United States
Environmental
Protection Agency
Office of Enforcement
and Compliance
Assurance (2201 A)
EPA325-F-09-003
\J»?J Enforcement Alert
^PBO-f*0 «/
Volume 10, Number 3
Office of Civil Enforcement
September 2009
EPA Steps Up Enforcement Against Illegal
Mini-Trucks
Law Requires All Vehicles to Meet Federal Emissions Standards
Over the last several years, the importation
of used mini-trucks that fail to meet Clean
Air Act (CAA) requirements has grown. The
Environmental Protection Agency is taking
enforcement action to address this problem.
EPA estimates that approximately 3,000 -
4,000 mini-trucks are brought into the United
States each month. The vast majority of the mini-
trucks inspected by EPA in 2008 were illegal
because they lacked a required EPA-issued
certificate of conformity with CAA emission
standards. The illegal mini-trucks were small
Japanese vehicles with engines around 600 cc.
Compliance is Critical
Mobile sources of pollution, including
cars, trucks, mini-trucks, recreational vehicles,
generators and garden equipment, account for
more than half of the air pollution in the United
States. The pollutants they emit have been linked
to serious health conditions such as asthma,
heart disease and cancer, and to environmental
problems such as smog. Uncertified mini-trucks
emit regulated pollutants at significantly higher
levels than motor vehicles certified by EPA as
meeting CAA requirements. EPA estimates that
uncertified mini-trucks emit at least four times
Pickup Style Mini-Truck
more nitrogen oxide, a contributor to ground
level ozone pollution, than light duty trucks that
are certified to current standards.
Applicable Regulations
In general terms, the CAA defines "motor
vehicles" as vehicles designed for on-road use,
and capable of traveling over 25 mph. Most
imported mini-trucks have been modified in an
attempt to prevent them from going over 25 mph,
to render them "non-road vehicles" subject to
less stringent emissions requirements. See EPA
regulations at 40 C.F.R. § 85.1703(a). These
speed modifications must be permanent. Only
modifications approved in writing by EPA can
be used to convert a mini-truck to a non-road
vehicle.
Vehicle Requirements
Vehicles must be certified (i.e., covered by a
Certificate of Conformity from EPA) to be in
compliance with federal emission standards.
An EPA emission label must be permanently
affixed to each engine/vehicle.
Vehicles, when imported, must be declared
using EPA Form 3520-1 for motor vehicles
or EPA Form 3520-21 for non-road vehicles.
Certifications, exemptions or exclusions must
be obtained before importation and supported
by the required design and documentation.
For motor vehicles that were never EPA-
certified, such as many Japanese mini-trucks,
installing tamper-resistant, EPA-approved speed
limiting governors to convert the vehicles to a
non-road vehicle subjects them to the non-road
emission standards specified in 40 C.F.R. Part
1048. Converted mini-trucks must now obtain
a certificate of conformity withPart 1048 before
importation.
EPA recently published regulations on
importation of vehicles that were originally built
as motor vehicles, but have been converted for
non-road use. Federal Register at 73 FR 59053
(October 8,2008); see http://www.epa.gov/otaq/
regs/nonroad/marinesi-equipld/bondfrm.pdf.
The regulations do not prohibit importation of
mini-trucks, but they do require certification
as well as installation of an approved speed
governor before importation.
The new regulations apply to converted
vehicles imported on or after December 8,2008.
Japanese mini-trucks are among the vehicles
affected by this change. The year of importation
of converted vehicles usually dictates which
emission standards apply. Where the importer
can prove conversion several years prior to
importation, the emission standards in effect in
the year before importation may be applicable
(40 C.F.R. §1068.360).
To delay compliance with certification
requirements until December 8, 2009,
an importer must apply for the delay and
demonstrate unusual circumstances, among
other factors, and the delay must be approved
in writing by EPA before importation occurs.
Information on how to certify mini-trucks and
how to apply for a delay is available at: http://
www.epa.gov/otaq/imports/420/09014.htm.
Importer Must Complete EPA
Declaration Form
Before importation, non-road mini-truck
importers (or their suppliers) must certify their
vehicles by demonstrating that they are non-road
vehicles and comply with applicable emission
standards. As part of this process, the exact
design of any speed governor must be approved
by EPA in writing prior to importation. Importers
must also complete an EPA Declaration Form
3520-21 to indicate the means of compliance
with the CAA. The Form must be submitted
http://www.epa.gov/compliance/resources/newsletters/civil/enfalert/index.html
-------
Enforcement Alert
to U.S. Department of Homeland Security
Bureau of Customs and Border Protection
(CBP), along with other CBP entry documents
(see 42 U.S.C. § 7601, and 19 C.F.R. § 12.74).
The imported vehicles must also be made
available to CBP for examination.
The importer must also present the completed
Form 3520-21 to CBP and EPA officials upon
request and must retain a copy for five years
after importation. EPA Form 3520-21 and
instructions are available at: http://www.epa.
gov/otaq/imports/forms/3 5 20-21.pdf.
Penalties for Violations
Importing, or causing the importation, of
an illegal mini-truck can result in a penalty of
up to $37,500 per vehicle and its exportation.
Anyone who removes, or causes the removal
of, a mini-truck's approved speed governor
is also subject to this penalty. To knowingly
make a false or fraudulent statement, or omit
material information required upon importation
of a mini-truck, can subject a person to criminal
prosecution. Convictions can result in fines of
up to $250,000 or imprisonment for up to two
years, or both.
Enforcement: Don't Let This Happen
to You ...
EPA and CBP are inspecting mini-trucks at
various ports, dealerships and other business
locations throughout the United States.
Both agencies are pursuing enforcement
actions against importers of illegally imported
vehicles. Only modifications installed before
importation and approved by EPA in writing
are sufficient to render a mini-truck a legal
non-road vehicle.
One importer paid an $82,500 civil penalty
for importing 63 mini-trucks into the United
States. The importer claimed the mini-trucks
were non-road vehicles. The vehicles were
inspected by CBP after importation and
determined by EPA to be uncertified motor
vehicles under the CAA.
Policies That Reward Compliance
EPA has two policies that substantially
reduce or eliminate penalties for entities that
voluntarily discover, and expeditiously disclose
and correct violations of environmental laws.
For more information, see EPA's Incentives
for Self-Policing, Discovery, Disclosure.
Correction and Prevention of Violations (Audit
Policy) at: http://www.epa.gov/compliance/
incentives/auditing/auditpolicy.html and EPA's
Policy on Compliance Incentives for Small
Businesses at: http://www.epa.gov/compliance/
incentives/smallbusiness/index.html.
Disclaimer: This document attempts to clarify in
plain language some EPA regulatory provisions.
Nothing in the Enforcement Alert revises or replaces
any regulatory provisions in the cited part, any other
part of the Code of Federal Regulations, the Federal
Register, or the Clean Air Act. For more information
go to: www.epa.gov/compliance
Compliance Assistance
Resources
EPA's Air Enforcement Division
Mark Siegler
siegler.mark@epa.gov
(202) 564-8673
David Alexander
alexander.david@epa.gov
(202) 564-2109
EPA's Air Program
Imports and Certification
Hotline: (734) 214-4100
Imports (Imports@epa.gov)
Other Resources
CBP (Customs/Importation)
http://www. cbp.gov
California Air Resources Board
The State of California has separate emissions
certification requirements
General Number (800) 242-4450
Fax request to (732) 214-IMPO (4676)
Key EPA Mobile Source Web Sites
Compliance Monitoring Air Mobile
Sources Program
http://www.epa.gov/compliance/monitoring/
programs/'caa/mobile. html
Nonroad Engines, Equipment, and Vehicles
http://www. epa.gov/nonroad
Importing Vehicles and Engines
http://www. epa.gov/otaq/imports/index. htm
Certification Test Results
http://www. epa.gov/otaq/crttst. htm
Non-road Certification Data
http://www. epa.gov/otaq/certdata. htm
Health effects of emissions from illegal
non-road equipment
http://www.epa.gov/OTAQ/actions.htm
Enforcement Alert
Enforcement Alerts are published
periodically by EPA's Office of Enforcement
and Compliance Assurance, Office of Civil
Enforcement, to inform the public and the
regulated community about environmental
enforcement issues, trends and significant
enforcement actions.
This information should help the regulated
community avoid violations of federal
environmental law. Please reproduce and
share this publication.
To receive this newsletter electronically,
see www. epa.gov/compliance/resources/
newsletters/civil/enfalert/index.html.
Director, Office of Civil Enforcement:
Adam M. Kushner
Editor, Office of Civil Enforcement:
Melissa Page Marshall
Please send all address and name changes
or subscription requests to: nscep@bps-
lmit.com
Document Number: EPA 325-F-09-003
Report a Violation!
Protecting the environment is
everyone's responsibility. Help EPA
fight pollution by reporting potential
environmental violations.
www.epa.gov/compliance
xvEPA
United States
Environmental Protection Agency
Office of Civil Enforcement
(2241 A)
Washington, B.C. 20460
Official Business
September 2009
------- |