Supporting
Statement
for
Information
Collection
Request
Emissions
Certification
and
Compliance
Requirements
for
Nonroad
Spark­
ignition
Engines
(
Renewal)

42
USC
7521
§
206
42
USC
7521
§
213(
d)
40
CFR
Part
90
40
CFR
Part
1048
40
CFR
Part
1051
40
CFR
Part
1065
40
CFR
Part
1068
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
Spark­
ignition
Engines
(
Renewal);
EPA
ICR
Number
1695.08,
OMB
Control
Number
2060­
0338.

1(
b)
Short
Characterization
This
supporting
statement
consolidates
portions
of
three
previously
existing
ICRs
(
EPA
Numbers
1695.07,
1845.03
and
1897.05)
into
ICR
number
1695.08).
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
and
regulations
for
the
spark­
ignition
engine
industry.

While
ICR
1695.07
covered
certification
and
Averaging,
Banking
and
Trading
provisions
for
spark­
ignition
engines
rated
at
or
below
19
kilowatts,
ICR
1845.03
covered
compliance
requirements
(
Production­
line
Testing,
In­
use
testing
and
Selective
Enforcement
Audits)
for
the
same
sector.
ICR
1684.06
covered
certification
and
compliance
requirements
for
spark­
ignition
engines
rated
at
or
above
19
kilowatts
and
spark­
ignition
recreational
vehicles.
Many
of
the
respondents
to
those
ICRs
fall
into
one
or
more
of
these
categories.

Under
Title
II
of
the
Clean
Air
Act
(
42
U.
S.
C.
7521
et
seq.;
CAA
or
the
Act),
EPA
is
charged
with
issuing
certificates
of
conformity
for
engine
prototypes
that
comply
with
applicable
emission
standards.
Such
a
certificate
must
be
issued
before
engines
produced
after
these
prototypes
may
be
legally
introduced
into
commerce.
EPA
regulations
pertaining
to
spark­
ignition
engines
rated
at
or
below
19
kilowatts
(
small
SI
engines)
are
found
at
40
CFR
Part
90.
Regulations
pertaining
to
spark­
ignition
engines
rated
above
19
kilowatts
(`
large
SI
engines')
are
found
at
40
CFR
part
1048.
Throughout
these
documents,
these
two
categories
of
engines
(
small
and
large
SI
engines)
are
collectively
referred
to
as
`
SI
engines'
or
simply
as
`
engines'.
Recreational
vehicle
regulations
are
found
at
40
CFR
part
1051.
Parts
1065
and
1068
contain
testing
requirements
and
compliance
regulations
that
apply
to
all
categories
of
engines.
­
3­
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.
Compliance
with
emission
regulations
throughout
the
useful
life
of
an
engine
is
verified
through
the
In­
use
Testing
Programs
(
In­
use)
under
which
manufacturers
test
SI
engines
after
a
number
of
years
of
use.
Participation
in
the
PLT
program
is
mandatory,
however,
inuse
testing
is
voluntary
for
small
SI
engines
but
mandatory
for
large
SI
engines.
All
manufacturers
are
subjected
to
SEAs.

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.
Non­
confidential
portions
of
the
information
submitted
to
EPA
could
be
disclosed
in
a
public
database
and
over
the
Internet.
This
information
is
used
by
trade
associations,
environmental
groups,
and
the
public.
Respondents
usually
submit
this
information
in
an
electronic
format
and
EPG
stores
it
in
a
database.

It
has
been
estimated
that
a
total
of
106
SI
engine
and
recreational
vehicle
manufacturers
will
respond
to
this
collection
with
an
approximate
cost
of
$
606,801.

2.
Need
for
and
Use
of
the
Collection
2(
a)
Need/
Authority
for
the
Collection
­
4­
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,
engine
manufacturers
are
required
to
pay
a
fee
when
applying
for
a
certificate
of
conformity.

Therefore,
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
may
test
some
vehicles
and
engines
to
confirm
manufacturers'
certification
testing
results.
Certification
information
collection
requirements
are
found
at
40
CFR
90,
subpart
B,
40
CFR
1048
subpart
C
and
40
CFR
1051
subpart
C.
Other
subparts
in
these
parts
support
and
supplement
the
certification
program.

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.
(
40
CFR
90,
subpart
B
and
40
CFR
1051
subpart
H,
there
is
no
AB&
T
program
for
large
SI.)

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,
codified
at
40
CFR
90,
subpart
H,
40
CFR
1048
subpart
D
and
40
CFR
1051
subpart
D
)
and
the
Selective
Enforcement
Audit
Program
(
SEA,
codified
at
40
CFR
90,
subpart
F
and
40
CFR
1068
Subpart
E)
fulfill
these
requirements
by
inspecting
and
testing
engines
taken
directly
from
the
assembly
­
5­
line
and
by
auditing
the
engine
manufacturer's
testing
procedures
and
facilities.

Section
207(
b)
of
the
Acts
mandates
the
establishment
of
methods
and
testing
procedures
to
ascertain
whether
certified
engines
in
actual
use
in
fact
comply
with
applicable
emission
standards
throughout
their
useful
lives.
The
In­
use
Testing
Program's
(
In­
use)
procedures
for
SI
engines
are
codified
at
40
CFR
90,
Subparts
B
and
M
and
40
CFR
1048
subpart
E.
There
no
Inuse
testing
requirements
at
this
time
for
recreational
vehicles.

2(
b)
Practical
Utility/
Users
of
the
Data
EPA
uses
the
information
requested
to
support
various
enforcement
actions
as
mandated
by
the
CAA.
This
information
collection
enables
EPA
to
ensure
that
small
SI
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
nature,
the
information
collected
is
not
available
from
any
other
source.
Furthermore,
some
of
the
information,
such
as
projected
US
sales
volume,
is
claimed
as
confidential
business
information
(
CBI)
by
manufacturers;
therefore
EPA
can
only
obtain
it
if
manufacturers
submit
it.

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
Appendix
1.
Only
one
comment
was
received
and
was
directed
to
several
­
6­
ICRs,
not
only
to
this
one.

The
commenter
expressed
concerns
that
engine
emissions
affect
human
health
and
suggested
that
EPA
should
"
insist
on
zero
emissions"
for
all
nonroad
engines.

3(
c)
Consultations
EPA
consulted
less
than
ten
past
respondents
regarding
this
information
collection
burden.

Contact:
Mr.
Joe
Gulden
Company:
Echo,
Inc.
Phone:
847­
540­
8400
Contact:
Mr.
C.
J.
Smith
Company:
MDT
Southwest,
Inc.
Phone:
480­
961­
1002
Contact:
Mr.
Larry
D.
Smith
Jr.
Company:
Automotive
Testing
(
Laboratory)
Phone:
909­
390­
1100
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.

In­
use
testing
reports
must
be
submitted
annually,
within
­
7­
three
months
of
the
completion
of
the
required
testing.
Providing
this
information
to
EPA
at
a
less
frequent
interval
would
compromise
the
Agency's
ability
to
expeditiously
evaluate
the
emissions
results
and
determine,
in
a
timely
manner,
whether
inuse
small
SI
engines
conform
to
emission
standards.
Any
delay
in
making
such
a
determination
reduces
the
universe
of
engines
which
will
be
reached
by
a
potential
recall
because
both
engine
scrappage
and
owners'
unwillingness
to
participate
in
recalls
increase
with
the
age
of
the
engine.

SEA
information
is
only
collected
on
occasion,
when
EPA
has
reason
to
believe
that
an
audit
of
a
particular
manufacturer
is
in
order.

3(
e)
General
Guidelines
According
to
40
CFR
90.121(
a)(
2),
all
In­
use
related
records
must
be
maintained
for
eight
years,
except
for
routine
emission
test
data
such
as
those
reporting
the
condition
of
the
test
cells.
Such
data
need
to
be
kept
for
one
year
only
(
90.121(
b)).
However,
"
records
may
be
kept
in
any
format
and
on
any
media,
provided
that,
at
the
Administrator's
request,
organized,
written
records
in
English
are
promptly
supplied
by
the
manufacturer"
(
40
CFR
90.121(
c)).
This
requirement
stems
from
the
CAA
mandate
that
manufacturers
recall
engines
failing
to
meet
emission
standards
throughout
their
useful
lives.

When
audited,
manufacturers
must
submit
test
results
and
information
within
5
working
days
after
all
testing
ordered
under
a
SEA
notification
has
been
completed.
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.

Under
this
information
collection,
manufacturers
are
required
to
submit
confidential
business
information
such
as
sales
projections.
Furthermore,
certain
sensitive
technical
and
proprietary
information
submitted
during
the
certification
process
could
be
used
during
SEAs.
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.
­
8­
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.

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
of
nonroad
engines
within
the
following
North
American
Industry
Classification
System
(
NAICS)
code:

333618
Other
Engine
Equipment
Manufacturing
336312
Gasoline
Engine
and
Engine
Parts
Manufacturing
336999
Other
Transportation
Equipment
Manufacturing
336991
Motorcycle,
Bicycle
and
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.

(
i)
Data
Items
The
following
lists
are
meant
to
give
a
general
idea
of
the
kind
of
data
items
requested
under
each
program
and
not
a
comprehensive
list
of
data
items.
Regulations
may
call
for
­
9­
additional/
different
items
depending
on
the
characteristics
of
the
regulated
engine
or
vehicle.
Please
refer
to
the
regulations
(
as
cited
above)
for
a
comprehensive
list
of
items
per
engine/
vehicle
category.
Some
of
these
data
items
are
required
to
be
kept
in
records
and
submitted
only
upon
request.

A.
Certification:

Engine
families
need
to
be
certified
each
model
year.
A
`
model
year'
refers
to
the
manufacturer's
annual
new
model
production
period,
or
a
calendar
year
if
the
manufacturer
does
not
have
a
model
year.
Manufacturers
may
make
changes
to
one
or
more
engine
models
within
a
family
at
any
time
during
the
model
year.
These
changes
may
significantly
affect
the
engine
model's,
and
therefore,
the
engine
family's
emission
levels.
For
this
reason,
all
SI
engine
programs
run
on
a
model
year
basis.

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.

A
label
identifying
each
engine
and
stating
the
engine
family
name,
the
fuels
the
engine
is
certified
to
run
on,
the
engine
useful's
life
and
category
(
if
applicable),
must
be
affixed
to
each
engine.
Manufacturers
are
also
required
to
provide
warranties
to
consumers.

An
application
fee
must
be
paid
per
engine
family
per
model
year.
This
fee
is
requested
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
EPA
encourages
manufacturers
to
apply
electronically
and
has
developed
a
simple
electronic
application
format.
A
copy
of
the
application
templates
is
attached.
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.
These
forms
can
be
downloaded
from
EPA's
website
at
http://
www.
epa.
gov/
otaq/
certdat2.
htm.

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
°
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
­
11­
°
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
°
The
period
of
operation
necessary
to
accumulate
service
hours
on
test
engines
and
stabilize
emission
levels
°
Fee
Filing
Form
Manufacturers
must
keep
records
for
eight
years
except
routine
emission
records.
Manufacturers
must
keep
routine
emission
records
for
only
one
year.

General
records:

°
Identification
and
description
of
all
engines
for
which
testing
is
required
°
Description
of
emission
control
systems
­
12­
°
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.
Data
items
requested:

°
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
­
13­
°
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:

°
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.

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.

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

Information
Items
Required
Under
the
Average,
Banking
and
Trading
Program:
­
14­
°
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
applicable
production
volumes
for
the
model
year
°
Values
required
to
calculate
credits
°
Projected
number
of
credits
generated/
used
°
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:

°
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
­
15­
C.
Production­
Line
Testing
(
PLT)
Program
In
the
small
SI
engine
sector,
only
Phase
2
small
SI
engines
are
subject
to
PLT
requirements.
Phase
2
refers
to
a
second,
more
stringer
tier
of
emission
regulations
for
small
SI
engines.
The
different
provisions
in
these
and
other
small
SI
emission
control
programs
are
design
to
ease
manufacturers'
transition
from
Phase
1
to
Phase
2
standards.
Participation
in
PLT
is
optional
for
small
volume
engine
manufacturers
and
small
volume
engine
families
(
see
section
5(
c)
for
details).
Engine
families,
regardless
of
size,
for
which
the
manufacturer
opts
to
conduct
In­
use
testing
are
exempt
from
PLT
requirements.
All
manufacturers
and
engine
families,
however,
remain
subject
to
SEAs.

PLT
is
mandatory
for
all
large
SI
engines
and
recreational
vehicles.

Each
calendar
quarter,
participating
manufacturers
must
test
a
sample
of
SI
engines
taken
directly
from
the
assembly
line.
These
tests
must
be
performed
unless
EPA
approves
a
variation.

EPA
can
require
manufacturers
to
submit
or
retain
additional
information
not
specifically
listed
here.

Within
45
days
of
the
end
of
each
quarter,
manufacturers
must
report
the
following
information:

°
The
location
and
description
of
the
test
facilities
where
testing
was
conducted
°
Total
production
and
sample
size
for
each
engine
family
°
Applicable
standards
and/
or
FELs
°
A
description
of
the
process
used
to
obtain
engines
on
a
random
basis
°
A
description
of
the
test
engine
°
For
each
test
conducted:
­
16­
°
A
description
of
the
test
engine,
including
engine
family
and
configuration,
year,
make,
build
date,
engine
ID
number,
and
number
of
hours
of
service
accumulated
on
engine
prior
to
testing
°
Location(
s)
where
service
accumulation
was
conducted
and
description
of
accumulation
procedure
and
schedule
°
Test
number,
date,
test
procedure
used,
initial
test
results
before
and
after
rounding,
final
test
results
before
and
after
rounding,
and
final
deteriorated
test
results
for
all
tests,
etc.

°
A
complete
description
of
any
adjustment,
modification,
repair,
preparation,
maintenance,
and
testing
which
was
performed
on
the
test
engine,
etc.

°
A
Cum
Sum
Analysis
°
Any
other
information
the
Administrator
may
request
°
For
each
failed
engine,
a
description
of
the
remedy
and
test
results
for
all
retests
as
required
by
Sec.
90.711(
g)

°
The
date
of
the
end
of
the
engine
manufacturer's
model
year
production
for
each
engine
family
°
A
signed
statement
(
found
at
90.709(
e)(
9))
and
endorsement
by
an
authorized
representative
of
the
manufacturer
°
Upon
request,
manufacturers
must
also
submit:

°
Projected
production
for
each
configuration
within
each
engine
family
for
which
certification
has
been
requested
and/
or
approved
°
Number
of
engines,
by
configuration
and
assembly
plant,
scheduled
for
production
or
actually
produced
Records
must
be
kept
for
one
year
after
completion
of
all
testing:

°
A
description
of
all
testing
equipment
used
and
each
test
cell
that
can
be
used
to
perform
PLT,
in
accordance
with
90.704
­
17­
°
For
each
PLT
conducted:

°
The
date,
time,
and
location
of
each
test
or
audit
°
The
number
of
hours
of
service
accumulated
on
the
test
engine
when
the
test
began
and
ended
°
The
names
of
all
supervisory
personnel
involved
in
the
conduct
of
the
production
line
test
or
audit
°
A
record
and
description
of
any
adjustment,
repair,
preparation
or
modification
performed
on
test
engines,
giving
the
date,
associated
time,
justification,
name(
s)
of
the
authorizing
personnel,
and
names
of
all
supervisory
personnel
responsible
for
the
conduct
of
the
repair
°
If
applicable,
the
date
the
engine
was
shipped
from
the
assembly
plant,
associated
storage
facility
or
port
facility,
and
the
date
the
engine
was
received
at
the
testing
facility
°
A
complete
record
of
all
PLT
emission
tests
or
audits
performed
(
except
tests
performed
directly
by
EPA),
including
all
individual
worksheets
and/
or
other
documentation
relating
to
each
test,
or
exact
copies
°
A
brief
description
of
any
significant
events
during
testing
not
otherwise
described,
commencing
with
the
test
engine
selection
process
and
including
such
extraordinary
events
as
engine
damage
during
shipment.

When
an
engine
family
fails
PLT,
its
certificate
of
conformity
may
be
suspended,
effective
from
the
time
testing
was
completed.
Before
suspending
a
certificate,
EPA
will
work
with
the
affected
manufacturer
to
achieve
appropriate
production
line
changes
and
try
to
avoid
the
need
to
halt
engine
production.
Manufacturers
with
a
suspended
certificate
must
remedy
the
nonconformity
retest
or
re­
audit.
After
a
successful
test
is
completed,
the
manufacturer
must
submit
a
report
with
the
same
information
required
during
the
initial
test.

For
EPA
to
consider
reinstating
a
suspended
certificate
of
conformity,
the
manufacturer
must
submit
another
report
with
the
following
information:

A
description
of
the
reason
for
the
noncompliance,
­
18­
°
A
description
of
the
proposed
remedies,
including
a
description
of
any
proposed
quality
control
measures
to
be
taken
to
prevent
future
occurrences
of
the
problem,
and
the
date
when
the
remedies
will
be
implemented
°
A
demonstration,
through
testing,
that
the
failed
engine
family
does
in
fact
conform
°
Manufacturers
may
request
a
hearing
°
Manufacturers
may
request
conditional
reinstatement
of
a
revoked
certificate
while
conducting
further
testing
°
If
the
manufacturer
disagrees
with
the
reason
for
suspension
of
the
certificate,
the
manufacturer
may
request
a
public
hearing.
The
request
must
be
made
in
writing
within
15
days
of
the
revocation.

°
Four
copies
of
the
request
must
be
filed
containing
the
following
information:

°
A
statement
as
to
which
configuration(
s)
within
a
family
will
be
the
subject
of
the
hearing
°
A
concise
statement
of
the
issues
to
be
raised
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
B.
In­
use
Testing
Program
In­
use
Testing
requirements
are
different
for
small
SI
Phase
1
and
Phase
2
engines
and
large
SI
engines.
There
is
no
in­
use
testing
requirement
at
this
point
for
recreational
vehicles.
Phase
1
In­
use
requirements
can
be
found
at
section
90.113.
40
CFR
90
Section
H
contains
the
In­
use
testing
requirements
for
Phase
2
engines.

B(
1).
In­
use
Testing
for
small
SI
Phase
1
Engines
Each
model
year,
Phase
1
small
SI
engine
manufacturers
propose
a
list
of
engine
families
to
be
included
in
the
Phase
1
­
19­
In­
use
Testing
Program.
If
the
list
complies
with
requirements
at
section
90.113(
c),
EPA
may
approve
it
or
suggest
modifications.

In­
use
records,
including
data
generated
in
the
engine
procurement
process,
must
be
kept
for
eight
years
(
90.113(
d)(
2)(
ii),
90.113(
d)(
3)(
ii)
and
90.121(
a)(
2)).

By
January
30
of
every
year,
Phase
1
engine
manufacturers
may
submit
the
results
from
all
in­
use
tests
performed
during
the
previous
year.
The
report
may
include:

°
Engine
family
°
Model
°
Engine
serial
number
°
Date
of
manufacture
°
Estimated
hours
of
use
°
Results
of
all
emission
testing
°
Summary
of
all
maintenance
and/
or
adjustments
performed
°
Summary
of
all
modifications
and/
or
repairs
°
Determinations
of
compliance
or
noncompliance
B(
2).
In­
use
Testing
for
Phase
2
Engines
Participation
in
the
Phase
2
In­
use
Testing
Program
is
voluntary.
Manufacturers
may
make
an
election
to
participate
by
notifying
EPA
of
their
intent
to
conduct
in­
use
testing.
This
election
must
be
made
in
writing,
before
the
beginning
of
each
model
year,
and
must
include
a
list
of
engine
families
they
wish
to
in­
use
test.
40
CFR
90.1203(
b)
exempts
participating
engine
families
from
PLT
requirements
for
two
model
years.
Only
20%
of
a
manufacturer's
engine
families
in
any
given
model
year
may
be
included
in
the
In­
use
Testing
Program.

The
program
requires
that
manufacturers
randomly
select
or
procure
a
minimum
of
three
engines
from
each
participating
engine
family,
age
and
test
them
in
accordance
with
sections
90.1203
and
90.1204.
Manufacturers
must
complete
testing
within
three
years
of
notifying
EPA
of
their
intention
to
participate,
unless
­
20­
otherwise
approved
by
EPA
((
Section
90.1203(
f)).

Per
sections
90.1204(
e)
and
90.121(
a)(
2),
all
data
generated
under
this
program
must
be
kept
for
eight
years.

For
each
Phase
2
small
SI
engine
tested,
the
manufacturer
must
submit
the
following
information
within
90
days
of
completion
of
the
testing:

°
Engine
family
°
Models
°
Application
°
Engine
serial
numbers
°
Date
of
manufacture
°
Hours
of
use
°
Date
and
time
of
each
test
attempt
°
Results
(
if
any)
of
each
test
attempt
°
Schedules,
descriptions
and
justifications
of
all
maintenance
and/
or
adjustments
performed
°
Schedules,
descriptions
and
justifications
of
all
modifications
and/
or
repairs
°
A
list
of
engines
deleted
from
the
aging
process
and
a
technical
justification
B(
3).
In­
use
Testing
for
Large
SI
Engines
The
data
reporting
structure
for
large
SI
in­
use
testing
is
very
similar
to
that
of
small
SI
Phase
2
engines,
however
in­
use
testing
is
mandatory.
However,
manufacturers
need
to
test
at
least
two
engines
if
(
1)
the
manufacturer's
total
production
is
2,000
or
less
or
(
2)
if
the
engine
family
in
particular
has
a
production
volume
of
500
engines
or
less
(
1068.410(
c)(
1)).

C.
Selective
Enforcement
Auditing
(
SEAs)

All
engine
and
vehicle
manufacturers
are
subject
to
be
­
21­
audited
by
EPA.
EPA
collects
the
information
needed
for
SEAs
in
two
stages:
First,
a
limited
number
of
manufacturers
is
asked
to
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.

EPA
can
request
manufacturers
to
submit
additional
SEA
information
or
keep
records
not
specifically
listed
in
this
section.

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
information:

°
Testing
facilities'
location
and
description
°
The
applicable
standards
or
compliance
levels
against
which
the
engines
were
tested
°
A
description
of
the
engine
and
the
method
used
to
select
its
emission­
related
components
°
For
each
test
conducted:
­
22­
°
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.

°
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.

°
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
°
A
brief
description
of
any
significant
event
occurred
during
the
audit
°
A
description
of
the
equipment
in
each
test
cell
that
can
be
used
to
perform
SEA
testing
­
23­
(
ii)
Respondent
Activities
The
activities
manufacturers
need
to
perform
to
comply
with
the
requirements
of
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)
°
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)
Production
Line
Testing
°
Gather/
maintain
production
data
(
customary
business
­
24­
practice)
°
Read
instructions
and
regulations
°
Train
personnel
°
Project
testing
needs
and
plan
schedules
°
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
(
ii)
(
d)
In­
use
Testing
°
Read
instructions
and
regulations
°
Train
personnel
°
Plan
activities
°
Procure
engines
°
Ship
engines
°
Maintain
engines
°
Contract
an
independent
facility
to
test
engines
(
if
needed)
°
Test
engines
°
Enter
data
and
analyze
it
°
Prepare
and
submit
reports
°
Keep
records
(
ii)
(
e)
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
5.
The
Information
Collected­­
Agency
Activities,
Collection
Methodology,
and
Information
Management
­
25­
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
The
following
are
EPA's
activities
associated
with
the
implementation
of
the
PLT
and
SEA
Programs:

°
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
­
26­
°
Keep
records
of
the
information
submitted
by
manufacturers
and
EPA's
actions
and
determinations
EPA
activities
associated
with
the
implementation
of
the
Inuse
Testing
Programs
are
similar:

°
Review
and
interpret
regulations
°
Answer
manufacturers
questions
°
Evaluate
testing
programs
submitted
by
manufacturers
and
ensure
that
the
programs
comply
with
applicable
requirements
°
Enter
data
from
reports
into
the
database
°
Review
submissions
for
format
and
completeness
°
Analyze
information
submitted
°
Keep
records
°
Request
and
review
additional
information,
as
needed
°
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
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
5(
b)
Collection
Methodology
and
Management
EPA
currently
makes
extensive
use
of
electronic
media
in
gathering
and
evaluating
information
from
SI
engine
manufacturers.
Manufacturers
submit
certification,
AB&
T,
PLT
and
In­
use
data
in
electronic
formats.
SEA
reports
can
be
submitted
electronically;
however,
it
is
up
to
the
manufacturer
to
decide
how
to
submit
it.

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.

In
the
future,
the
public
will
be
able
to
access
non­
­
27­
confidential
portions
of
the
testing
reports
by
contacting
EPG
or
through
the
Engine
Certification
Information
Center
at
http://
www.
epa.
gov/
otaq/
certdata.
htm.

5(
c)
Small
Entity
Flexibility
Participation
in
the
Phase
2
PLT
program
is
optional
for
`
small
volume
engine
manufacturers'
and
`
small
volume
engine
families'.
A
`
small
volume
engine
manufacturer'
is,
as
defined
at
section
90.3,
"
for
non­
handheld
engines,
any
engine
manufacturer
whose
total
eligible
production
of
non­
handheld
engines
[
is]
projected
at
the
time
of
certification
of
a
given
model
year
to
be
no
more
than
10,000
non­
handheld
engines."
For
handheld
engines,
the
term
`
small
volume
engine
manufacturer'
means
"
any
engine
manufacturer
whose
total
eligible
production
of
handheld
engines
[
is]
projected
at
the
time
of
certification
to
be
no
more
than
25,000
handheld
engines."
`
Small
volume
engine
family'
is
any
family,
non­
handheld
or
handheld,
with
an
eligible
production
in
any
given
model
year
of
no
more
than
5,000
engines.

Under
the
Phase
I
In­
use
Testing
Program,
EPA
has
provided
flexibility
to
engine
manufacturers
with
even
larger
production
volumes.
Manufacturers
whose
total
US
projected
annual
production
for
any
given
model
year
is
75,000
engines
or
less
may
test
a
minimum
of
two
engines.
This
provision,
found
at
90.113(
b)(
2),
reduces
the
cost
of
the
program
for
manufacturers
with
limited
production.
Manufacturers
with
larger
production
volumes
calculate
the
minimum
amount
of
engines
they
need
to
test
by
following
criteria
found
at
Section
90.113(
b)(
1).

Further
reductions
in
burden
are
achieved
by
allowing
engine
manufacturers
with
annual
sales
of
less
than
50,000
engines
to
obtain,
with
EPA
approval,
in­
use
engines
from
sources
associated
with
itself
or
its
equipment
manufacturers.
Other
engine
manufactures
must
procure
engines
form
sources
outside
of
their
and
their
equipment
manufacturers'
control.

There
are
also
reductions
in
testing
burden
for
small
volume
engine
families
and
manufacturers
under
the
large
SI
rule.
Please
refer
to
section
6(
d)(
4)
for
more
details.

Part
1068
also
provide
flexibilities
for
engine
and
equipment
manufacturers
who
find
themselves
in
a
difficult
situation
at
the
start
of
a
new
set
of
regulations.
Section
1068.245,
1068.250
and
1068.255
provide
additional
time
for
manufacturers
to
comply
with
regulations
if
they
meet
a
number
of
criteria.

Under
the
other
programs
included
in
this
ICR,
the
­
28­
information
being
requested
is
considered
to
be
the
minimum
needed
to
effectively
maintain
the
programs'
integrity
and
comply
with
the
requirements
of
the
Clean
Air
Act.
Further
measures
to
simplify
reporting
requirements
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
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.
SEA
reports
are
submitted
on
occasion,
after
EPA
has
concluded
an
audit.

Under
the
In­
use
testing
program,
Phase
1
engine
manufacturers
must
submit,
by
January
30
of
each
calendar
year,
all
emission
test
results
generated
from
in­
use
testing.
Phase
2
manufacturers
need
to
submit
their
reports
within
90
days
of
having
completed
all
in­
use
testing
for
a
given
engine
family.
They
have,
however,
up
to
three
years
to
complete
such
testing.

Section
3(
d)
elaborates
on
the
reasons
for
this
collection
schedule.

6.
Estimating
the
Burden
and
Cost
of
the
Collection
Please
refer
to
Tables
1
through
9
for
details.

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

6(
b)
Estimating
Respondent
Costs
­
29­
(
i)
Estimating
Labor
Costs
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
110%
to
account
for
benefits
and
overhead.
The
specific
rates
used
are
listed
below.
These
are
mean
hourly
rates.

Table
10
Labor
Costs
Estimates
Occupation
SOC
Code
Number
Mean
Hourly
Rate
(
BLS)
210%

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
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,
and
testing
costs.
Diskettes
are
used
by
manufacturers
to
submit
their
electronic
applications
and
to
keep
records.

Capital
costs
(
associated
with
building
emission
testing
facilities)
were
incurred
by
manufacturers
when
the
small
SI
­
30­
industry
became
regulated
for
the
first
time.
In
the
large
SI
sector
and
the
recreational
vehicles
sector,
those
respondents
that
control
the
vast
majority
of
the
market
are
companies
which
manufacture
engines
regulated
under
other
programs
(
such
as
the
small
SI
or
marine
SI
regulations)
and
have
already
invested
in
developing
their
own
test
cells.
Section
6(
d)(
1)
provides
more
details.
The
small
production
volume
of
the
other
respondents
makes
it
more
economical
for
them
to
(
and
do)
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.

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)
include
the
cost
of
test
fuels,
calibration
gases
and
equipment.

EPA
has
also
accounted
for
the
cost
incurred
by
those
manufacturers
who
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,
$
2,750.
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.

Engine
manufacturers
are
required
to
pay
a
fee
of
$
826
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).

The
new
fees
rule
provides
for
a
reduction
in
fee
when
"
the
full
fee
exceeds
1.0
percent
of
the
projected
aggregate
retail
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
Operations
and
Maintenance
Costs
There
are
no
capital
or
start
up
costs
associated
with
the
renewal
of
this
ICR.
(
See
6(
b)(
ii)
for
details.)
­
31­
(
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
11
through
15
explain
EPA's
overall
burden
associated
with
this
information
collection.

Table
16
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
16
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
$
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
Based
on
the
number
of
emission
certification
applications
received
for
model
year
2004,
there
are
64
small
SI
engine
manufacturers
in
the
US
market
today.
Combined,
they
submitted
­
32­
644
applications,
483
of
which
were
carry­
overs.

Large
SI
engines
became
regulated
this
year
for
the
first
time.
Nine
manufacturers
submitted
22
applications.
Even
though,
these
nine
manufacturers
represent
almost
99%
of
the
market,
EPA
based
its
burden
estimates
on
ten
manufacturers
and
a
total
of
30
engine
families
as
manufacturers
may
decide
to
add
families
later
on.
EPA
conservatively
estimated
that
a
third
of
those
families
will
become
carry­
overs.

During
the
recreational
vehicle
rulemaking,
EPA
assessments
indicated
that
there
are
eight
manufacturers
that
control
the
majority
of
the
recreational
vehicle
market:
99%
of
the
snowmobile
market,
98%
of
the
All­
terrain
Vehicle
market
and
85%
of
the
offroad
motorcycle
market.
Twenty­
three
other
manufacturers
compose
the
rest
of
the
market.
For
the
purpose
of
this
exercise,
EPA
has
assumed
that
all
32
manufacturers
will
seek
certification
for
its
products
and
that
their
production
will
be
divided
into
150
engine
families.
We
distributed
those
150
families
in
a
fashion
similar
to
the
way
the
market
is
proportioned:
a
conservative
majority
of
the
engine
families
(
120
or
80%)
was
assigned
to
the
eight
large
manufacturers
and
30
families
(
20%)
to
the
remainder
23
manufacturers.

EPA
also
estimated
that
a
third
of
these
engine
families
will
become
carry­
overs
after
the
first
year
of
certification
and
beyond.
Recreational
Vehicles
do
not
become
regulated
until
2006,
although
we
have
started
receiving
some
snowmobile
applications
in
2004.

To
estimate
the
financial
burden
of
engine
testing
several
factors
were
taken
into
account:
(
1)
whether
a
manufacturer
is
capable
of
performing
emission
testing
in­
house
(
has
its
own
equipment)
or
contracts
an
independent
facility,
and
(
2)
the
number
of
tests
needed
to
demonstrate
compliance.
The
number
of
tests
depends
on
the
requirements
of
each
program,
the
manufacturer's
projected
US
production
per
engine
family,
and
total
number
of
engine
families.

Testing
equipment
is
used
for
a
variety
of
purposes
other
than
to
respond
to
this
information
collection,
such
as
Research
and
Development,
and
foreign
certification­
related
testing.
The
total
cost
of
maintaining
these
laboratories
have
been
estimated
at
$
62,000
per
year.
This
estimate
includes
the
cost
of
test
fuels,
calibration
gases
and
equipment.
The
full
amount
was
included
in
certification
estimates.

Of
the
64
small
SI
engine
manufacturers,
24
own
testing
laboratories.
They
account
for
the
bulk
of
new
applications
for
certification
(
non­"
carry­
overs"):
115
our
of
161.
The
remaining
­
33­
46
new
applications
were
submitted
by
27
different
manufacturers.
To
the
small
SI
numbers,
EPA
added
large
SI
data:
all
ten
manufacturers
own
laboratories.
Eight
of
the
32
recreational
vehicle
manufacturers
have
their
own
testing
facilities.

6(
d)(
2)
Average,
Banking
and
Trading
Participation
in
the
AB&
T
Program
is
voluntary
for
small
SI
and
recreational
vehicle
manufacturers.
EPA
estimated
that
21
small
SI
manufacturers
and
10
recreational
vehicle
manufacturers
will
participate
during
the
next
three
years.
There
is
no
AB&
T
program
for
large
SI,
except
for
an
early
certification
provision
for
snowmobiles.

6(
d)(
3)
Production­
line
Testing
The
number
of
tests
manufacturers
need
to
perform
under
the
PLT
program
depends
on
several
factors.
However,
per
90.706(
b)(
8);
1048.310(
g)(
1)
and
1051.310(
g)(
1),
the
sample
size
need
not
exceed
the
lesser
of
(
1)
30
engines
per
engine
family,
or
(
2)
one
percent
of
the
projected
annual
US
production
for
that
engine
family.
The
frequency
of
testing
expressed
in
each
burden
table
reflects
those
limits.

Table
4
account
for
small
SI
and
Large
SI
PLT
programs.
Twenty­
seven
engine
manufacturers
participate
in
the
small
SI
PLT
program
(
Phase
2
only).
Twenty­
six
of
them
own
testing
facilities.
Together,
they
account
for
329
engine
families
(
13
engine
families
per
manufacturer)
and
perform,
in
average,
about
171
tests
per
engine
family
to
comply
with
PLT
requirements.
Only
one
manufacturer
hires
an
independent
laboratory
for
PLT
testing
and
performs
about
30
tests
per
model
year
(
one
engine
family).
EPA
has
estimated
the
cost
of
these
tests
to
be
$
2,750
per
test
(
30
*
$
2750
=
$
82,500).
Participation
in
PLT
is
mandatory
for
Phase
2
engines
(
not
applicable
to
Phase
1),
but
it
is
voluntary
for
small
volume
engine
families
and
small
volume
engine
manufacturers.

To
this
estimates,
EPA
added
10
large
SI
manufacturers
who
should
perform
at
least
197
tests
in
total.
As
explained
above,
they
all
own
laboratories.
PLT
is
mandatory
for
large
SI
manufacturers.

Table
5
includes
PLT
estimates
for
all
recreational
vehicles.
Based
on
observations
from
other
programs,
EPA
estimated
that
the
23
smaller
manufacturers
will
contract
out
their
testing
needs
and
will
test
an
average
of
three
engines
per
engine
family
(
for
a
total
of
90
tests).
­
34­
6(
d)(
4)
In­
use
Testing
In­
use
Program's
requirements
are
different
for
different
types
of
engines.
In
the
small
SI
sector,
there
are
different
requirements
for
Phase
1
and
Phase
2
engines.
Participation
in
the
program
is
voluntary
for
both.
For
Phase
1,
manufacturers
whose
total
projected
US
production
volume
does
not
exceed
75,000
engines
need
to
test
a
minimum
of
2
engines
per
model
year
(
90.113(
b)(
2)).
Those
whose
total
projected
US
production
exceeds
75,000
engines,
follow
the
instruction
at
90.113(
b)(
1)
to
determine
the
minimum
number
of
engines
they
need
to
test.
Based
on
model
year
2003
data,
EPA
has
calculated
that
a
total
of
26
manufacturers
with
US
production
of
less
than
75,000
engines
participate
in
the
In­
use
program.
Nine
of
them
contract
out
testing
services.
Also,
EPA
estimates
that
only
six
manufacturers
have
projected
US
production
in
excess
of
75,000
engines.
They
need
to
perform,
in
average,
16
tests
per
model
year
to
comply.

Phase
2
manufacturers
only
need
to
test
a
minimum
of
three
engines
per
engine
family
and
can
include
up
to
20%
of
their
engine
families
in
the
program.
EPA
estimates
that
two
engine
manufacturers
will
participate
with
three
engine
families
each.

Large
SI
manufacturers
are
required
to
conduct
in­
use
testing.
They
need
to
test
at
least
two
engines
if
(
1)
the
manufacturer's
total
production
is
2,000
or
less
or
(
2)
if
the
engine
family
in
particular
has
a
production
volume
of
500
engines
or
less
(
1068.410(
c)(
1)).
According
to
the
data
submitted
by
large
SI
engine
manufacturers
this
year,
EPA
projects
they
will
need
to
perform
a
total
of
at
least
64
tests.

In­
use
testing
requirements
for
recreational
vehicles
have
not
been
finalized
yet.

6(
d)(
4)
Selective
Enforcement
Audits
Regarding
SEAs,
EPA
has
not
conducted
small
SI
audits
in
recent
years.
However,
EPA
is
now
planning
to
conduct
approximately
12
SEAs
(
including
all
three
types
of
sectors
in
this
ICR:
small
and
large
SI
and
recreational
vehicles)
within
the
next
three
years.

6(
e)
Bottom
Line
Burden
Hours
and
Cost
Tables
(
i)
Respondent
Tally
­
35­
Table
17
Total
Estimated
Respondent
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
Total
Costs
Cert
(
small
and
large
SI)
74
11
60,129
$
3,507,934
0
$
969,129
$
4,477,063
Cert
(
Rec
Vehicles)
32
10
23,230
$
1,380,753
0
$
190,512
$
1,571,265
ABT
31
5
10,819
$
684,409
0
$
3,410
$
687,819
PLT
(
small
and
large
SI)
37
11
18,446
$
1,017,779
0
$
121,788
$
1,139,567
PLT
(
Rec
Vehicles)
32
12
9,409
$
547,478
0
$
260,583
$
808,061
In­
use
Testing
Phase1
32
11
10,591
$
537,491
0
$
69,310
$
606,801
In­
use
Testing
Phase2
2
10
1,436
$
70,008
0
$
2,804
$
72,812
In­
use
Testing
(
Large
SI)
10
10
11,182
$
487,936
0
$
18,180
$
506,116
SEAs
7
8
892
$
49,409
0
$
6,760
$
56,169
Total
106
88
146,134
$
8,283,197
0
$
1,642,476
$
9,925,673
(
ii)
The
Agency
Tally
Table
18
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
Total
Costs
­
36­
Cert
106
11
77,189
$
4,085,012
0
$
68,065
$
4,153,077
AB&
T
31
6
326
$
20,427
0
$
284
$
20,711
PLT
69
10
2,107
$
138,232
0
$
2,006
$
140,238
In­
use
Testing
51
9
1,079
$
70,870
0
$
867
$
71,737
SEAs
7
10
630
$
40,721
0
$
20,133
$
60,854
Total
59
46
81,331
$
4,355,262
0
$
91,355
$
4,446,617
6(
f)
Reasons
for
change
in
burden
Current
ICR
Burden:
146,134
hours
Previous
ICR
Burden:
47,736
hours
Change:
98,398
hours
There
is
an
increase
of
98,398
hours
in
the
total
estimated
burden
for
ICR
1695.08
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
1695.08
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
1845
which
covered
PLT,
In­
use
testing
and
SEAs
for
small
SI
engines,
and
(
2)
parts
of
ICR
1897.05
which
covered,
among
other
programs,
certification,
ABT,
PLT
and
SEA
requirements
for
Large
SI
engines
and
Recreational
Vehicles.

6(
g)
Burden
Statement
The
annual
public
reporting
and
recordkeeping
burden
for
this
collection
is
estimated
to
average
1,379
hours
per
respondent
for
certification
and
compliance
activities.
Burden
means
the
total
­
37­
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
No.
OAR­
2004­
0060,
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
Ave.,
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
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.
Once
in
the
system,
select
"
search,"
then
key
in
the
docket
ID
number
identified
above.
Also,
you
can
send
comments
to
the
Office
of
Information
and
Regulatory
Affairs,
Office
of
Management
and
Budget,
725
17th
Street,
NW,
Washington,
DC
20503,
Attention:
Desk
Office
for
EPA.
Please
include
the
EPA
Docket
ID
No.
OAR­
2004­
0060
and
OMB
control
number
(
2060­
0338)
in
any
correspondence.

Part
B
of
the
Supporting
Statement
This
part
is
not
applicable.
