Office of Civil Enforcement
Office of Enforcement and Compliance Assurance
EPA 310F23001
October 2023
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'> - This Compliance Advisory advises auction houses that they may be subject to enforcement
and penalties under the Clean Air Act for importing, or causing to be imported, uncertified
vehicles, engines, and equipment and includes suggested steps for auction houses to take to
ensure due diligence and compliance.
> EPA is concerned that, by facilitating the introduction of uncertified vehicles, engines, or
equipment, auction houses may be violating the prohibitions against the importation of
uncertified vehicles, engines, and equipment in the Clean Air Act.
> EPA is increasing its efforts with U.S. Customs and Border Protection to stop illegal vehicles,
engines, and equipment at the ports and requiring exportation, in addition to pursuing all
available administrative, civil, and criminal remedies available for those violations.
I. The Law Prohibits Importing Uncertified Vehicles and Engines
Section 203(a)(1) of the Clean Air Act (CAA) and its federal regulations (40 C.F.R. § 1068.101(b)(5)) prohibit
any person from importing into the United States any "new" motor vehicle or new motor vehicle engine,
unless it is certified by the U.S. Environmental Protection Agency (EPA) or is exempt. Anyone violating
paragraph (b)(5) of the regulation is deemed to be a manufacturer under paragraph (a)(1) and is prohibited
from selling, offering for sale, or introducing or delivering into commerce in the United States those engines
or equipment.
Clean Air Act § 216(3) defines "new" to include, with respect to imported vehicles or engines, all vehicles and
engines that were manufactured after the date on which the EPA started regulating that type of vehicle or
engine. Clean Air Act regulations specify that the definition of new is broad for imported engines and
equipment. Uncertified engines and equipment, including used engines and equipment, are generally
considered to be "new" when imported. For example, nonroad diesel engines became regulated under the
Clean Air Act between 2008 and 2012. That means if you import an uncertified 2015 nonroad engine it is a
violation, even though it may not seem new in the usual sense of that word.
The Clean Air Act does not define "importer" or "importation", and it defines "person" broadly in
Section 302(e) to include both individuals and businesses. In enforcing Section 203 of the Clean Air Act, EPA
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generally looks to the U.S. Customs and Border Protection's "importer of record" to identify responsible
persons. But the Agency also has the discretion to pursue persons, including auction houses, for illegal
importation where the facts indicate that they directed, encouraged, promoted, or facilitated the
importation of prohibited vehicles and engines.
Keep this in mind, according to section 203 and 40 C.F.R. § 1068.101(c), if you cause someone to commit a
prohibited act, you are in violation of that prohibition. A person has caused importation to occur where the
particular efforts or influence of the person contributes to, leads to, or results in the importation. For
example, contractual or other business relationships with persons involved in producing, importing, or selling
uncertified engines and equipment could be evidence of causing a violation.
II. Violating the Law is Costly
Violation of the importation prohibitions of Clean Air Act § 203 may result in civil penalties. As of January 6,
2023, a person may be liable for a maximum civil penalty of $55,808 per engine or piece of equipment in
violation. 40 C.F.R. § 19.4.
III. Illegal Imports Harm Air Quality and Public Health
Roughly half of the air pollution in the United States is caused by on-road and nonroad engines. These
mobile sources of air pollution include cars, trucks, and buses, as well as the wide range of gasoline and
diesel engines found in nonroad equipment used in construction, agriculture, and lawn and garden
equipment, in dirt bikes, and used as marine engines.
Depending on their configuration, uncertified vehicles and engines can emit harmful air pollutants at
levels that are significantly higher than vehicles and engines certified by the EPA as meeting Clean Air
Act standards. These pollutants include particulate matter, volatile organic compounds (VOC), air toxics,
and oxides of nitrogen (NOx). Increased emissions, such as those resulting from the illegal importation
of uncertified vehicles and engines, have been linked to environmental problems such as smog, and
they present a serious threat to public health, including increased risk of:
• Premature death in people with heart or lung disease
• Nonfatal heart attacks
• Irregular heartbeat
• Aggravated asthma
• Decreased lung function
• Increased respiratory symptoms, such as irritation of the airways, coughing or difficulty breathing
For more pollutant information visit EPA's Smog. Soot, and Other Air Pollution from Transportation website.
IV. Due Diligence Suggestions
To avoid liability under the importation prohibitions, the EPA suggests that auction houses do their due
diligence in confirming whether a vehicle or engine is properly certified. The EPA's due diligence suggestions
follow on the next page.
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EMISSION CONTROL INFORMATION
Engine Manufacturer Name & Trademark!
EPA Engine Family: XQQQL12.3456
Power Category: 56<=kW < 130
Engine Displacement: 12.3 L
Date of Manufacture: 31 February, 2024
Emission Control System: DOC, DPF, SCR ULTRA LOW SULFUR DIESEL FUEL ONLY
USEFUL LIFE: 8,000 HOURS OR 10 YEARS
THIS ENGINE COMPLIES WITH U.S. EPA REGULATIONS FOR 2024 NONROAD DIESEL ENGINES.
Example format of an Emission Control Information label showing EPA certification information.
The Clean Air Act requires emissions labels for certified vehicles and engines. EPA's "Emission Control
Information" label contains the manufacturer's name, trademark, and an unconditional statement of
compliance with EPA emission regulations (see pictured above). As a precaution against liability under
federal or state law, we suggest that auction houses include pictures of the EPA labels for all listed vehicles,
engines, and equipment and not sell products that are not properly labeled as required by the Clean Air Act.
For agricultural and construction equipment, in general, the emissions label should be located somewhere
on the block of the engine. If the label is not visible or difficult to access, there should be a secondary
emissions label somewhere on the piece of equipment - usually inside the engine compartment itself. For
instructions on how to locate the emissions label on different types of equipment and vehicles, please visit:
https://www.epa.gov/importing-vehicles-and-engines/locating-vehicle-emissions-label.
The Emission Control Label will identify the engine family. A family is the basic unit that the EPA uses to
identify a group of vehicles or engines for certification and compliance purposes. A family name is a 12-
character code that identifies all parts of that particular engine, including its model year and its volume
size/displacement.
• To see what a typical engine family looks like, visit EPA's Locating the Vehicle Emissions Label web
• To verify whether an engine family is correct or up to date, visit EPA's Annual Certification Data for
Vehicles. Engines, and Equipment web page.
If the manufacturer's emissions label indicates that it is certified for use outside of the United States, it is
invalid for importation into the U.S.
To confirm whether an engine or piece of equipment is certified, auction houses can also turn to the 1-
800 numbers, websites, or cell phone applications that are run by the manufacturer. For example, many
manufacturers have developed applications that allows users to retrieve emission details and related
certificates by searching the engine or machine serial number. Auction houses can use these apps to
determine an engine or piece of equipment's compliance status. EPA suggests that auction houses keep
documentation of this information.
A.
Check For Manufacturer Emissions Label
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B. Utilize 1-800 Numbers, Websites, and Cell Phone Applications
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C. Collect Documentation for Used Vehicles and Engines
The Clean Air Act prohibits the importation of new motor vehicles and engines that are manufactured after
the effective date of a regulation applicable to such vehicle or engine. However, if an importer claims that an
engine or piece of equipment is not subject to Clean Air Act standards because it was both manufactured
before the effective date of the applicable regulations and already placed into service, 40 C.F.R.
§ 1068.360(c) mandates that the importer "must provide clear and convincing evidence that it has already
been placed into service. Such evidence must generally include, but not be limited to, documentary evidence
of purchase and maintenance history and visible wear that is consistent with the reported manufacture
date." If you do not satisfactorily demonstrate that the engine or equipment has already been placed into
service, then the applicable standards will apply.
V. Ask Questions or Submit Tips
If you would like to ask questions regarding imports or if you have questions concerning a specific label,
engine, or piece of equipment, you can email imports@epa.gov. Or, to submit tips, please visit EPA's Report
a Violation website.
VI. Benefits of EPA's Self-Disclosure Policies
Regulated entities of any size who voluntarily discover, promptly disclose, expeditiously correct, and take
steps to prevent recurrence of potential violations may be eligible for a reduction or elimination of any civil
penalties that otherwise might apply. Most violations can be disclosed and processed via the EPA's
centralized web-based "eDisclosure Portal."
To learn more about the EPA's violation disclosure policies, including conditions for eligibility, please review
the EPA's Audit Policy web page.
Many states also offer incentives for self-policing. Please check with the appropriate state agency for more
information.
VII. For More Information
EPA maintains an extensive list of mobile source air enforcement policy and guidance
documents, which includes a 2019 policy titled "Expedited Settlement Agreement Program for
Clean Air Act Vehicle and Engine Violations - Imports," that established an expedited resolution
process for some claims concerning illegal importations of vehicles and engines for certain first-
time violators.
Disclaimer
This Compliance Advisory addresses select provisions of EPA legal requirements using plain language.
Nothing in this Compliance Advisory is meant to replace or revise any EPA regulatory provisions, policies,
parts of the Code of Federal Regulations, the Federal Register, or the Clean Air Act.
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