Supporting Statement for
Information Collection Request
Title: Waiver from Tier 4 Emission Standards for Marine Diesel Engines (Renewal)
EPA ICR No.: 2602.03
OMB Control No.: 2060-0726
Docket ID No.: EPA-HQ-OAR-2018-0638
Abstract: EPA adopted the Tier 4 marine diesel engine standards in June 2008, under the authority of the Clean Air Act (73 FR 37096). The Tier 4 standards were phased in, with an effective date beginning in 2016 through 2018 for most engines. In August 2020, EPA amended those regulations in response to industry concerns about the availability of suitable Tier 4 certified engines for installation in certain kinds of high-speed vessels. The amendments provided focused relief for qualifying engines and vessels in two phases, depending on engine and vessel size. Builders of qualifying vessels were required to submit to EPA information describing their need for regulatory relief and demonstrating that their vessels met the size and power conditions.
Phase One was available through 2021 and was limited to propulsion engines with maximum power output up to 1,400 kW and power density of at least 27.0 kW per liter displacement. Additionally, the relief is limited to vessels up to 65 feet waterline length with total nameplate propulsion power at or below 2,800 kW. This includes vessels such as lobster fishing boats, pilot boats, and some research boats.
Phase Two is available through 2023 and is limited to vessels with a single propulsion engine with maximum power output up to 1,000 kW and power density of at least 35.0 kW per liter displacement, where the vessel is made with a nonmetal hull and has a maximum length of 50 feet. These vessels are expected to be primarily lobster or other fishing boats. EPA also adopted a waiver provision that can be applied for, if necessary, beginning in 2024, if suitable engines continue to be unavailable; this waiver requires the vessel builder to submit an application which would be reviewed by EPA before issuing the waiver.
This information collection request renewal covers the reporting burden associated with applying for the waiver for vessels meeting the criteria for Phase 2 relief.
EPA's emission programs are statutorily mandated; the Agency does not have discretion to cease these functions. The data required are necessary to comply with Title II of the Clean Air Act (42 U.S.C. 7521 et seq.; “CAA” or “the Act”), as amended. The Act charges EPA with developing standards for dangerous air pollutants, and issuing certificates of conformity for those engines and motor vehicle designs that comply with those standards. Such a certificate must be issued before engines and vehicles may be legally introduced into commerce. Section 206(a) of the CAA (42 USC 7521) states:
"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."
Section 206(b)(1) of the Act authorizes EPA to inspect and require testing of new vehicles and engines to: (1) verify that the manufacturer's final product 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 (PLT) and Selective Enforcement Audits (SEA) Programs fulfill these requirements by inspecting and testing engines taken directly from the assembly line and/or existing fleets, and by auditing the engine manufacturer's testing procedures and facilities. Section 207(b) of the CAA mandates the establishment of methods and testing procedures to ascertain whether certified engines in use actually comply with applicable emission standards throughout their useful lives. The In-Use Testing and similar programs are implemented in response to that mandate.
EPA also sets standards to require the installation of certified engines on mobile source equipment, including marine vessels, entered into commerce in the United States.
As part of its statutory authority, EPA may adopt, through rulemaking, compliance flexibility provisions to address production or other conditions that may make it difficult for manufacturers to comply with the emission control program. These flexibilities include postponing effective dates or creating waiver provisions for qualifying engines or vehicles, including engines installed on marine vessels, in those cases where compliant engines are not commercially available. EPA may set the conditions necessary to obtain compliance waivers, as the waiver will apply for the service life of the affected equipment.
EPA will use the information requested under this collection to determine if a boat builder qualifies for a regulatory waiver from the marine diesel Tier 4 standards, allowing that manufacturer to install Tier 3 engines on a qualifying vessel.
The information described in this ICR will be collected by EPA’s Compliance Division (CD) within the Office of Transportation and Air Quality (OTAQ), Office of Air and Radiation (OAR). It will be used by CD to evaluate whether companies qualify for using engines meeting less stringent standards.
Non-confidential portions of the information submitted to CD are available to trade associations, importers, environmental groups, members of the public, and state and local government organizations.
The information is collected electronically and stored in CD's databases.
The information is collected electronically and stored in CD's databases. The data required would be sent to the manufacturer’s designated compliance officer, at [email protected].
already available cannot be used or modified for use for the purposes described in Item 2
above.
Duplication: This collection request covers only the information required to evaluate an application for relief from the Tier 4 standards. This information is case-specific and would not otherwise be required to be reported to EPA.
Availability of similar information: In general, the information necessary for evaluation of the waiver application is specific to the vessel models that would be covered by the waiver. The information to be collected is not available from any other sources, both because of its specialized nature and because it must be submitted to EPA before a qualifying vessel can be sold. Furthermore, some of the data requested, such as projected sales volumes or certain design features, may be proprietary, and thus eligible for treatment as confidential business information (CBI). Therefore, EPA can timely obtain the information only from the owners of that data: the vessel manufacturer.
Many of the boat manufacturers that would seek a waiver are expected to be small businesses.
The information being requested is the minimum needed to effectively review and evaluate a request for a waiver from the Tier 4 marine diesel engine emission standards. Further measures to simplify reporting for small businesses are not prudent or necessary.
conducted or is conducted less frequently, as well as any technical or legal obstacles to
reducing burden.
EPA cannot issue a waiver of the Tier 4 standards if the information is not collected, and without a waiver the applicant boat builder may find themselves unable to build a compliant vessel because there is no certified engine that would be suitable for the application. The collection is for a specific waiver and therefore it is not possible to collect it less frequently.
conducted in a manner:
a) requiring respondents to report information to the agency more often than quarterly;
b) requiring respondents to prepare a written response to a collection of information in fewer than 30 days after receipt of it;
c) requiring respondents to submit more than an original and two copies of any document;
d) requiring respondents to retain records, other than health, medical, government contract, grant-in-aid, or tax records, for more than three years;
e) in connection with a statistical survey, that is not designed to produce valid and reliable results that can be generalized to the universe of study;
f) requiring the use of a statistical data classification that has not been reviewed and approved by OMB;
g) that includes a pledge of confidentiality that is not supported by authority established in statute or regulation, that is not supported by disclosure and data security policies that are consistent with the pledge, or which unnecessarily impedes sharing of data with other agencies for compatible confidential use; or
h) requiring respondents to submit proprietary trade secrets, or other confidential information unless the agency can demonstrate that it has instituted procedures to protect the information's confidentiality to the extent permitted by law.
Responses:
The information is collected only for a specific waiver application, for a specific vessel or vessels. If there is still no suitable engine available, it may be necessary to re-apply for additional production.
Information related to engine and vessel certification is required to be submitted prior to entering engines or vessels into commerce; the manufacturer is not subject to a 30-day response period.
Manufacturers submit their data electronically and so are not required to submit originals and/or copies of any documents.
Manufacturers are required to retain some information for more than three years. Under 40 CFR 1068.25 copies of documents sent to EPA must be kept and maintained by the manufacturer for eight years. These records may be stored in any format and on any media if they are organized and can be sent promptly to EPA upon request.
The data is not being collected in connection with a statistical survey.
The data is not being collected in connection with a statistical survey.
The responses do not include a pledge of confidentiality.
Manufacturers are required to submit information such as sales projections and certain sensitive technical descriptions that may be entitled to confidential treatment. Manufacturers may 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 1068.10 and 1068.11. We will release this information only as permitted or required under the Freedom of Information Act (FOIA) and EPA regulations at 40 CFR part 2. EPA recently amended regulations at 40 CFR 1068.11 to identify several categories of information that are not entitled to confidential treatment.
Federal Register of the agency's notice, required by 5 CFR 1320.8(d), soliciting comments on the information collection prior to submission to OMB. Summarize public comments
received in response to that notice and describe actions taken by the agency in response to
these comments. Specifically address comments received on cost and hour burden.
Describe efforts to consult with persons outside the agency to obtain their views on the
availability of data, frequency of collection, the clarity of instructions and recordkeeping,
disclosure, or reporting format (if any), and on the data elements to be recorded, disclosed, or reported.
Consultation with representatives of those from whom information is to be obtained or those who must compile records should occur at least once every 3 years – even if the collection of information activity is the same as in prior periods. There may be circumstances that may preclude consultation in a specific situation. These circumstances should be explained.
EPA solicited comments on this Information Collection Renewal through a notice in the Federal Register on June 7, 2023 (88 FR 37241). No relevant comments were received.
EPA used data gathered in consultations with the regulated industry during the development of the original waiver rulemaking as well as more recent conversations with engine manufacturers and boat builders, and its own experience implementing the program.
EPA has ongoing outreach efforts with stakeholders as part of our rule development and implementation activities.
There are no payments or gifts to respondents; there is no remuneration of contractors or grantees for this engine and vehicle certification program.
Manufacturers may 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.
We will release this information only as permitted or required under the Freedom of Information Act (FOIA) and EPA regulations at 40 CFR part 2 and part 1068.
This information collection does not require SORN or PIA.
behavior and attitudes, religious beliefs, and other matters that are commonly considered
private. This justification should include the reasons why the agency considers the questions necessary, the specific uses to be made of the information, the explanation to be given to persons from whom the information is requested, and any steps to be taken to obtain their consent.
No sensitive questions are asked in this information collection. This collection complies with the Privacy Act and OMB Circular A-108.
Indicate the number of respondents, frequency of response, annual hour burden, and an explanation of how the burden was estimated. Unless directed to do so, agencies should not conduct special surveys to obtain information on which to base hour burden estimates. Consultation with a sample (fewer than 10) of potential respondents is desirable. If the hour burden on respondents is expected to vary widely because of differences in activity, size, or complexity, show the range of estimated hour burden, and explain the reasons for the variance. Generally, estimates should not include burden hours for customary and usual business practices.
If this request for approval covers more than one form, provide separate hour burden estimates for each form and aggregate the hour burdens.
Provide estimates of annualized cost to respondents for the hour burdens for collections of information, identifying and using appropriate wage rate categories. The cost of contracting out or paying outside parties for information collection activities should not be included here. Instead, this cost should be included under ‘Annual Cost to Federal Government’.
The total labor burden to respondents or record keepers resulting from the collection of information, as set out in Table 2, is about 380 hours, assuming each of 20 companies applies for a waiver. The frequency of response will depend on the continued unavailability of suitable engines but would be no more than one response per manufacturer per vessel category, per model year.
To obtain a waiver from the Tier 4 marine diesel engine standards, manufacturers of boats that meet the size and other criteria must submit a written request for approval for an exemption from the Tier 4 emission standards. Boat builders must describe efforts taken to identify available engines certified to the Tier 4 standards and design efforts for installing engines in the subject vessels. The request must also identify the number of vessels needing exempt engines.
To estimate labor costs, EPA used the Bureau of Labor Statistics' (BLS) 2016 National Industry-specific Occupational Wage Estimates for the Engine, Turbine and Power Transmission Equipment Manufacturing Industry (NAICS 333600, available at https://www.bls.gov/oes/2016/may/naics4_333600.htm). EPA used mean hourly rates increased by a factor of 2.1 to account for benefits and overhead. The labor costs used are set out in Table 1.
The total estimated labor burden is set out in Table 2.
Table 1 - Labor Cost Estimates
Occupation |
SOC Code Number |
Mean Hourly Rate |
Adjusted Mean Hourly Rate (Including Benefits and Overhead) |
Mechanical Engineers |
17-2141 |
$45.17 |
$94.86 |
Engineering Managers |
11-9041 |
$72.53 |
$152.31 |
Lawyers |
23-1011 |
$85.75 |
$180.08 |
Mechanical Engineering Technicians |
17-3027 |
$31.81 |
$66.80 |
Computer and Information Analysts |
15-1210 |
$43.78 |
$91.94 |
Secretaries, Except Legal, Medical and Executives |
43-6014 |
$21.84 |
$45.86 |
Mechanical Engineering Technicians |
17-3027 |
$31.81 |
$66.80 |
Table 2 - Estimated Burden and Cost to Respondents - Hours
Information Collection Activity |
Burden and Cost Per Application |
Total Burden and Cost |
||||||||||||
Engineer hourly rate |
Manager hourly rate |
Legal hourly rate |
Mechanical Engineer Technical hourly rate |
IT Analysts hourly rate |
Clerical hourly rate |
Total Labor Hours |
Total Labor Costs |
Capital Startup Costs |
O&M Cost |
Frequency1 (Estimated Responses per Respondent) |
Number of Respon-dents |
Total Hours |
Total Costs |
|
$94.86 |
$152.31 |
$180.08 |
$66.80 |
$91.94 |
$45.86 |
|||||||||
Small vessel manufacturer: review of new regulations, general system changes |
3 |
1 |
1 |
0 |
0 |
0 |
5 |
$617 |
- |
- |
1.0 |
20 |
100 |
$12,339 |
Develop and submit waiver application |
5 |
2 |
2 |
|
|
5 |
14 |
$1,368 |
- |
- |
1.0 |
20 |
280 |
$27,368 |
TOTAL |
|
|
|
|
|
|
|
$1,985 |
$- |
$- |
1 |
20 |
380 |
$39,707 |
1Estimated Responses per Respondent refers to the number of times a respondent performs each task per year. Generally, this refers to the number of applications in each category, which is often the number of engine families. In this case, there are no reporting burdens apart from reviewing the regulations, which is a one-time activity for each manufacturer.
|
||||||||||||||
resulting from the collection of information. (Do not include the cost of any hour burden
already reflected on the burden worksheet).
The cost estimate should be split into two components: (a) a total capital and start-up cost component (annualized over its expected useful life) and (b) a total operation and maintenance and purchase of services component. The estimates should take into account costs associated with generating, maintaining, and disclosing or providing the information. Include descriptions of methods used to estimate major cost factors including system and technology acquisition, expected useful life of capital equipment, the discount rate(s), and the time period over which costs will be incurred. Capital and start-up costs include, among other items, preparations for collecting information such as purchasing computers and software; monitoring, sampling, drilling and testing equipment; and record storage facilities.
If cost estimates are expected to vary widely, agencies should present ranges of cost burdens and explain the reasons for the variance. The cost of purchasing or contracting out information collections services should be a part of this cost burden estimate. In developing cost burden estimates, agencies may consult with a sample of respondents (fewer than 10), utilize the 60-day pre-OMB submission public comment process and use existing economic or regulatory impact analysis associated with the rulemaking containing the information collection, as appropriate.
Generally, estimates should not include purchases of equipment or services, or portions thereof, made: (1) prior to October 1, 1995, (2) to achieve regulatory compliance with requirements not associated with the information collection, (3) for reasons other than to provide information or keep records for the government, or (4) as part of customary and usual business or private practices.
The total cost burden to respondents or record keepers resulting from the collection of information, as set out Table 2, is estimated to be $39,707. There are no O&M or capital start-up costs associated with applying for the waiver.
EPA has had a certification process in place for marine diesel engines for several years. EPA is not expecting each potentially-affected boat manufacturer to apply for the waiver because, in most cases, suitable engines are expected to become available. In those cases where a waiver is submitted, EPA will review the information and evaluate (1) whether the boat builder described efforts taken to identify available engines certified to the Tier 4 standards and design efforts for installing engines in the subject vessels, and (2) whether the boat builder identified the number of vessels needing exempt engines. EPA will inform the boat builder whether the request is approved. This review will be performed by personnel who are currently involved in marine diesel engine certification. Given the expected low volume of applications, additional resources are not expected to be required. Thus, there is no Agency-specific burden associated with the waiver program. The Agency burden is set out in Table 3.
Table 3 - EPA Burden
Collection Activity |
Total EPA Burden - Hours |
Total EPA – Costs |
Changes to EV-CIS to reflect new standards (one-time cost) |
N/A1 |
$0 |
Review of waiver applications, performed in the normal course of the marine diesel engine and vessel certification program |
0 |
$0 |
Total |
|
$0 |
1Work to be performed by EPA’s contractors as part of an existing contract for the mobile source certification database |
||
This is a renewal information collection request. The burden has changed, as follows:
The previous Tier 4 compliance delay no longer applies
Beginning in 2024, a boat manufacturer must apply for a waiver if there are no suitable certified Tier 4 engines available for their vessels
Waiver approvals will not be published.
There is no collection schedule.
The expiration date of the information collection approval will be publicly available on OMB’s website.
18.Explain each exception to the topics of the certification statement identified in “Certification for Paperwork Reduction Act Submissions.”
EPA does not request an exception to the certification of this information collection.
The sections of the CAA that provide statutory authority for the requirements contained in this proposed rule are 202, 203, 206, 207, 208, 213, 216, and 301 (42 U.S.C. 7521, 7522, 7525, 7541, 7542, 7547, 7550, and 7601).
The provisions in the Code of Federal Regulations (CFR) regulations affected by the rule are set out in Table 4:
Table 4 - Regulations Affected by Waiver from Tier 4 Emission Standards for Marine Diesel Engines
Industry |
40 CFR[1] Part |
Control of Emissions from New and In-Use Marine Compression-Ignition Engines and Vessels |
1042 |
Respondents are manufacturers that sell or import into the United States new marine diesel engines and manufactures that produce for sale in the United States certain high-speed marine vessels. Respondents affected by the proposal are classified in the North American Industry Classification System codes (NAICS) listed in Table 5.
Table 5 - Respondents North American Industry Classification Codes1
NAICS Codes |
NAICS Title |
333618 |
Other Engine Equipment Manufacturing |
336111 |
Manufacturers of Marine Vessels |
The number of respondents affected by this Information Collection Request is set out in Table 6, by category of company. This is the maximum number of companies that produce the types of boats eligible for the waiver. However, EPA does not expect that each of these companies will, in fact, request a waiver as suitable engines are expected to become commercially available.
Table 6 - Number of Respondents per Category
Industry |
Number of Respondents |
Manufacturers of qualifying marine vessels (vessels with a single propulsion engine with maximum power output up to 1,000 kW and power density of at least 35.0 kW per liter displacement, where the vessel is made with a nonmetal hull and has a maximum length of 50 feet) |
20 |
Respondent activities are:
Review the regulations and guidance documents
Prepare and submit waiver application
Store, file and maintain records
Agency activities are:
Review the information submitted in a waiver request and evaluate (1) whether the boat builder described efforts taken to identify available engines certified to the Tier 4 standards and design efforts for installing engines in the subject vessels, and (2) whether the boat builder identified the number of vessels needing exempt engines
Notify the applicant whether the request is approved
Store, file and maintain data
Answer questions from manufacturers, other government agencies, Congress, and the public
Make data available to the public and maintain public websites
Answer FOIA requests, including analyzing and managing requests for confidentiality
Collaborate with each other, including sharing data and providing access to databases`
[No attachments]
[1][1] Code of Federal Regulations, https://www.ecfr.gov/. EPA emissions regulations are found in Title 40.
1 North American Industry Classification System, United States, 2022. Executive Office of the President, Office of Management and Budget. Downloaded 2/10/23. The official OMB publication is available at https://www.census.gov/naics/reference_files_tools/2022_NAICS_Manual.pdf.
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