs/form)		forms/yr  		Burden (hrs) 

All categories		        		0.50			12,000				6,000

           

TOTAL BURDEN = 	   	 6,029.31 hrs

6(b) ESTIMATING RESPONDENT COST

LABOR COSTS:

I. ICI Recording, Recordkeeping, and Testing for Nonroad CI engines	

                                              			

                                    	Estimated 	                       
Labor		      

                                    	Units		  		Costs	

A. Reporting	 		1 form            			$35.13

           			@$43.37 per hour

 

B. Recordkeeping 		1 engine	              	$10.12				   

 		@$20.24 per hour

    

C. Testing	 		1 engine	            	$1,214.36

       				@$43.37 per hour



II. Reporting Form 3520-21			

				Hours		          		Cost 

All categories			6,000				$260,220

				@43.37 per hour

Total Labor Cost						$261,479

CAPITAL/STARTUP & O&M

I. ICI Recording, Recordkeeping, and Testing for Nonroad CI engines

Brokerage cost covering testing and application-related

			1 engine at $14,000 per engine	$14,000

II. O&M Costs For Record Storage

			12,001 forms at $2 per form		$24,002

Total Capital/Startup and O&M Costs			$38,002

(i) Labor Costs

	Rates for engineering managers, mechanical engineers, and secretaries
(except legal, medical, and executive) are from the May 2006 BLS
National Occupational Employment and Wage Estimates
(http://www.bls.gov/oes/current/naics4_336100.htm, accessed June 1,
2011). With a 160% overhead multiplier, these are $60.53, $43.37, and
$20.24, respectively. Test labor costs are $43.37 per hour  

(ii) Capital/Start-up Costs 

Capital/start-up costs are predominantly incurred by ICIs during the
required certification process, which is covered by other ICRs.  ICIs in
the on-road program typically obtain the necessary testing and
certification work from a broker, who also provides testing services, or
who obtains from a testing facility the test results necessary for the
final importation form. The figure here is a placeholder for the
possibility of extension of this program to nonroad CI engines, and is
taken from the previous renewal of this ICR. 

(iii) Operations and Maintenance Costs 

 This cost is estimated as a component of overall broker activities to
import a vehicle or engine, and incorporates a $2 per form recordkeeping
cost for broker form retention.

6(c) ESTIMATING AGENCY BURDEN AND COST

The imports program is administered by EPA’s Compliance and Innovative
Strategies Division.  Forty percent of one Full Time Equivalent employee
(FTE), GS 12/3; twenty percent of one Senior Environmental Employment
(SEE) Program employee (about 400 hours); and a portion of the work
assignment under a government contract are allocated to imports
activities. Based on the 2011 Office of Personnel GS pay schedule for
Detroit, EPA estimates a yearly $79,780 for the FTE, then multiplies the
hourly rate by the standard government benefits multiplication factor of
1.6, for a cost of $51,060 plus $9,939 for the SEE, and $145,000 is
estimated for the contractor.  

The contractor estimate is based upon the work assignment rather than an
estimate of hours. An estimated total Agency cost of $205,999 per year
is allocated to imports activities. An estimated 70% of these activities
currently involve on-road imports (ICR 0010; OMB 2060-0104);
consequently $ 67,199 is the estimate for the agency cost for purposes
of this ICR. 

6(d) REASONS FOR CHANGE IN BURDEN

	As with the prior renewal, this ICR bases the burdens on an estimate of
the actual Form 3520-21s received by EPA. The estimated 12,000 Form 21s
received per year is considered accurate within 10%. 

	In addition, as with the prior renewal, a hypothetical burden of 1
engine is included as a placeholder for the burden associated with ICI
importation of nonroad CI engines remains the same.  

6(e) BURDEN STATEMENT

     The annual public reporting and recordkeeping burden for this
collection of information is estimated to average 30 minutes per
response.  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 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 Number
EPA-HQ-OAR-2007-1138, which is available for online viewing at  
HYPERLINK "http://www.regulations.gov"  www.regulations.gov , or in
person viewing at the Air and Radiation Docket in the EPA Docket Center
(EPA/DC), EPA West, Room 3334, 1301 Constitution Avenue, NW, Washington,
D.C.  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 is (202) 566-1742.  An
electronic version of the public docket is available at
www.regulations.gov.  This site can be used 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, D.C. 20503, Attention: Desk
Officer for EPA.  Please include the EPA Docket ID EPA-HQ-OAR-2007-1138
and OMB Control Number 2060-0320 in any correspondence.

 The SEE Program is an employment program for older workers authorized
by the Environmental Programs Assistance Act, passed by Congress in
1984, and provides employment opportunities to senior citizens aged 55
and over.

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