[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2005 Edition]
[From the U.S. Government Printing Office]



[[Page i]]



          40


          Parts 87 to 99

                         Revised as of July 1, 2005


          Protection of Environment
          
          


________________________

          Containing a codification of documents of general 
          applicability and future effect

          As of July 1, 2005
          With Ancillaries
                    Published by
                    Office of the Federal Register
                    National Archives and Records
                    Administration
                    A Special Edition of the Federal Register

[[Page ii]]

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                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 40:
          Chapter I--Environmental Protection Agency 
          (Continued)                                                3
  Finding Aids:
      Material Approved for Incorporation by Reference........     893
      Table of CFR Titles and Chapters........................     897
      Alphabetical List of Agencies Appearing in the CFR......     915
      List of CFR Sections Affected...........................     925

[[Page iv]]





                     ----------------------------

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus, 40 CFR 87.1 refers 
                       to title 40, part 87, 
                       section 1.

                     ----------------------------

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
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HOW TO USE THE CODE OF FEDERAL REGULATIONS

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OMB CONTROL NUMBERS

    The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires 
Federal agencies to display an OMB control number with their information 
collection request.

[[Page vi]]

Many agencies have begun publishing numerous OMB control numbers as 
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OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
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INCORPORATION BY REFERENCE

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This material, like any other properly issued regulation, has the force 
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    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
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20408, or call (202) 741-6010.

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the revision dates of the 50 CFR titles.

[[Page vii]]


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                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

July 1, 2005.

[[Page ix]]



                               THIS TITLE

    Title 40--Protection of Environment is composed of thirty-one 
volumes. The parts in these volumes are arranged in the following order: 
parts 1-49, parts 50-51, part 52 (52.01-52.1018), part 52 (52.1019-End), 
parts 53-59, part 60 (60.1-End), part 60 (Appendices), parts 61-62, part 
63 (63.1-63.599), part 63 (63.600-63.1199), part 63 (63.1200-63.1439), 
part 63 (63.1440-63.6175), part 63 (63.6580-63.8830), part 63 (63.8980-
End) parts 64-71, parts 72-80, parts 81-85, part 86 (86.1-86.599-99) 
part 86 (86.600-1-End), parts 87-99, parts 100-135, parts 136-149, parts 
150-189, parts 190-259, parts 260-265, parts 266-299, parts 300-399, 
parts 400-424, parts 425-699, parts 700-789, and part 790 to End. The 
contents of these volumes represent all current regulations codified 
under this title of the CFR as of July 1, 2005.

    Chapter I--Environmental Protection Agency appears in all thirty-one 
volumes. An alphabetical Listing of Pesticide Chemicals Index appears in 
parts 150-189. Regulations issued by the Council on Environmental 
Quality appear in the volume containing part 790 to End. The OMB control 
numbers for title 40 appear in Sec.  9.1 of this chapter.

    For this volume, Bonnie Fritts was Chief Editor. The Code of Federal 
Regulations publication program is under the direction of Frances D. 
McDonald, assisted by Alomha S. Morris.

[[Page 1]]



                   TITLE 40--PROTECTION OF ENVIRONMENT




                   (This book contains parts 87 to 99)

  --------------------------------------------------------------------
                                                                    Part

chapter i--Environmental Protection Agency (Continued)......          87

[[Page 3]]



         CHAPTER I--ENVIRONMENTAL PROTECTION AGENCY (CONTINUED)




  --------------------------------------------------------------------


  Editorial Note: Nomenclature changes to chapter I appear at 65 FR 
47324, 47325, Aug. 2, 2000; 66 FR 34375, 34376, June 28, 2001; and 69 FR 
18803, Apr. 9, 2004.

                 SUBCHAPTER C--AIR PROGRAMS (CONTINUED)
Part                                                                Page
87              Control of air pollution from aircraft and 
                    aircraft engines........................           5
88              Clean-fuel vehicles.........................          12
89              Control of emissions from new and in-use 
                    nonroad compression-ignition engines....          39
90              Control of emissions from nonroad spark-
                    ignition engines at or below 19 
                    kilowatts...............................         166
91              Control of emissions from marine spark-
                    ignition engines........................         291
92              Control of emissions from locomotives and 
                    locomotive engines......................         399
93              Determining conformity of Federal actions to 
                    State or Federal implementation plans...         541
94              Control of air pollution from marine 
                    compression-ignition engines............         588
95              Mandatory patent licenses...................         668
96              NOX Budget Trading Program for 
                    State Implementation Plans..............         670
97              Federal NOX Budget Trading 
                    Program.................................         829
98-99           [Reserved]

[[Page 5]]



                  SUBCHAPTER C_AIR PROGRAMS (CONTINUED)





PART 87_CONTROL OF AIR POLLUTION FROM AIRCRAFT AND AIRCRAFT ENGINES
--Table of Contents




                      Subpart A_General Provisions

Sec.
87.1 Definitions.
87.2 Abbreviations.
87.3 General requirements.
87.4 [Reserved]
87.5 Special test procedures.
87.6 Aircraft safety.
87.7 Exemptions.

  Subpart B_Engine Fuel Venting Emissions (New and In-Use Aircraft Gas 
                            Turbine Engines)

87.10 Applicability.
87.11 Standard for fuel venting emissions.

     Subpart C_Exhaust Emissions (New Aircraft Gas Turbine Engines)

87.20 Applicability.
87.21 Standards for exhaust emissions.

    Subpart D_Exhaust Emissions (In-Use Aircraft Gas Turbine Engines)

87.30 Applicability.
87.31 Standards for exhaust emissions.

Subparts E-F [Reserved]

Subpart G_Test Procedures for Engine Exhaust Gaseous Emissions (Aircraft 
                    and Aircraft Gas Turbine Engines)

87.60 Introduction.
87.61 Turbine fuel specifications.
87.62 Test procedure (propulsion engines).
87.63 [Reserved]
87.64 Sampling and analytical procedures for measuring gaseous exhaust 
          emissions.
87.65-87.70 [Reserved]
87.71 Compliance with gaseous emission standards.

   Subpart H_Test Procedures for Engine Smoke Emissions (Aircraft Gas 
                            Turbine Engines)

87.80 Introduction.
87.81 Fuel specifications.
87.82 Sampling and analytical procedures for measuring smoke exhaust 
          emissions.
87.83-87.88 [Reserved]
87.89 Compliance with smoke emission standards.

    Authority: Secs. 231, 301(a), Clean Air Act, as amended (42 U.S.C. 
7571, 7601(a)), unless otherwise noted.

    Source: 47 FR 58470, Dec. 30, 1982, unless otherwise noted.



                      Subpart A_General Provisions



Sec. 87.1  Definitions.

    (a) As used in this part, all terms not defined herein shall have 
the meaning given them in the Act:
    Act means the Clean Air Act, as amended (42 U.S.C. 7401 et seq.).
    Administrator means the Administrator of the Environmental 
Protection Agency and any other officer or employee of the Environmental 
Protection Agency to whom authority involved may be delegated.
    Aircraft means any airplane for which a U.S. standard airworthiness 
certificate or equivalent foreign airworthiness certificate is issued.
    Aircraft engine means a propulsion engine which is installed in or 
which is manufactured for installation in an aircraft.
    Aircraft gas turbine engine means a turboprop, turbofan, or turbojet 
aircraft engine.
    Class TP means all aircraft turboprop engines.
    Class TF means all turbofan or turbojet aircraft engines or aircraft 
engines designed for applications that otherwise would have been 
fulfilled by turbojet and turbofan engines except engines of class T3, 
T8, and TSS.
    Class T3 means all aircraft gas turbine engines of the JT3D model 
family.
    Class T8 means all aircraft gas turbine engines of the JT8D model 
family.
    Class TSS means all aircraft gas turbine engines employed for 
propulsion of aircraft designed to operate at supersonic flight speeds.
    Commercial aircraft engine means any aircraft engine used or 
intended for use by an ``air carrier,'' (including those engaged in 
``intrastate air transportation'') or a ``commercial operator'' 
(including those engaged in ``intrastate air transportation'') as these 
terms are defined in the Federal Aviation Act and the Federal Aviation 
Regulations.

[[Page 6]]

    Commercial aircraft gas turbine engine means a turboprop, turbofan, 
or turbojet commercial aircraft engine.
    Emission measurement system means all of the equipment necessary to 
transport and measure the level of emissions. This includes the sample 
system and the instrumentation system.
    Engine Model means all commercial aircraft turbine engines which are 
of the same general series, displacement, and design characteristics and 
are usually approved under the same type certificate.
    Exhaust emissions means substances emitted to the atmosphere from 
the exhaust discharge nozzle of an aircraft or aircraft engine.
    Fuel venting emissions means raw fuel, exclusive of hydrocarbons in 
the exhaust emissions, discharged from aircraft gas turbine engines 
during all normal ground and flight operations.
    In-use aircraft gas turbine engine means an aircraft gas turbine 
engine which is in service.
    New aircraft turbine engine means an aircraft gas turbine engine 
which has never been in service.
    Power setting means the power or thrust output of an engine in terms 
of kilonewtons thrust for turbojet and turbofan engines and shaft power 
in terms of kilowatts for turboprop engines.
    Rated output (rO) means the maximum power/thrust available for 
takeoff at standard day conditions as approved for the engine by the 
Federal Aviation Administration, including reheat contribution where 
applicable, but excluding any contribution due to water injection.
    Rated pressure ratio (rPR) means the ratio between the combustor 
inlet pressure and the engine inlet pressure achieved by an engine 
operating at rated output.
    Sample system means the system which provides for the transportation 
of the gaseous emission sample from the sample probe to the inlet of the 
instrumentation system.
    Secretary means the Secretary of Transportation and any other 
officer or employee of the Department of Transportation to whom the 
authority involved may be delegated.
    Shaft power means only the measured shaft power output of a 
turboprop engine.
    Smoke means the matter in exhaust emissions which obscures the 
transmission of light.
    Smoke number (SN) means the dimensionless term quantifying smoke 
emissions.
    Standard day conditions means standard ambient conditions as 
described in the United States Standard Atmosphere, 1976, (i.e., 
Temperature =15 [deg]C, specific humidity =0.00 kg/ H2 O/kg 
dry air, and pressure =101325 Pa.)
    Taxi/idle (in) means those aircraft operations involving taxi and 
idle between the time of landing roll-out and final shutdown of all 
propulsion engines.
    Taxi/idle (out) means those aircraft operations involving taxi and 
idle between the time of initial starting of the propulsion engine(s) 
used for the taxi and turn on to duty runway.

[47 FR 58470, Dec. 30, 1982, as amended at 49 FR 31875, Aug. 9, 1984; 62 
FR 25365, May 8, 1997]



Sec. 87.2  Abbreviations.

    The abbreviations used in this part have the following meanings in 
both upper and lower case:

CO Carbon Monoxide
FAA Federal Aviation Administration, Department of Transportation
HC Hydrocarbon(s)
hr. Hour(s)
LTO Landing takeoff
min. Minute(s)
NOX Oxides of nitrogen
rO Rated output
rPR Rated pressure ratio
sec. Seconds
SP Shaft power
SN Smoke number
T Temperature, degrees Kelvin
TIM Time in mode
W Watt(s)
[deg] Degree
% Percent

[47 FR 58470, Dec. 30, 1982, as amended at 49 FR 31875, Aug. 9, 1984; 62 
FR 25365, May 8, 1997]



Sec. 87.3  General requirements.

    (a) This part provides for the approval or acceptance by the 
Administrator or the Secretary of testing and

[[Page 7]]

sampling methods, analytical, techniques, and related equipment not 
identical to those specified in this part. Before either approves or 
accepts any such alternate, equivalent, or otherwise nonidentical 
procedures or equipment, the Administrator or the Secretary shall 
consult with the other in determining whether or not the action requires 
rulemaking under sections 231 and 232 of the Clean Air Act, as amended, 
consistent with the Administrator's and the Secretary's responsibilities 
under sections 231 and 232 of the Act. (42 U.S.C. 7571, 7572).
    (b) Under section 232 of the Act, the Secretary issues regulations 
to insure compliance with this part.
    (c) With respect to aircraft of foreign registry, these regulations 
shall apply in a manner consistent with any obligation assumed by the 
United States in any treaty, convention or agreement between the United 
States and any foreign country or foreign countries.



Sec. 87.4  [Reserved]



Sec. 87.5  Special test procedures.

    The Administrator or the Secretary may, upon written application by 
a manufacturer or operator of aircraft or aircraft engines, approve test 
procedures for any aircraft or aircraft engine that is not susceptible 
to satisfactory testing by the procedures set forth herein. Prior to 
taking action on any such application, the Administrator or the 
Secretary shall consult with the other.



Sec. 87.6  Aircraft safety.

    The provisions of this part will be revised if at any time the 
Secretary determines that an emission standard cannot be met within the 
specified time without creating a safety hazard.



Sec. 87.7  Exemptions.

    (a) Exemptions based on flights for short durations at infrequent 
intervals. The emission standards of this part do not apply to engines 
which power aircraft operated in the United States for short durations 
at infrequent intervals. Such operations are limited to:
    (1) Flights of an aircraft for the purpose of export to a foreign 
country, including any flights essential to demonstrate the integrity of 
an aircraft prior to its flight to a point outside the United States.
    (2) Flights to a base where repairs, alterations or maintenance are 
to be performed, or to a point of storage, and flights for the purpose 
of returning an aircraft to service.
    (3) Official visits by representatives of foreign governments.
    (4) Other flights the Secretary determines, after consultation with 
the Administrator, to be for short durations at infrequent intervals. A 
request for such a determination shall be made before the flight takes 
place.
    (b) Exemptions for very low production models. The emissions 
standards of this part do not apply to engines of very low total 
production after the date of applicability. For the purpose of this 
part, ``very low production'' is limited to a maximum total production 
for United States civil aviation applications of no more than 200 units 
covered by the same type certificate after January 1, 1984.
    (1) A maximum annual production rate after January 1, 1984 of 20 
units covered by the same type certificate; and
    (2) A maximum total production after January 1, 1984 of 200 units 
covered by the same type certificate.
    (c) Exemptions for New Engines in Other Categories. The emissions 
standards of this part do not apply to engines for which the Secretary 
determines, with the concurrence of the Administrator, that application 
of any standard under Sec. 87.21 is not justified, based upon 
consideration of:
    (1) Adverse economic impact on the manufacturer.
    (2) Adverse economic impact on the aircraft and airline industries 
at large.
    (3) Equity in administering the standards among all economically 
competing parties.
    (4) Public health and welfare effects.
    (5) Other factors which the Secretary, after consultation with the 
Administrator, may deem relevant to the case in question.
    (d) Time Limited Exemptions for In Use Engines. The emissions 
standards of this part do not apply to aircraft or aircraft engines for 
time periods which the Secretary determines, with the

[[Page 8]]

concurrence of the Administrator, that any applicable standard under 
Sec. 87.11(a), Sec. 87.31(a), or Sec. 87.31(c), should not be applied 
based upon consideration of the following:
    (1) Documentation demonstrating that all good faith efforts to 
achieve compliance with such standard have been made.
    (2) Documentation demonstrating that the inability to comply with 
such standard is due to circumstances beyond the control of the owner or 
operator of the aircraft.
    (3) A plan in which the owner or operator of the aircraft shows that 
he will achieve compliance in the shortest time which is feasible.
    (4) Applications for a determination that any requirements of Sec. 
87.11(a), Sec. 87.31(a) or Sec. 87.31(c) do not apply shall be 
submitted in duplicate to the Secretary in accordance with procedures 
established by the Secretary.
    (e) The Secretary shall publish in the Federal Register the name of 
the organization to whom exemptions are granted and the period of such 
exemptions.
    (f) No state or political subdivision thereof may attempt to enforce 
a standard respecting emissions from an aircraft or engine if such 
aircraft or engine has been exempted from such standard under this part.

[47 FR 58470, Dec. 30, 1982, as amended at 49 FR 31875, Aug. 9, 1984; 49 
FR 41002, Oct. 18, 1984]



  Subpart B_Engine Fuel Venting Emissions (New and In-Use Aircraft Gas 
                            Turbine Engines)



Sec. 87.10  Applicability.

    (a) The provisions of this subpart are applicable to all new 
aircraft gas turbines of classes T3, T8, TSS and TF equal to or greater 
than 36 kilonewton rated output, manufactured on or after January 1, 
1974, and to all in-use aircraft gas turbine engines of classes T3, T8, 
TSS and TF equal to or greater than 36 kilonewton rated output 
manufactured after February 1, 1974.
    (b) The provisions of this subpart are also applicable to all new 
aircraft gas turbines of class TF less than 36 kilonewton rated output 
and class TP manufactured on or after January 1, 1975 and to all in-use 
aircraft gas turbines of class TF less than 36 kilonewton rated output 
and class TP manufactured after January 1, 1975.

[49 FR 41002, Oct. 18, 1984]



Sec. 87.11  Standard for fuel venting emissions.

    (a) No fuel venting emissions shall be discharged into the 
atmosphere from any new or in-use aircraft gas turbine engine subject to 
the subpart. This paragraph is directed at the elimination of 
intentional discharge to the atmosphere of fuel drained from fuel nozzle 
manifolds after engines are shut down and does not apply to normal fuel 
seepage from shaft seals, joints, and fittings.
    (b) Conformity with the standard set forth in paragraph (a) of this 
section shall be determined by inspection of the method designed to 
eliminate these emissions.



     Subpart C_Exhaust Emissions (New Aircraft Gas Turbine Engines)



Sec. 87.20  Applicability.

    The provisions of this subpart are applicable to all aircraft gas 
turbine engines of the classes specified beginning on the dates 
specified.



Sec. 87.21  Standards for exhaust emissions.

    (a) Exhaust emissions of smoke from each new aircraft gas turbine 
engine of class T8 manufactured on or after February 1, 1974, shall not 
exceed: Smoke number of 30.
    (b) Exhaust emissions of smoke from each new aircraft gas turbine 
engine of class TF and of rated output of 129 kilonewtons thrust or 
greater, manufactured on or after January 1, 1976, shall not exceed:

SN=83.6(r0)-0.274 (r0 is in kilonewtons).

    (c) Exhaust emission of smoke from each new aircraft gas turbine 
engine of class T3 manufactured on or after January 1, 1978, shall not 
exceed: Smoke number of 25.

[[Page 9]]

    (d) Gaseous exhaust emissions from each new commercial aircraft gas 
turbine engine shall not exceed:
    (1) Classes TF, T3, T8 engines greater than 26.7 kilonewtons rated 
output:
    (i) Engines manufactured on or after January 1, 1984:

Hydrocarbons: 19.6 grams/kilonewton rO.

    (ii) Engines manufactured on or after July 7, 1997.

Carbon Monoxide: 118 grams/kilonewton rO.

    (iii) Engines of a type or model of which the date of manufacture of 
the first individual production model was on or before December 31, 1995 
and for which the date of manufacture of the individual engine was on or 
before December 31, 1999.

Oxides of Nitrogen: (40 + 2(rPR)) grams/kilonewtons rO.

    (iv) Engines of a type or model of which the date of manufacture of 
the first individual production model was after December 31, 1995 or for 
which the date of manufacture of the individual engine was after 
December 31, 1999:

Oxides of Nitrogen: (32 + 1.6(rPR)) grams/kilonewtons rO.

    (v) The emission standards prescribed in paragraphs (d)(1) (iii) and 
(iv) of this section apply as prescribed beginning July 7, 1997.
    (2) Class TSS: Engines manufactured on or after January 1, 1984:

Hydrocarbons=140(0.92) rPR grams/kilonewtons rO.

    (e) Smoke exhaust emissions from each gas turbine engine of the 
classes specified below shall not exceed:
    (1) Class TF of rated output less than 26.7 kilonewtons manufactured 
on or after (one year from date of publication):

SN=83.6(ro)-0.274 (ro is in kilonewtons) not to exceed a 
    maximum of SN=50.

    (2) Classes T3, T8, TSS and TF of rated output equal to or greater 
than 26.7 kilonewtons manufactured on or after January 1, 1984:

SN=83.6(ro)-0.274 (ro is in kilonewtons) not to exceed a 
    maximum of SN=50.

    (3) Class TP of rated output equal to or greater than 1,000 
kilowatts manufactured on or after January 1, 1984:

SN=187(ro) -0.168 (ro is in kilowatts)

    (f) The standards set forth in paragraphs (a), (b), (c), (d), and 
(e) of this section refer to a composite gaseous emission sample 
representing the operating cycles set forth in the applicable sections 
of subpart G of this part, and exhaust smoke emissions emitted during 
operations of the engine as specified in the applicable sections of 
subpart H of this part, measured and calculated in accordance with the 
procedures set forth in those subparts.

[47 FR 58470, Dec. 30, 1982, as amended at 49 FR 31875, Aug. 9, 1984; 62 
FR 25365, May 8, 1997]



    Subpart D_Exhaust Emissions (In-Use Aircraft Gas Turbine Engines)



Sec. 87.30  Applicability.

    The provisions of this subpart are applicable to all in-use aircraft 
gas turbine engines certified for operation within the United States of 
the classes specified beginning on the dates specified.



Sec. 87.31  Standards for exhaust emissions.

    (a) Exhaust emissions of smoke from each in-use aircraft gas turbine 
engine of Class T8, beginning February 1, 1974, shall not exceed: Smoke 
number of 30.
    (b) Exhaust emissions of smoke from each in-use aircraft gas turbine 
engine of class TF and of rated output of 129 kilonewtons thrust or 
greater, beginning January 1, 1976, shall not exceed:

SN=83.6(r0)-0.274(r0 is in kilonewtons).

    (c) The standards set forth in paragraphs (a) and (b) of this 
section refer to exhaust smoke emissions emitted during operations of 
the engine as specified in the applicable section of subpart H of this 
part, and measured and calculated in accordance with the procedures set 
forth in this subpart.

[47 FR 58470, Dec. 30, 1982, as amended at 48 FR 2718, Jan. 20, 1983]

Subparts E-F [Reserved]

[[Page 10]]



Subpart G_Test Procedures for Engine Exhaust Gaseous Emissions (Aircraft 
                    and Aircraft Gas Turbine Engines)



Sec. 87.60  Introduction.

    (a) Except as provided under Sec. 87.5, the procedures described in 
this subpart shall be the test program to determine the conformity of 
new aircraft gas turbine engines with the applicable standards set forth 
in this part.
    (b) The test consists of operating the engine at prescribed power 
settings on an engine dynamometer (for engines producing primarily shaft 
power) or thrust measuring test stand (for engines producing primarily 
thrust). The exhaust gases generated during engine operation are sampled 
continuously for specific component analysis through the analytical 
train.
    (c) The exhaust emission test is designed to measure hydrocarbons, 
carbon monoxide, carbon dioxide, and oxides of nitrogen concentrations, 
and to determine mass emissions through calculations during a simulated 
aircraft landing-takeoff cycle (LTO). The LTO cycle is based on time in 
mode data during high activity periods at major airports. The test for 
propulsion engines consists of at least the following four modes of 
engine operation: taxi/idle, takeoff, climbout, and approach. The mass 
emission for the modes are combined to yield the reported values.
    (d) When an engine is tested for exhaust emissions on an engine 
dynamometer or test stand, the complete engine shall be used with all 
accessories which might reasonably be expected to influence emissions to 
the atmosphere installed and functioning, if not otherwise prohibited by 
Sec. 87.62(a)(2). Use of service air bleed and shaft power extraction 
to power auxiliary gearbox-mounted components required to drive aircraft 
systems is not permitted.
    (e) Other gaseous emissions measurement systems may be used if shown 
to yield equivalent results and if approved in advance by the 
Administrator or the Secretary.

[47 FR 58470, Dec. 30, 1982, as amended at 49 FR 31875, Aug. 9, 1984; 62 
FR 25366, May 8, 1997]



Sec. 87.61  Turbine fuel specifications.

    For exhaust emission testing, fuel meeting the specifications listed 
in this section shall be used. Additives used for the purpose of smoke 
suppression (such as organometallic compounds) shall not be present.

                 Property and Allowable Range of Values

Density kg/m\3\ at 15 [deg]C: 780-820.
Distillation temperature, [deg]C: 10% boiling point, 155-201; final 
boiling point, 235-285.
Net heat of combustion, MJ/kg: 42.86-43.50.
Aromatics, volume %: 15-23.
Naphthalenes, volume %: 1.0-3.5.
Smoke point, mm: 20-28.
Hydrogen, mass %: 13.4-14.1.
Sulfur, mass %: less than 0.3%.
Kinematic viscosity at -20 [deg]C, mm\2\/s: 2.5-6.5.

[62 FR 25366, May 8, 1997]



Sec. 87.62  Test procedure (propulsion engines).

    (a)(1) The engine shall be tested in each of the following engine 
operating modes which simulate aircraft operation to determine its mass 
emission rates. The actual power setting, when corrected to standard day 
conditions, should correspond to the following percentages of rated 
output. Analytical correction for variations from reference day 
conditions and minor variations in actual power setting should be 
specified and/or approved by the Secretary:

------------------------------------------------------------------------
                                                         Class
                                              --------------------------
                     Mode                               TF, T3,
                                                  TP       T8      TSS
------------------------------------------------------------------------
Taxi/idle....................................   (\1\ )   (\1\ )   (\1\ )
Takeoff......................................      100      100      100
Climbout.....................................       90       85       65
Descent......................................       NA       NA       15
Approach.....................................       30       30       34
------------------------------------------------------------------------
\1\ See paragraph (a)(2) of this section.

    (2) The taxi/idle operating modes shall be carried out at a power 
setting of 7% rated thrust unless the Secretary determines that the 
unique characteristics of an engine model undergoing certification 
testing at 7% would result in substantially different HC and CO 
emissions than if the engine model were tested at the manufacturers 
recommended idle power setting. In such cases the Secretary shall 
specify an alternative test condition.
    (3) The times in mode (TIM) shall be as specified below:

[[Page 11]]



------------------------------------------------------------------------
                                                         Class
                                              --------------------------
                     Mode                                TF, T3
                                                  TP     or T8     TSS
------------------------------------------------------------------------
Taxi/idle (minutes)..........................     26.0     26.0     26.0
Takeoff......................................      0.5      0.7      1.2
Climbout.....................................      2.5      2.2      2.0
Descent......................................      N/A      N/A      1.2
Approach.....................................      4.5      4.0      2.3
------------------------------------------------------------------------

    (b) Emissions testing shall be conducted on warmed-up engines which 
have achieved a steady operating temperature.

[47 FR 58470, Dec. 30, 1982, as amended at 62 FR 25366, May 8, 1997]



Sec. 87.63  [Reserved]



Sec. 87.64  Sampling and analytical procedures for measuring gaseous 
exhaust emissions.

    The system and procedures for sampling and measurement of gaseous 
emissions shall be as specified by Appendices 3 and 5 to International 
Civil Aviation Organization (ICAO) Annex 16, Environmental Protection, 
Volume II, Aircraft Engine Emissions, Second Edition, July 1993, which 
are incorporated herein by reference. This incorporation by reference 
was approved by the Director of the Federal Register in accordance with 
5 U.S.C. 552(a) and 1 CFR part 51. These materials are incorporated as 
they exist on the date of the approval and a notice of any change in 
these materials will be published in the Federal Register. Frequent 
changes are not anticipated. Copies may be inspected at U.S. EPA, OAR, 
401 M St., SW., Washington, DC 20460, or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.Copies of this document can be obtained from the 
International Civil Aviation Organization (ICAO), Document Sales Unit, 
P.O. Box 400, Succursale: Place de L'Aviation Internationale, 1000 
Sherbrooke Street West, Suite 400, Montreal, Quebec, Canada H3A 2R2.

[62 FR 25366, May 8, 1997]



Sec. Sec. 87.65-87.70  [Reserved]



Sec. 87.71  Compliance with gaseous emission standards.

    Compliance with each gaseous emission standard by an aircraft engine 
shall be determined by comparing the pollutant level in grams/
kilonewton/thrust/cycle or grams/kilowatt/cycle as calculated in Sec. 
87.64 with the applicable emission standard under this part. An 
acceptable alternative to testing every engine is described in Appendix 
6 to International Civil Aviation Organization (ICAO) Annex 16, 
Environmental Protection, Volume II, Aircraft Engine Emissions, Second 
Edition, July 1993, which is incorporated herein by reference. This 
incorporation by reference was approved by the Director of the Federal 
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. These 
materials are incorporated as they exist on the date of the approval and 
a notice of any change in these materials will be published in the 
Federal Register. Frequent changes are not anticipated. Copies may be 
inspected at U.S. EPA, OAR, 401 M St., SW., Washington, DC 20460, or at 
the National Archives and Records Administration (NARA). For information 
on the availability of this material at NARA, call 202-741-6030, or go 
to: http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html.Copies of this document can be obtained 
from the International Civil Aviation Organization (ICAO), Document 
Sales Unit, P.O. Box 400, Succursale: Place de L'Aviation 
Internationale, 1000 Sherbrooke Street West, Suite 400, Montreal, 
Quebec, Canada H3A 2R2. Other methods of demonstrating compliance may be 
approved by the Secretary with the concurrence of the Administrator.

[62 FR 25366, May 8, 1997]



   Subpart H_Test Procedures for Engine Smoke Emissions (Aircraft Gas 
                            Turbine Engines)



Sec. 87.80  Introduction.

    Except as provided under Sec. 87.5, the procedures described in this 
subpart shall be the test program to determine the conformity of new and 
in-use gas

[[Page 12]]

turbine engines with the applicable standards set forth in this part. 
The test is essentially the same as that described in Sec. Sec. 87.60 
through 87.62, except that the test is designed to determine the smoke 
emission level at various operating points representative of engine 
usage in aircraft. Other smoke measurement systems may be used if shown 
to yield equivalent results and if approved in advance by the 
Administrator or the Secretary.



Sec. 87.81  Fuel specifications.

    Fuel having specifications as provided in Sec. 87.61 shall be used 
in smoke emission testing.



Sec. 87.82  Sampling and analytical procedures for measuring smoke 
exhaust emissions.

    The system and procedures for sampling and measurement of smoke 
emissions shall be as specified by Appendix 2 to International Civil 
Aviation Organization (ICAO) Annex 16, Volume II, Environmental 
Protection, Aircraft Engine Emissions, Second Edition, July 1993, which 
are incorporated herein by reference. This incorporation by reference 
was approved by the Director of the Federal Register in accordance with 
5 U.S.C. 552(a) and 1 CFR part 51. These materials are incorporated as 
they exist on the date of the approval and a notice of any change in 
these materials will be published in the Federal Register. Frequent 
changes are not anticipated. Copies may be inspected at U.S. EPA, OAR, 
401 M St., SW., Washington, DC 20460, or at the National Archives and 
Records Administration (NARA). For information on the availability of 
this material at NARA, call 202-741-6030, or go to: http://
www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.Copies of this document can be obtained from the 
International Civil Aviation Organization (ICAO), Document Sales Unit, 
P.O. Box 400, Succursale: Place de L'Aviation Internationale, 1000 
Sherbrooke Street West, Suite 400, Montreal, Quebec, Canada H3A 2R2.

[62 FR 25366, May 8, 1997]



Sec. Sec. 87.83-87.88  [Reserved]



Sec. 87.89  Compliance with smoke emission standards.

    Compliance with each smoke emission standard shall be determined by 
comparing the plot of SN as a function of power setting with the 
applicable emission standard under this part. The SN at every power 
setting must be such that there is a high degree of confidence that the 
standard will not be exceeded by any engine of the model being tested. 
An acceptable alternative to testing every engine is described in 
Appendix 6 to International Civil Aviation Organization (ICAO) Annex 16, 
Environmental Protection, Volume II, Aircraft Engine Emissions, Second 
Edition, July 1993, which is incorporated herein by reference. This 
incorporation by reference was approved by the Director of the Federal 
Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 51. These 
materials are incorporated as they exist on the date of the approval and 
a notice of any change in these materials will be published in the 
Federal Register. Frequent changes are not anticipated. Copies may be 
inspected at U.S. EPA, OAR, 401 M St., SW., Washington, DC 20460, or at 
the National Archives and Records Administration (NARA). For information 
on the availability of this material at NARA, call 202-741-6030, or go 
to: http://www.archives.gov/federal--register/code--of--federal--
regulations/ibr--locations.html.Copies of this document can be obtained 
from the International Civil Aviation Organization (ICAO), Document 
Sales Unit, P.O. Box 400, Succursale: Place de L'Aviation 
Internationale, 1000 Sherbrooke Street West, Suite 400, Montreal, 
Quebec, Canada H3A 2R2.

[62 FR 25366, May 8, 1997]



PART 88_CLEAN-FUEL VEHICLES--Table of Contents




          Subpart A_Emission Standards for Clean-Fuel Vehicles

Sec.
88.101-94 General applicability.
88.102-94 Definitions.
88.103-94 Abbreviations.
88.104-94 Clean-fuel vehicle tailpipe emission standards for light-duty 
          vehicles and light-duty trucks.

[[Page 13]]

88.105-94 Clean-fuel fleet emission standards for heavy-duty engines.

                 Subpart B_California Pilot Test Program

88.201-94 Scope.
88.202-94 Definitions.
88.203-94 Abbreviations.
88.204-94 Sales requirements for the California Pilot Test Program.
88.205-94 California Pilot Test Program Credits Program.
88.206-94 State opt-in for the California Pilot Test Program.

Tables to Subpart B of Part 88

                   Subpart C_Clean-Fuel Fleet Program

88.301-93 General applicability.
88.302-93 Definitions.
88.302-94 Definitions.
88.303-93 Abbreviations.
88.304-94 Clean-fuel Fleet Vehicle Credit Program.
88.305-94 Clean-fuel fleet vehicle labeling requirements for heavy-duty 
          vehicles.
88.306-94 Requirements for a converted vehicle to qualify as a clean-
          fuel fleet vehicle.
88.307-94 Exemption from temporal transporation control measures for 
          CFFVs.
88.308-94 Programmatic requirements for clean-fuel fleet vehicles.
88.309 [Reserved]
88.310-94 Applicability to covered Federal fleets.
88.311-93 Emissions standards for Inherently Low-Emission Vehicles.
88.311-98 Emissions standards for Inherently Low-Emission Vehicles.
88.312-93 Inherently Low-Emission Vehicle labeling.
88.313-93 Incentives for the purchase of Inherently Low-Emission 
          Vehicles.

Tables to Subpart C of Part 88

    Authority: 42 U.S.C. 7410, 7418, 7581, 7582, 7583, 7584, 7586, 7588, 
7589, 7601(a).

    Source: 57 FR 60046, Dec. 17, 1992, unless otherwise noted.



          Subpart A_Emission Standards for Clean-Fuel Vehicles



Sec. 88.101-94  General applicability.

    The clean-fuel vehicle standards and provisions of this subpart are 
applicable to vehicles used in subpart B of this part (the Clean Fuel 
Fleet Program) and subpart C of this part (the California Pilot Test 
Program).

[59 FR 50074, Sept. 30, 1994]



Sec. 88.102-94  Definitions.

    Any terms defined in 40 CFR part 86 and not defined in this part 
shall have the meaning given them in 40 CFR part 86, subpart A.
    Adjusted Loaded Vehicle Weight is defined as the numerical average 
of the vehicle curb weight and the GVWR.
    Dual Fuel Vehicle (or Engine) means any motor vehicle (or motor 
vehicle engine) engineered and designed to be operated on two different 
fuels, but not on a mixture of the fuels.
    Flexible Fuel Vehicle (or Engine) means any motor vehicle (or motor 
vehicle engine) engineered and designed to be operated on any mixture of 
two or more different fuels.
    Heavy Light-Duty Truck means any light-duty truck rated greater than 
6000 lbs. GVWR.
    Light Light-Duty Truck means any light-duty truck rated through 6000 
lbs GVWR.
    Loaded Vehicle Weight is defined as the curb weight plus 300 lbs.
    Low-Emission Vehicle means any light-duty vehicle or light-duty 
truck conforming to the applicable Low-Emission Vehicle standard, or any 
heavy-duty vehicle with an engine conforming to the applicable Low-
Emission Vehicle standard.
    Non-methane Hydrocarbon Equivalent means the sum of the carbon mass 
emissions of non-oxygenated non-methane hydrocarbons plus the carbon 
mass emissions of alcohols, aldehydes, or other organic compounds which 
are separately measured in accordance with the applicable test 
procedures of 40 CFR part 86, expressed as gasoline-fueled vehicle non-
methane hydrocarbons. In the case of exhaust emissions, the hydrogen-to-
carbon ratio of the equivalent hydrocarbon is 1.85:1. In the case of 
diurnal and hot soak emissions, the hydrogen-to-carbon ratios of the 
equivalent hydrocarbons are 2.33:1 and 2.2:1 respectively.
    Non-methane Organic Gas is defined as in section 241(3) Clean Air 
Act as amended (42 U.S.C. 7581(3)).
    Test Weight is defined as the average of the curb weight and the 
GVWR.
    Transitional Low-Emission Vehicle means any light-duty vehicle or 
light-

[[Page 14]]

duty truck conforming to the applicable Transitional Low-Emission 
Vehicle standard.
    Ultra Low-Emission Vehicle means any light-duty vehicle or light-
duty truck conforming to the applicable Ultra Low-Emission Vehicle 
standard, or any heavy-duty vehicle with an engine conforming to the 
applicable Ultra Low-Emission Vehicle standard.
    Zero-Emission Vehicle means any light-duty vehicle or light-
dutytruck conforming to the applicable Zero-Emission Vehicle standard, 
or any heavy-duty vehicle conforming to the applicable Zero-Emission 
Vehicle standard.

[57 FR 60046, Dec. 17, 1992. Redesignated and amended at 59 FR 50074, 
Sept. 30, 1994]



Sec. 88.103-94  Abbreviations.

    The abbreviations of part 86 also apply to this subpart. The 
abbreviations in this section apply to all of part 88.

ALVW--Adjusted Loaded Vehicle Weight
CO--Carbon Monoxide
HCHO--Formaldehyde
HC--Hydrocarbon
HDV--Heavy-Duty Vehicle
LDT--Light-Duty Truck
LDV--Light-Duty Vehicle
NMHC--Non-Methane Hydrocarbon
NMHCE--Non-Methane Hydrocarbon Equivalent
NMOG--Non-Methane Organic Gas
NOx--Nitrogen Oxides
PM--Particulate Matter
GVWR--Gross Vehicle Weight Rating
LVW--Loaded Vehicle Weight
TW--Test Weight
TLEV--Transitional Low-Emission Vehicle
LEV--Low-Emission Vehicle
ULEV--Ultra Low-Emission Vehicle
ZEV--Zero-Emission Vehicle

[57 FR 60046, Dec. 17, 1992. Redesignated and amended at 59 FR 50074, 
Sept. 30, 1994]



Sec. 88.104-94  Clean-fuel vehicle tailpipe emission standards for 
light-duty vehicles and light-duty trucks.

    (a) A light-duty vehicle or light-duty truck will be considered as a 
TLEV, LEV, ULEV, or ZEV if it meets the applicable requirements of this 
section.
    (b) Light-duty vehicles certified to the exhaust emission standards 
for TLEVs, LEVs, and ULEVs in Tables A104-1 and A104-2 shall be 
considered as meeting the requirements of this section for that 
particular vehicle emission category for model years 1994-2000 for the 
California Pilot Program.
    (c) Light-duty vehicles certified to the exhaust emission standards 
for LEVs and ULEVs in Tables A104-1 and A104-2 shall be considered as 
meeting the requirements of this section for that particular vehicle 
emission category for model years 2001 and later for the California 
Pilot Program, and for model years 1998 and later for the Clean Fuel 
Fleet Program.
    (d) Light light-duty trucks certified to the exhaust emission 
standards for a specific weight category for TLEVs, LEVs, and ULEVs in 
Tables A104-3 and A104-4 shall be considered as meeting the requirements 
of this section for that particular vehicle emission category. For model 
years 1994-2000 for the California Pilot Program.
    (e) Light Light-duty trucks certified to the exhaust emission 
standards for a specific weight category for LEVs and ULEVs in Tables 
A104-3 and A104-4 shall be considered as meeting the requirements of 
this section for that particular vehicle emission category. For model 
years 2001 and later for the California Pilot Program, and for model 
years 1998 and later for the Clean Fuel Fleet Program.
    (f) Heavy light-duty trucks certified to the exhaust emission 
standards for a specific weight category of LEVs and ULEVs in Tables 
A104-5 and A104-6 for model years 1998 and later shall be considered as 
meeting the requirements of this section for that particular vehicle 
emission category.
    (g) A light-duty vehicle or light-duty truck shall be certified as a 
ZEV if it is determined by engineering analysis that the vehicle 
satisfies the following conditions:
    (1) The vehicle fuel system(s) must not contain either carbon or 
nitrogen compounds (including air) which, when burned, form any of the 
pollutants listed in Table A104-1 as exhaust emissions.
    (2) All primary and auxiliary equipment and engines must have no 
emissions of any of the pollutants listed in Table A104-1.
    (3) The vehicle fuel system(s) and any auxiliary engine(s) must have 
no evaporative emissions in use.

[[Page 15]]

    (4) Any auxiliary heater must not operate at ambient temperatures 
above 40 degrees Fahrenheit.
    (h) NMOG standards for flexible- and dual-fueled vehicles when 
operating on clean alternative fuel--(1) Light-duty vehicles, and light 
light-duty trucks. Flexible- and dual-fueled LDVs and light LDTs of 1996 
model year and later shall meet all standards in Table A104-7 for 
vehicles of the applicable model year, loaded vehicle weight, and 
vehicle emission category.
    (2) Light-duty trucks above 6,000 lbs GVWR. Flexible- and dual-
fueled LDTs above 6,000 lbs. GVWR of 1998 model year and later shall 
meet all standards in Table A104-8 for vehicles of the applicable test 
weight and vehicle emission category.
    (i) NMOG standards for flexible- and dual-fueled vehicles when 
operating on conventional fuel--(1) Light-duty vehicles, and light 
light-duty trucks. Flexible- and dual-fueled LDVs and light LDTs of 1996 
model year and later shall meet all standards in Table A104-9 for 
vehicles of the applicable model year, loaded vehicle weight, and 
vehicle emission category.
    (2) Light-duty trucks above 6,000 lbs GVWR. Flexible- and dual-
fueled LDTs of 1998 model year and later shall meet all standards in 
Table A104-10 for vehicles of the applicable test weight and vehicle 
emission category.
    (j) Other standards for flexible- and dual-fueled vehicles. When 
operating on clean alternative fuel, flexible- and dual- fueled light-
duty vehicles and light light-duty trucks must also meet the appropriate 
standards for carbon monoxide, oxides of nitrogen, formaldehyde, and 
particulate matter as designated in paragraphs (a) through (f) of this 
section as well as all other applicable standards and requirements. When 
operating on conventional fuel, flexible- and dual-fueled vehicles must 
also meet all other applicable standards and requirements in 40 CFR part 
86.
    (k) Motor vehicles subject to standards and requirements of this 
section shall also comply with all applicable standards and requirements 
of 40 CFR part 86, except that any exhaust emission standards in 40 CFR 
part 86 pertaining to pollutants for which standards are established in 
this section shall not apply. For converted vehicles, the applicable 
standards and requirements of 40 CFR part 86 and this part 88 shall 
apply based on the model year in which the conversion is performed, 
regardless of the model year in which the base vehicle was originally 
manufactured prior to conversion.
    (1) Gaseous-fueled, diesel-fueled, and electric clean-fuel vehicles 
are waived from cold CO test requirements of subpart C of this part if 
compliance is demonstrated by engineering analysis or test data.
    (2) The standards in this section shall be administered and enforced 
in accordance with the California Regulatory Requirements Applicable to 
the Clean Fuel Fleet and California Pilot Programs, April 1, 1994, which 
are incorporated by reference.
    (i) This incorporation by reference was approved by the Director of 
the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFR part 
51.
    (ii) Copies may be inspected at U.S. EPA, OAR, 401 M St., SW., 
Washington, DC 20460, or at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--
locations.html.Copies of these materials may be obtained from Barclay's 
Law Publishers, 400 Oyster Point Boulevard, P.O. Box 3066, South San 
Francisco, CA 94080, phone (415) 244-6611.

                        Tables to Sec. 88.104-94

 Table A104-1--Intermediate Useful Life Standards (g/mi) for Light-Duty Vehicles for HCs, CO, NOX. HCHO, and PM
----------------------------------------------------------------------------------------------------------------
                  Vehicle emission category          NMOG          CO          NOX          HCHO         PM 1
----------------------------------------------------------------------------------------------------------------
             TLEV..............................        0.125          3.4          0.4        0.015  ...........
             LEV...............................     \2\ .075      \2\ 3.4           .2     \2\ .015  ...........

[[Page 16]]

 
             ULEV..............................         .040          1.7       \2\ .2         .008  ...........
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.


     Table A104-2--Full Useful Life Standards (g/mi) for Light-Duty Vehicles for HCs, CO, NOX. HCHO, and PM
----------------------------------------------------------------------------------------------------------------
                  Vehicle emission category          NMOG          CO          NOX          HCHO         PM 1
----------------------------------------------------------------------------------------------------------------
             TLEV..............................        0.156          4.2          0.6        0.018         0.08
             LEV...............................    \2\ 0.090      \2\ 4.2           .3     \2\ .018      \2\ .08
             ULEV..............................         .055          2.1       \2\ .3         .011          .04
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.


 Table A104-3--Intermediate Useful Life Standards (g/mi) for Light Light-Duty Trucks for HCs, CO, NOX. HCHO, and
                                                       PM
----------------------------------------------------------------------------------------------------------------
                            Vehicle emission
       LVW (lbs)                category             NMOG          CO          NOX          HCHO         PM 1
----------------------------------------------------------------------------------------------------------------
0-3750.................  TLEV..................         .125          3.4           .4         .015  ...........
                         LEV...................     \2\ .075      \2\ 3.4           .2     \2\ .015  ...........
                         ULEV..................         .040          1.7       \2\ .2         .008  ...........
3751-5750..............  TLEV..................        0.160          4.4           .7         .018  ...........
                         LEV...................     \2\ .100      \2\ 4.4           .4     \2\ .018  ...........
                         ULEV..................         .050          2.2       \2\ .4         .009  ...........
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.


   Table A104-4--Full Useful Life Standards (g/mi) for Light Light-Duty Trucks for HCs, CO, NOX. HCHO, and PM
----------------------------------------------------------------------------------------------------------------
                            Vehicle emission
       LVW (lbs)                category             NMOG          CO          NOX          HCHO        PM\1\
----------------------------------------------------------------------------------------------------------------
0-3750.................  TLEV..................        0.156          4.2          0.6        0.018         0.08
                         LEV...................    \2\ 0.090      \2\ 4.2          0.3      \2\.018       \2\.08
                         ULEV..................         .055          2.1        \2\.3         .011          .04
3751-5750..............  TLEV..................         .200          5.5           .9         .023          .08
                         LEV...................      \2\.130       \2\5.5           .5      \2\.023       \2\.08
                         ULEV..................         .070          2.8        \2\.5         .013          .04
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.


 Table A104-5--Intermediate Useful Life Standards (g/mi) for Heavy Light-Duty Trucks for HCs, CO, NOX. HCHO, and
                                                       PM
----------------------------------------------------------------------------------------------------------------
                            Vehicle emission
       ALVW (lbs)               category             NMOG          CO         NOX\2\        HCHO        PM\1\
----------------------------------------------------------------------------------------------------------------
0-3750.................  LEV...................    \3\ 0.125      \3\ 3.4          0.4    \3\ 0.015
                         ULEV..................         .075          1.7        \3\.2         .008
3751-5750..............  LEV...................      \3\.160      \3\ 4.4           .7      \3\.018
                         ULEV..................         .100          2.2        \3\.4         .009
5751-..................  LEV...................      \3\.195      \3\ 5.0          1.1      \3\.022
                         ULEV..................         .117          2.5        \3\.6         .011
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Does not apply to diesel vehicles.
\3\ Applies to ILEVs.


   Table A104-6--Full Useful Life Standards (g/mi) for Heavy Light-Duty Trucks for HCs, CO, NOX. HCHO, and PM
----------------------------------------------------------------------------------------------------------------
                            Vehicle emission
       ALVW (lbs)               category             NMOG          CO          NOX          HCHO        PM\1\
----------------------------------------------------------------------------------------------------------------
0-3750.................  LEV...................    \2\ 0.180      \2\ 5.0          0.6    \2\ 0.022     \2\ 0.08
                         ULEV..................         .107          2.5        \2\.3         .012          .04
3751-5750..............  LEV...................      \2\.230      \2\ 6.4          1.0      \2\.027       \2\.10

[[Page 17]]

 
                         ULEV..................         .143          3.2        \2\.5         .013          .05
5751-..................  LEV...................      \2\.280      \2\ 7.3          1.5      \2\.032       \2\.12
                         ULEV..................         .167          3.7        \2\.8         .016          .06
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.


    Table A104-7--NMOG Standards (g/mi) for Flexible- and Dual-Fueled
 Vehicles When Operating on Clean Alternative Fuel for Light Light-Duty
                     Trucks and Light-Duty Vehicles
------------------------------------------------------------------------
                                                50,000 mile    100,000
                 Vehicle type                       NMOG      mile NMOG
                                                  standard     standard
------------------------------------------------------------------------
MY 1996 and later:
    LDTs (0-3,750 lbs. LVW) and LDVs..........        0.125        0.156
    LDTs (3,751-5,750 lbs. LVW)...............         .160         .200
Beginning MY 2001:
    LDTs (0-3,750 lbs. LVW) and LDVs..........         .075         .090
    LDTs (3,751-5,750 lbs. LVW)...............         .100         .130
------------------------------------------------------------------------


    Table A104-8--NMOG Standards (g/mi) for Flexible- and Dual-Fueled
 Vehicles When Operating on Clean Alternative Fuel for Heavy Light-Duty
                                 Trucks
------------------------------------------------------------------------
                                                50,000 mile    120,000
                 Vehicle type                       NMOG      mile NMOG
                                                  standard     standard
------------------------------------------------------------------------
Beginning MY 1998:
    LDTs (0-3,750 lbs. ALVW)..................        0.125        0.180
    LDTs (3,751-5,750 lbs. ALVW)..............         .160         .230
    LDTs (5,751-8,500 lbs. ALVW)..............         .195         .280
------------------------------------------------------------------------


    Table A104-9--NMOG Standards (g/mi) for Flexible- and Dual-Fueled
Vehicles When Operating on Conventional Fuel for Light Light-Duty Trucks
                         and Light-Duty Vehicles
------------------------------------------------------------------------
                                                50,000 mile    100,000
                 Vehicle type                       NMOG      mile NMOG
                                                  standard     standard
------------------------------------------------------------------------
Beginning MY 1996:
    LDTs (0-3,750 lbs. LVW) and LDVs..........         0.25         0.31
    LDTs (3,751-5,750 lbs. LVW)...............          .32          .40
Beginning MY 2001:
    LDTs (0-3,750 lbs. LVW) and LDVs..........         .125         .156
    LDTs (3,751-5,750 lbs. LVW)...............         .160         .200
------------------------------------------------------------------------


   Table A104-10--NMOG Standards (g/mi) for Flexible- and Dual-Fueled
Vehicles When Operating on Conventional Fuel for Light Light-Duty Trucks
------------------------------------------------------------------------
                                                50,000 mile    120,000
                 Vehicle type                       NMOG      mile NMOG
                                                  standard     standard
------------------------------------------------------------------------
Beginning MY 1998:
    LDTs (0-3,750 lbs. ALVW)..................         0.25         0.36
    LDTs (3,751-5,750 lbs. ALVW)..............          .32          .46
    LDTs (5,751-8,500 lbs. ALVW)..............          .39          .56
------------------------------------------------------------------------


[59 FR 50074, Sept. 30, 1994, as amended at 61 FR 127, Jan. 3, 1996]

[[Page 18]]



Sec. 88.105-94  Clean-fuel fleet emission standards for heavy-duty 
engines.

    (a) Exhaust emissions from engines used in heavy-duty low emission 
vehicles shall meet one of the following standards:
    (1) Combined emissions of oxides of nitrogen and nonmethane 
hydrocarbons (or nonmethane hydrocarbon equivalent) shall not exceed 3.8 
grams per brake horsepower-hour.
    (2) Combined emissions of oxides of nitrogen and nonmethane 
hydrocarbons (or nonmethane hydrocarbon equivalent) shall not exceed 3.5 
grams per brake horsepower-hour when tested (certified) on fuel meeting 
the specifications of California certification fuel.
    (b) Exhaust emissions from engines used in heavy-duty low emission 
vehicles shall meet conventional vehicle standards set forth in Part 86 
for total hydrocarbon, carbon monoxide, particulate, and organic 
material hydrocarbon equivalent.
    (c) Exhaust emissions from engines used in ultra-low emission heavy-
duty vehicles shall meet each of the following standards:
    (1) The combined emissions of oxides of nitrogen and nonmethane 
hydrocarbons (or nonmethane hydrocarbon equivalent) shall not exceed 2.5 
grams per brake horsepower-hour.
    (2) Carbon monoxide emissions shall not exceed 7.2 grams per brake 
horsepower-hour.
    (3) Particulate emissions shall not exceed 0.05 grams per brake 
horsepower-hour.
    (4) Formaldehyde emissions shall not exceed 0.025 grams per brake 
horsepower-hour.
    (d) Exhaust emissions from engines used in inherently-low emission 
heavy-duty vehicles shall meet each of the following standards:
    (1) The combined emissions of oxides of nitrogen and nonmethane 
hydrocarbons (or nonmethane hydrocarbon equivalent) shall not exceed 2.5 
grams per brake horsepower-hour.
    (2) Carbon monoxide emissions shall not exceed 14.4 grams per brake 
horsepower-hour.
    (3) Particulate emissions shall not exceed 0.10 grams per brake 
horsepower-hour.
    (4) Formaldehyde emissions shall not exceed 0.05 grams per brake 
horsepower-hour.
    (e) The standards set forth in paragraphs (a), (b), (c), and (d) of 
this section refer to the exhaust emitted while the vehicle is being 
tested in accordance with the applicable test procedures set forth in 40 
CFR part 86, subpart N.
    (f)(1) A heavy-duty zero-emission vehicle (ZEV) has a standard of 
zero emissions for nonmethane hydrocarbons, oxides of nitrogen, carbon 
monoxide, formaldehyde, and particulates.
    (2) A heavy-duty vehicle shall be certified as a ZEV if it is 
determined by engineering analysis that the vehicle satisfies the 
following conditions:
    (i) The vehicle fuel system(s) must not contain either carbon or 
nitrogen compounds (including air) which, when burned, form nonmethane 
hydrocarbons, oxides of nitrogen, carbon monoxide, formaldehyde, or 
particulates as exhaust emissions.
    (ii) All primary and auxiliary equipment and engines must have no 
emissions of nonmethane hydrocarbons, oxides of nitrogen, carbon 
monoxide, formaldehyde, and particulates.
    (iii) The vehicle fuel system(s) and any auxiliary engine(s) must 
have no evaporative emissions.
    (iv) Any auxiliary heater must not operate at ambient temperatures 
above 40 degrees Fahrenheit.
    (g) All heavy-duty engines used in low emission, ultra-low emission, 
or zero emission vehicles shall also comply with all applicable 
standards and requirements of 40 CFR part 86, except that any exhaust 
emission standards in 40 CFR part 86 pertaining to pollutants for which 
standards are established in this section shall not apply.

[59 FR 50077, Sept. 30, 1994]



                 Subpart B_California Pilot Test Program



Sec. 88.201-94  Scope.

    Applicability. The requirements of this subpart shall apply to the 
following:
    (a) State Implementation Plan revisions for the State of California 
and

[[Page 19]]

other states pursuant to compliance with section 249 of the Clean Air 
Act, as amended in 1990.
    (b) Vehicle manufacturers with sales in the State of California.

[57 FR 60046, Dec. 17, 1992, as amended at 59 FR 50077, Sept. 30, 1994]



Sec. 88.202-94  Definitions.

    (a) The definitions in subpart A also apply to this subpart.
    (b) The definitions in this subpart shall apply beginning with the 
1992 model year.
    Averaging for clean-fuel vehicles means the sale of clean-fuel 
vehicles that meet more stringent standards than required, which allows 
the manufacturer to sell fewer clean-fuel vehicles than would otherwise 
be required.
    Banking means the retention of credits, by the manufacturer 
generating the emissions credits, for use in future model-year 
certification as permitted by regulation.
    Sales means vehicles that are produced, sold, and distributed (in 
accordance with normal business practices and applicable franchise 
agreements) in the State of California, including owners of covered 
fleets under subpart C of part 86 of this chapter. The manufacturer can 
choose at their option from one of the following three methods for 
determining sales:
    (i) Sales is defined as sales to the ultimate purchaser.
    (ii) Sales is defined as vehicle sales by a manufacturer to a 
dealer, distributer, fleet operator, broker, or any other entity which 
comprises the first point of sale.
    (iii) Sales is defined as equivalent to the production of vehicles 
for the state of California. This option can be revoked if it is 
determined that the production and actual sales numbers do not exhibit a 
functional equivalence per the language of Sec. 86.708-94(b)(1) of this 
chapter.
    Trading means the exchange of credits between manufacturers.



Sec. 88.203-94  Abbreviations.

    The abbreviations in subpart A of this part and in 40 CFR part 86 
apply to this subpart.



Sec. 88.204-94  Sales requirements for the California Pilot Test Program.

    (a) The total annual required minimum sales volume of new clean fuel 
vehicles in California for this program shall correspond to Table B204.
    (b) (1) When manufacturers of vehicles subject to the regulations of 
this section file a report pursuant to 40 CFR 86.085-37(b), such report 
shall include the following information: the number of light-duty 
vehicles and light-duty trucks sold only in California, and the number 
of clean-fuel vehicles sold for the Pilot program beginning with model 
year 1996.
    (2) For model years 1996 and 1997, manufacturers may exclude heavy 
light-duty trucks from the reporting required by this section.
    (c) (1) Except as provided in paragraph (d) of this section, each 
vehicle manufacturer must sell clean-fuel vehicles in California in an 
amount equal to the required annual sales volume calculated in paragraph 
(c)(2) of this section.
    (2) The required annual clean fuel vehicle sales volume for a given 
manufacturer is expressed in the following equation rounded to the 
nearest whole number:
[GRAPHIC] [TIFF OMITTED] TR03JA96.003

Where:

RMS = a manufacturer's required sales in a given model year.
MS = the average of a manufacturer's total LDV and light LDT sales in 
California three and four model years earlier than year in question (for 
MY 1996 and 1997 RMS calculations).
 = the average of a manufacturer's total LDV and LDT sales in California 
three and four model years earlier than year in question (for MY 1998 
and later RMS calculations).
TS = the average of total LDV and light LDT sales in California of all 
manufacturers three and four model years earlier than the year in 
question (for MY 1996 and 1997 RMS calculations). Sales of manufacturers 
which meet the criteria of (d) of this paragraph will not be included.
 = the average of total LDV and LDT sales in California of all 
manufacturers three and four model years earlier than the year in 
question (for MY 1998 and later RMS calculations). Sales of 
manufacturers which

[[Page 20]]

meet the criteria of (d) of this paragraph will not be included.
TCPPS = Pilot program annual CFV sales requirement (either 150,000 or 
300,000) for the model year in question.

    (i) A manufacturer's share of required annual sales for model years 
1996 and 1997 will be based on LDV and light LDT sales only. Once the 
heavy LDT standards are effective beginning with model year 1998, a 
manufacturer's required sales share will be based on all LDV and LDT 
sales.
    (ii) A manufacturer certifying for the first time in California 
shall calculate annual required sales share based on projected 
California sales for the model year in question. In the second year, the 
manufacturer shall use actual sales from the previous year. In the third 
year, the manufacturer will use sales from two model years prior to the 
year in question. In the fourth year, the manufacturer will use sales 
from three years prior to the year in question. In the fifth year and 
subsequent years, the manufacturer will use average sales from three and 
four years prior to the year in question.
    (d) (1) Small volume manufacturer is defined in the Pilot program as 
one whose average annual LDV and LDT sales in California are less than 
or equal to 3,000 units during a consecutive three-year period beginning 
no earlier than model year 1993.
    (i) A manufacturer with less than three consecutive years of sales 
in California shall use a single year of sales or, if available, the 
average of two years of sales in California to determine whether they 
fall at or below the threshold of 3,000 units.
    (ii) A manufacturer certifying for the first time in California 
shall be considered a small volume manufacturer if their projected 
California sales level is at or below 3,000 units for a given year. Once 
the manufacturer has actual sales data for one year, this actual sales 
data shall be used to determine whether the manufacturer qualifies as a 
small volume manufacturer.
    (iii) A manufacturer which does not qualify as a small volume 
manufacturer in model year 1996 but whose average annual LDV and LDT 
sales fall to or below the 3,000 unit threshold between 1996 and 2001 
shall be treated as a small volume manufacturer and shall be subject to 
requirements for small volume manufacturers as specified in paragraph 
(d)(2) of this section beginning with the next model year.
    (2) A manufacturer which qualifies as a small volume manufacturer 
prior to model year 2001 is not required to comply with the sales 
requirements of this section until model year 2001.

            Table B204--Pilot Program Vehicle Sales Schedule
------------------------------------------------------------------------
                                                                Required
             Model years                   Vehicle types         annual
                                                                 sales
------------------------------------------------------------------------
1996 and 1997.......................  LDTs (< 6000 GVWR and      150,000
                                       <=5750 LVW); and LDVs.
1998................................  All Applicable Vehicle     150,000
                                       Types.
1999+...............................  All Applicable Vehicle     300,000
                                       Types.
------------------------------------------------------------------------


[59 FR 50078, Sept. 30, 1994, as amended at 61 FR 127, Jan. 3, 1996]



Sec. 88.205-94  California Pilot Test Program Credits Program.

    (a) General. (1) The Administrator shall administer this credit 
program to enable vehicle manufacturers who are required to participate 
in the California Pilot Test Program to meet the clean-fuel vehicle 
sales requirements through the use of credits. Participation in this 
credit program is voluntary.
    (2) All credit-generating vehicles must meet the applicable emission 
standards and other requirements contained in subpart A of this part.
    (b) Credit generation. (1) Credits may be generated by any of the 
following means:
    (i) Sale of qualifying clean-fuel vehicles earlier than required. 
Manufacturers may earn these credits starting with the 1992 model year, 
contingent upon the requirements of paragraph (g) of this section.
    (ii) Sale of a greater number of qualifying clean-fuel vehicles than 
required.
    (iii) Sale of qualifying clean-fuel vehicles that meet more 
stringent emission standards than those required.
    (2) For light-duty vehicles and light-duty trucks, credit values 
shall be determined in accordance with the following:
    (i) For model-years through 2000, credit values shall be determined 
in accordance with table B-1 of this subpart.

[[Page 21]]

    (ii) For the 2001 and subsequent model-years, credit values shall be 
determined according to table B-2 of this subpart. The sale of light-
duty vehicles classified as Transitional Low-Emission Vehicles shall not 
receive credits starting in model year 2001.
    (iii) For the calculation of credits for the sale of more clean-fuel 
vehicles than required, the manufacturer shall designate which sold 
vehicles count toward compliance with the sales requirement. The 
remaining balance of vehicles will be considered as sold beyond the 
sales requirement for credit calculations.
    (3) Vehicles greater than 8500 lbs gvwr may not generate credits.
    (c) Credit use. (1) All credits generated in accordance with these 
provisions may be freely averaged, traded, or banked for later use. 
Credits may not be used to remedy any nonconformity determined by 
enforcement testing.
    (2) There is one averaging and trading group containing all light-
duty vehicles and light-duty trucks.
    (3) A vehicle manufacturer desiring to demonstrate full or partial 
compliance with the sales requirements by the redemption of credits, 
shall surrender sufficient credits, as established in this paragraph 
(c). In lieu of selling a clean-fuel vehicle, a manufacturer shall 
surrender credits equal to the credit value for the corresponding 
vehicle class and model year found in table B-1.3 or table B-2.3 of this 
subpart.
    (d) Participation in the credit program. (1) During certification, 
the manufacturer shall calculate the projected credits, if any, based on 
required sales projections.
    (2) Based on information from paragraph (d)(1) of this section, each 
manufacturer's certification application under this section must 
demonstrate:
    (i) That at the end of the model-year production, there is a net 
vehicle credit balance of zero or more with any credits obtained from 
averaging, trading, or banking.
    (ii) It is recommended but not required that the source of the 
credits to be used to comply with the minimum sales requirements be 
stated. All such reports should include all credits involved in 
averaging, trading, or banking.
    (3) During the model year, manufacturers must:
    (i) Monitor projected versus actual production to be certain that 
compliance with the sales requirement is achieved at the end of the 
model year.
    (ii) Provide the end of model year reports required under this 
subpart.
    (iii) Maintain the records required under this subpart.
    (4) Projected credits based on information supplied in the 
certification application may be used to obtain a certificate of 
conformity. However, any such credits may be revoked based on review of 
end-of-model year reports, follow-up audits, and any other verification 
steps deemed appropriate by the Administrator.
    (5) Compliance under averaging, banking, and trading will be 
determined at the end of the model year.
    (6) If EPA or the manufacturer determines that a reporting error 
occurred on an end-of-year report previously submitted to EPA under this 
section, the manufacturer's credits and credit calculations will be 
recalculated.
    (i) If EPA review of a manufacturer's end-of-year report indicates 
an inadvertent credit shortfall, the manufacturer will be permitted to 
purchase the necessary credits to bring the credit balance to zero.
    (ii) If within 90 days of receipt of the manufacturer's end-of-year 
report, EPA review determines a reporting error in the manufacturer's 
favor (i.e., resulting in a positive credit balance) or if the 
manufacturer discovers such an error within 90 days of EPA receipt of 
the end-of-year report, the credits will be restored for use by the 
manufacturer.
    (e) Averaging. Averaging will only be allowed between clean-fuel 
vehicles under 8500 lbs gvwr.
    (f) Banking. (1) Credit deposits. (i) Under this program, credits 
can be banked starting in the 1992 model year.
    (ii) A manufacturer may bank credits only after the end of the model 
year and after EPA has reviewed its end-of-year report. During the model 
year and before submittal of the end-of-year report, credits originally 
designated in the certification process for banking

[[Page 22]]

will be considered reserved and may be redesignated for trading or 
averaging.
    (2) Credit withdraws. (i) After being generated, banked/reserved 
credits shall be available for use and shall maintain their original 
value for an infinite period of time.
    (ii) A manufacturer withdrawing banked credits shall indicate so 
during certification and in its credit reports.
    (3) Banked credits may be used in averaging, trading, or in any 
combination thereof, during the certification period. Credits declared 
for banking from the previous model year but unreviewed by EPA may also 
be used. However, they may be revoked at a later time following EPA 
review of the end-of-year report or any subsequent audit actions.
    (g) Early credits. Beginning in model year 1992 appropriate credits, 
as determined from the given credit table, will be given for the sale of 
vehicles certified to the clean-fuel vehicle standards for TLEVs, LEVs, 
ULEVs, and ZEVs, where appropriate. For LDVs and light LDTs (<6000 lbs 
GVWR), early credits can be earned from model year 1992 to the beginning 
of the Pilot Program sales requirements in 1996. For heavy LDTs 
(6000 lbs GVWR), early credits can be earned from model years 
1992 through 1997. The actual calculation of early credits shall not 
begin until model year 1996.

[57 FR 60046, Dec. 17, 1992, as amended at 61 FR 127, Jan. 3, 1996]



Sec. 88.206-94  State opt-in for the California Pilot Test Program.

    (a) A state may opt into the Pilot program if it contains all or 
part of an ozone nonattainment area classified as serious, severe, or 
extreme under subpart D of Title I.
    (b) A state may opt into the program by submitting SIP revisions 
that meet the requirements of this section.
    (c) For a state that chooses to opt in, SIP provisions can not take 
effect until one year after the state has provided notice to of such 
provisions to motor vehicle manufacturers and fuel suppliers.
    (d) A state that chooses to opt into the program can not require a 
sales or production mandate for CFVs or clean alternative fuels. States 
may not subject fuel or vehicle suppliers to penalties or sanctions for 
failing to produce or sell CFVs or clean alternative fuels.
    (e) (1) A state's SIP may include incentives for the sale or use in 
such state of CFVs required in California by the Clean Fuel Fleet 
Program, and the use of clean alternative fuels required to be made 
available in California by the California Pilot Program.
    (2) Incentives may include:
    (i) A registration fee on non-CFVs of at least 1 percent of the 
total cost of the vehicle. These fees shall be used to:
    (A) Provide financial incentives to purchasers of CFVs and vehicle 
dealers who sell high volumes or high percentages of CFVs.
    (B) Defray administrative costs of the incentive program.
    (ii) Exemptions for CFVs from high occupancy vehicle or trip 
reduction requirements.
    (iii) Preferences for CFVs in the use of existing parking places.

[59 FR 50078, Sept. 30, 1994]

                     Tables to Subpart B of Part 88

      Table B-1--Credit Table for Phase I Vehicle Equivalents for Light-Duty Vehicles and Light-Duty Trucks
                 Table B-1.1--Credit Generation: Selling More Clean-Fuel Vehicles Than Required
                                  [Phase I: Effective Through 2000 Model-Year]
----------------------------------------------------------------------------------------------------------------
                                                                                  LDT  <=6000
                                      LDV & LDT     LDT  <=6000    LDT  <=6000   gvwr  3750 alvw    gvwr  3750 lvw    <=3750 alvw    <=5750 alvw      eq>5750 alvw
                                                     <=5750 lvw
----------------------------------------------------------------------------------------------------------------
TLEV...............................         1.00           1.28          (\1\)          (\1\)            (\1\)
LEV................................         1.40           1.76           1.00           1.28             1.56
ULEV...............................         1.68           2.16           1.40           1.76             2.18

[[Page 23]]

 
ZEV................................         2.00           2.56           2.00           2.56             3.12
----------------------------------------------------------------------------------------------------------------


                   Table B-1.2--Credit Generation: Selling More Stringent Clean Fuel Vehicles
----------------------------------------------------------------------------------------------------------------
                                                                                     LDT  6000 gvwr   LDT  <=6000
         Vehicle emission  category          <=6000 gvwr      gvwr         gvwr       <=3750 alvw        gvwr
                                              <=3750 lvw   <=3750 lvw  <=3750 alvw    <=5750 alvw    <=5750 alvw
                                                           <=5750 lvw
----------------------------------------------------------------------------------------------------------------
TLEV.......................................         0.00         0.00        (\1\)          (\1\)          (\1\)
LEV........................................          .40          .48         0.00           0.00           0.00
ULEV.......................................          .68          .88          .40            .48            .62
ZEV........................................         1.00         1.28         1.00           1.28           1.56
----------------------------------------------------------------------------------------------------------------


                        Table B-1.3--Credit Needed in Lieu of Selling Clean-Fuel Vehicle
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 gvwr    LDT  6000 gvwr   3750    eq>6000 gvwr
     Vehicle emission  category      <=6000 gvwr   <=3750 lvw    <=3750 alvw      alvw  <=5750   5750
                                      <=3750 lvw   <=5750 lvw                         alvw             alvw
 
----------------------------------------------------------------------------------------------------------------
TLEV...............................         1.00         1.28          (\1\)            (\1\)            (\1\)
LEV................................  ...........  ...........           1.00             1.28            1.56
----------------------------------------------------------------------------------------------------------------
\1\ There is no TLEV category for this vehicle class.


     Table B-2--Credit Table for Phase II: Vehicle Equivalents for Light-Duty Vehicles and Light-Duty Trucks
                 Table B-2.1--Credit Generation: Selling More Clean-Fuel Vehicles Than Required
                              [Phase II: effective 2001 and subsequent model-years]
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 gvwr    LDT  6000 gvwr
                                          <=3750 lvw   <=3750 lvw  <=3750 alvw    <=5750 alvw      <=5750 alvw
                                                       <=5750 lvw
----------------------------------------------------------------------------------------------------------------
LEV....................................         1.00         1.26         0.71           0.91             1.11
ULEV...................................         1.20         1.54         1.00           1.26             1.56
ZEV....................................         1.43         1.83         1.43           1.83             2.23
----------------------------------------------------------------------------------------------------------------


                   Table B-2.2--Credit Generation: Selling More Stringent Clean-Fuel Vehicles
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 gvwr     eq>6000 gvwr
       Vehicle emission  category        <=6000 gvwr      gvwr         gvwr       <=3750 alvw    5750
                                          <=3750 lvw   <=3750 lvw  <=3750 alvw    <=5750 alvw          alvw
                                                       <=5750 lvw
----------------------------------------------------------------------------------------------------------------
LEV....................................         0.00         0.00         0.00           0.00             0.00
ULEV...................................          .20          .28          .29            .34              .45
ZEV....................................          .43          .57          .71            .91             1.11
----------------------------------------------------------------------------------------------------------------


                        Table B-2.3--Credit Needed in Lieu of Selling Clean-Fuel Vehicles
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 gvwr    LDT  6000 gvwr   3750    eq>6000 gvwr
   Vehicle emission category     <=6000 gvwr    eq>3750 lvw      <=3750 alvw      alvw  <=5750   5750
                                  <=3750 lvw     <=5750 lvw                           alvw             alvw
 
----------------------------------------------------------------------------------------------------------------
LEV............................         1.00           1.26             0.71             0.91             1.11
----------------------------------------------------------------------------------------------------------------


[59 FR 50079, Sept. 30, 1994]

[[Page 24]]

                   Subpart C_Clean-Fuel Fleet Program

    Source: 58 FR 11901, Mar. 1, 1993, unless otherwise noted.



Sec. 88.301-93  General applicability.

    (a) The requirements of this subpart apply to the following:
    (1) State Implementation Plan revisions at 40 CFR part 52 made 
pursuant to sections 110 and 246 of the CAA (42 U.S.C. 7410 and 7586) 
hereafter referred to as the ``SIP revision''.
    (2) All agencies, departments and instrumentalities of the United 
States that are subject to the fleet programs established by a state's 
SIP revision.
    (b) The requirements of Sec. Sec. 88.302-93, 88.303-93, 88.311-93, 
88.312-93, and 88.313-93 of this part apply to fleets which voluntarily 
purchase and operate Inherently Low-Emission Vehicles (ILEVs).
    (c) References in this subpart to engine families and emission 
control systems shall be deemed to refer to durability groups and test 
groups as applicable for manufacturers certifying new light-duty 
vehicles and light-duty trucks under the provisions of 40 CFR part 86, 
subpart S.

[58 FR 11901, Mar. 1, 1993, as amended at 64 FR 23973, May 4, 1999]



Sec. 88.302-93  Definitions.

    The definitions in 40 CFR part 86 of this chapter also apply to this 
subpart. The definitions in this section apply to this subpart.
    Combination heavy-duty vehicle means a vehicle with a GVWR greater 
than 8,500 pounds (3,900 kilograms) which is comprised of a truck-
tractor and one or more pieces of trailered equipment. The truck-tractor 
is a self-propelled motor vehicle built on one chassis which encompasses 
the engine, passenger compartment, and a means of coupling to a cargo 
carrying trailer(s). The truck-tractor itself is not designed to carry 
cargo.
    Inherently Low-Emission Vehicle means any LDV or LDT conforming to 
the applicable Inherently Low-Emission Vehicle standard, or any HDV with 
an engine conforming to the applicable Inherently Low-Emission Vehicle 
standard. No dual-fuel or flexible-fuel vehicles shall be considered 
Inherently Low-Emission Vehicles unless they are certified to the 
applicable standard(s) on all fuel types for which they are designed to 
operate.
    Partially-Covered Fleet pertains to a vehicle fleet in a covered 
area which contains both covered fleet vehicles and non-covered fleet 
vehicles, i.e., exempt from covered fleet purchase requirements.
    Single-unit heavy-duty vehicle means a self-propelled motor vehicle 
with a GVWR greater than 8,500 pounds (3,900 kilograms) built on one 
chassis which encompasses the engine, passenger compartment, and cargo 
carrying function, and not coupled to trailered equipment. All buses, 
whether or not they are articulated, are considered single-unit 
vehicles.



Sec. 88.302-94  Definitions.

    The definitions in Sec. 88.302-93 and 40 CFR part 86 also apply to 
this part. All terms used in this part, but not defined in this section 
or in Sec. 88.302-93 and 40 CFR part 86 shall have the meaning assigned 
to them in the Clean Air Act.
    Can be centrally fueled means the sum of those vehicles that are 
centrally fueled and those vehicles that are capable of being centrally 
fueled.
    (1) Capable of being centrally fueled means a fleet, or that part of 
a fleet, consisting of vehicles that could be refueled 100 percent of 
the time at a location that is owned, operated, or controlled by the 
covered fleet operator, or is under contract with the covered fleet 
operator. The fact that one or more vehicles in a fleet is/are not 
capable of being centrally fueled does not exempt an entire fleet from 
the program.
    (2) Centrally fueled means a fleet, or that part of a fleet, 
consisting of vehicles that are fueled 100 percent of the time at a 
location that is owned, operated, or controlled by the covered fleet 
operator, or is under contract with the covered fleet operator. Any 
vehicle that is under normal operations garaged at home at night but 
that is, in fact, centrally fueled 100 percent of the time shall be 
considered to be centrally fueled for the purpose of this definition. 
The fact that one or more vehicles in a fleet is/are not centrally

[[Page 25]]

fueled does not exempt an entire fleet from the program. The fact that a 
vehicle is not centrally fueled does not mean it could not be centrally 
fueled in accordance with the definition of ``capable of being centrally 
fueled.''
    (3) Location means any building, structure, facility, or 
installation which; is owned or operated by a person, or is under the 
control of a person; is located on one or more contiguous properties and 
contains or could contain a fueling pump or pumps for the use of the 
vehicles owned or controlled by that person.
    Clean-fuel vehicle aftermarket conversion certifier means the 
business or entity that obtains a certificate of conformity with the 
clean-fuel vehicle standards and requirements for a vehicle/engine 
conversion configuration pursuant to the requirements of 40 CFR part 86 
and this part 88.
    Control means: (1) When it is used to join all entities under common 
management, means any one or a combination of the following:
    (i) A third person or firm has equity ownership of 51 percent or 
more in each of two or more firms;
    (ii) Two or more firms have common corporate officers, in whole or 
in substantial part, who are responsible for the day-to-day operation of 
the companies.
    (iii) One firm leases, operates, supervises, or in 51 percent or 
greater part owns equipment and/or facilities used by another person or 
firm, or has equity ownership of 51 percent or more of another firm.
    (2) When it is used to refer to the management of vehicles, means a 
person has the authority to decide who can operate a particular vehicle, 
and the purposes for which the vehicle can be operated.
    (3) When it is used to refer to the management of people, means a 
person has the authority to direct the activities of another person or 
employee in a precise situation, such as at the workplace.
    Conversion configuration means any combination of vehicle/engine 
conversion hardware and a base vehicle of a specific engine family.
    Covered fleet operator means a person who operates a fleet of at 
least ten covered fleet vehicles (as defined in section 241(6) of the 
Act) and that fleet is operated in a single covered area (even if the 
covered fleet vehicles are garaged outside of it). For purposes of this 
definition, the vehicle types described in the definition of covered 
fleet (section 241(5) of the Act) as exempt from the program will not be 
counted toward the ten-vehicle criterion.
    Dealer demonstration vehicle means any vehicle that is operated by a 
motor vehicle dealer (as defined in section 216(4) of the Act) solely 
for the purpose of promoting motor vehicle sales, either on the sales 
lot or through other marketing or sales promotions, or for permitting 
potential purchasers to drive the vehicle for pre-purchase or pre-lease 
evaluation.
    Emergency vehicle means any vehicle that is legally authorized by a 
governmental authority to exceed the speed limit to transport people and 
equipment to and from situations in which speed is required to save 
lives or property, such as a rescue vehicle, fire truck, or ambulance.
    Law enforcement vehicle means any vehicle which is primarily 
operated by a civilian or military police officer or sheriff, or by 
personnel of the Federal Bureau of Investigation, the Drug Enforcement 
Administration, or other agencies of the federal government, or by state 
highway patrols, municipal law enforcement, or other similar law 
enforcement agencies, and which is used for the purpose of law 
enforcement activities including, but not limited to, chase, 
apprehension, surveillance, or patrol of people engaged in or 
potentially engaged in unlawful activities. For federal law enforcement 
vehicles, the definition contained in Executive Order 12759, Section 11: 
Alternative Fueled Vehicle for the Federal Fleet, Guidance Document for 
Federal Agencies, shall apply.
    Model year, as it applies to the clean fuel vehicle fleet purchase 
requirements, means September 1 through August 31.
    Motor vehicles held for lease or rental to the general public means 
a vehicle that is owned or controlled primarily for the purpose of 
short-term rental or extended-term leasing (with or without

[[Page 26]]

maintenance), without a driver, pursuant to a contract.
    New covered fleet vehicle means a vehicle that has not been 
previously controlled by the current purchaser, regardless of the model 
year, except as follows: Vehicles that were manufactured before the 
start of the fleet program for such vehicle's weight class, vehicles 
transferred due to the purchase of a company not previously controlled 
by the purchaser or due to a consolidation of business operations, 
vehicles transferred as part of an employee transfer, or vehicles 
transferred for seasonal requirements (i.e., for less than 120 days) are 
not considered new. States are permitted to discontinue the use of the 
fourth exception for fleet operators who abuse the discretion afforded 
them. This definition of new covered fleet vehicle is distinct from the 
definition of new vehicle as it applies to manufacturer certification, 
including the certification of vehicles to the clean fuel standards.
    Owned or operated, leased or otherwise controlled by such person 
means either of the following:
    (1) Such person holds the beneficial title to such vehicle; or
    (2) Such person uses the vehicle for transportation purposes 
pursuant to a contract or similar arrangement, the term of such contract 
or similar arrangement is for a period of 120 days or more, and such 
person has control over the vehicle pursuant to the definition of 
control of this section.
    Person includes an individual, corporation, partnership, 
association, State, municipality, political subdivision of a State, and 
any agency, department, or instrumentality of the United States and any 
officer, agent, or employee thereof.
    Under normal circumstances garaged at personal residence means a 
vehicle that, when it is not in use, is normally parked at the personal 
residence of the individual who usually operates it, rather than at a 
central refueling, maintenance, and/or business location. Such vehicles 
are not considered to be capable of being central fueled (as defined in 
this subpart) and are exempt from the program unless they are, in fact, 
centrally fueled.
    Vehicle used for motor vehicle manufacturer product evaluations and 
tests means a vehicle that is owned and operated by a motor vehicle 
manufacturer (as defined in section 216(1) of the Act), or motor vehicle 
component manufacturer, or owned or held by a university research 
department, independent testing laboratory, or other such evaluation 
facility, solely for the purpose of evaluating the performance of such 
vehicle for engineering, research and development, or quality control 
reasons.

[58 FR 64691, Dec. 9, 1993, as amended at 59 FR 50080, Sept. 30, 1994]



Sec. 88.303-93  Abbreviations.

    The abbreviations in subpart A of this part and in 40 CFR part 86 
apply to this subpart. The abbreviations in this section apply to this 
subpart.

    ILEV--Inherently Low-Emission Vehicle.



Sec. 88.304-94  Clean-fuel Fleet Vehicle Credit Program.

    (a) General. (1) The SIP revision shall provide for a CFFV credit 
program to enable covered fleet owners/operators to meet the fleet 
vehicle purchase requirements of the CAA both by purchasing clean-fuel 
vehicles (CFVs) directly and by trading and banking CFFV credits for 
vehicle purchases.
    (2) All credit-generating vehicles must meet the applicable emission 
standards and other requirements contained in 40 CFR part 88, subpart A.
    (b) Program administration. (1)(i) Each state in which there is all 
or part of a covered area, as defined in CAA section 246(a)(2), shall 
promulgate regulations as necessary for implementing this requirement.
    (ii) The state shall submit a SIP revision before May 15, 1994 to 
the Administrator stipulating the specific mechanism by which the CFFV 
program is to be administered and enforced. The credit program shall 
commence upon EPA approval of the SIP in accordance with CAA section 
246(f)(5).
    (2) A fleet owner who purchases/leases a CFFV only to generate CFFV 
credit shall be subject to the same requirements of the state's CFFV 
program as a covered fleet owner who purchases/leases a CFFV to 
demonstrate

[[Page 27]]

compliance with covered fleet purchase requirements.
    (3) While in the covered area, a dual-fuel/flexible-fuel vehicle 
which a fleet owner purchases to comply with covered fleet purchase 
requirements must be operated at all times on the fuel(s) on which it 
was certified as a CFFV. If the fleet owner receives credit for a dual-
fuel/flexible-fuel vehicle purchase, the vehicle must be operated at the 
same emission level for which the vehicle generated CFFV credit.
    (c) Credit generation. (1) States shall grant CFFV credits to a 
covered fleet owner for any of the following qualifying CFFV purchases:
    (i) Purchase of a CFFV during any period subsequent to the approval 
of the SIP revision but prior to the effective date for commencement of 
a state's CFFV purchase requirement if the purchase meets all other CFFV 
requirements applicable to such purchases, including the statutory 
requirement to use only the fuel on which the vehicle was certified as a 
CFFV;
    (ii) Purchase of a greater number of CFFVs than is required under 
the SIP revision;
    (iii) Purchase of a CFFV which meets more stringent emission 
standards than required under the SIP revision; or
    (iv) Purchase of a CFFV in an exempt or non-covered vehicle category 
by the owner/operator of a covered or partially-covered fleet.
    (2) A state may retroactively grant CFFV credit(s) to a fleet owner 
for the purchase of a CFFV prior to the approval of the state's SIP 
revision if the purchase met all CFFV credit program requirements 
applicable to such purchases, including:
    (i) The vehicle purchased would have to have been certified to CFFV 
emission standards;
    (ii) The vehicle purchased would have to have been a dedicated-fuel 
vehicle;
    (iii) If the vehicle purchased was not a dedicated-fuel vehicle, 
then the fleet owner would have to show that the vehicle had been 
operated only on the clean alternative fuel on which the vehicle had 
been certified as a CFFV.
    (3) For LDVs and LDTs, credit values shall be determined in 
accordance with Table C94-1. The state shall use Table C94-1 exclusively 
in determining LDV and LDT CFFV credit values. Table C94-1.1 applies to 
paragraphs (c)(1) (i), (ii) and (iv) of this section; Table C94-1.2 
applies to paragraph (c)(1)(iii) of this section.
    (4) In lieu of determining credit values in accordance with Table 
C94-1, a state may specify in its SIP revision that Table C94-2 will be 
used to determine LDV and LDT CFFV credit values in one or more affected 
nonattainment areas. Any state choosing to do so must provide adequate 
justification, based on air quality benefits, at the time the SIP 
revision is submitted. If the use of Table C94-2 is approved by EPA, the 
State shall use Table C94-2 exclusively in determining LDV and LDT CFFV 
credit values for vehicles in the subject area or areas. Table C94-2.1 
applies to paragraphs (b)(1) (i), (ii) and (iv) of this section; Table 
C94-2.2 applies to paragraph (b)(1)(iii) of this section.
    (5) In lieu of determining credit values in accordance with Table 
C94-1, a state containing a carbon monoxide nonattainment area(s) having 
a design value above 16.0 parts per million may specify in its SIP 
revision that Table C94-3 will be used to determine LDV and LDT CFFV 
credit values in one or more affected nonattainment areas. Any state 
choosing to do so must provide adequate justification, based on air 
quality benefits, at the time the SIP revision is submitted. If the use 
of Table C94-3 is approved by EPA, the state shall use Table C94-3 
exclusively in determining LDV and LDT CFFV credit values for vehicles 
in the subject area or areas. Table C94-3.1 applies to paragraphs (b)(1) 
(i), (ii) and (iv) of this section; Table C94-3.2 applies to paragraph 
(b)(1)(iii) of this section.
    (6) For HDVs, credit values shall be determined in accordance with 
Table C94-4. The state shall use Table C94-4 exclusively in determining 
heavy-duty vehicle CFFV credit values. Table C94-4.1 applies to 
paragraphs (c)(1) (i), (ii) and (iv) of this section, and Table C94-4.2 
applies to paragraph (c)(1)(iii) of this section.
    (7) In lieu of determining credit values in accordance with Table 
C94-4, a state containing a carbon monoxide

[[Page 28]]

nonattainment area(s) having a design value above 16 parts per million 
may specify in its SIP revision that Table C94-5 will be used to 
determine heavy-duty vehicle CFFV credit values in one or more affected 
nonattainment areas. Any state choosing to do so must provide adequate 
justification, based on air quality benefits, at the time the SIP 
revision is submitted. If the use of Table C94-5 is approved by EPA, the 
State shall use Table C94-5 exclusively in determining heavy-duty 
vehicle CFFV credit values for vehicles in the subject area or areas. 
Table C94-5.1 applies to paragraphs (b)(1) (i), (ii) and (iv) of this 
section; Table C94-5.2 applies to paragraph (b)(1)(iii) of this section.
    (8) Credit values shall be rounded to two decimal places.
    (9) Heavy heavy-duty vehicles. (i) States must allow purchase of any 
clean-fuel single-unit or combination HDV with a GVWR greater than 
26,000 pounds (11,800 kilograms) to generate CFFV credit for the fleet 
vehicle purchaser.
    (ii) States must exclude from generating CFFV credit the purchase of 
any combination HDV with a GVWR greater than 26,000 pounds (11,800 
kilograms) which pays all or a portion of its fuel taxes, as evidenced 
by fuel tax stickers on the combination HDV, to a state(s) which is not 
part of that covered nonattainment area.
    (10) Light-duty CFFV credits. Credits generated by the purchase of a 
qualifying clean-fuel fleet LDV or a LDT shall be designated at the time 
of issuance as light-duty CFFV credits.
    (11) Heavy-duty CFFV credits. Credits generated by the purchase of a 
qualifying clean-fuel fleet HDV shall be designated at the time of 
issuance as heavy-duty CFFV credits. Further, credits generated by the 
purchase of a light heavy-duty or a medium heavy-duty qualifying CFFV 
shall be designated at the time of issuance as light heavy-duty and 
medium heavy-duty CFFV credits, respectively.
    (d) Credit use. (1) All credits generated in accordance with these 
provisions may be freely traded or banked for later use, subject to the 
provisions contained in this subpart, without discount or depreciation 
of such credits.
    (2) A covered fleet owner or operator desiring to demonstrate full 
or partial compliance with covered fleet purchase requirements by the 
redemption of credits shall surrender sufficient credits as established 
in this paragraph. In lieu of purchasing a CFFV, a fleet owner or 
operator shall surrender credits equal to the credit value for the 
corresponding vehicle class and credit calculation method used in that 
area from either Table C94-1.3, C94-2.3, C94-3.3, C94-4.3, or C94-5.3 of 
this subpart.
    (3) Credits earned within the boundaries of a covered nonattainment 
area may be traded within those boundaries whether or not that area 
encompasses parts of more than one state.
    (4) Credits issued as a result of CFFV purchase requirements in one 
nonattainment area may not be used to demonstrate compliance in another 
nonattainment area, even if a state contains more than one covered 
nonattainment area.
    (5) Credit allocation. (i) Credits generated by the purchase of LDVs 
and LDTs of 8,500 pounds (3,900 kilograms) GVWR or less may be used to 
demonstrate compliance with covered fleet purchase requirements 
applicable to LDVs or LDTs of 8,500 pounds (3,900 kilograms) GVWR or 
less.
    (ii) Credits generated by the purchase of vehicles of more than 
8,500 pounds (3,900 kilograms) GVWR may not be used to demonstrate 
compliance with the covered fleet purchase requirements for vehicles 
weighing 8,500 pounds (3,900 kilograms) GVWR or less.
    (iii) Credits generated by the purchase of vehicles of 8,500 pounds 
(3,900 kilograms) GVWR or less may not be used to demonstrate compliance 
with requirements for vehicles of more than 8,500 pounds (3,900 
kilograms) GVWR.
    (iv) Credits generated by the purchase of a HDV of a particular 
weight subclass may be used to demonstrate compliance with required 
heavy-duty vehicle purchases for the same or lighter weight subclasses. 
These credits may not be used to demonstrate compliance with required 
HDV purchases for vehicles of heavier weight subclasses than the weight 
subclass of the vehicle which generated the credits.

[[Page 29]]



Sec. 88.305-94  Clean-fuel fleet vehicle labeling requirements for 
          heavy-duty vehicles.

    (a) All clean-fuel heavy-duty engines and vehicles used as LEVs, 
ULEVs, and ZEVs that are also regulated under 40 CFR part 86 shall 
comply with the labeling requirements of 40 CFR 86.095-35 (or later 
applicable sections), and shall also include an unconditional statement 
on the label indicating that the engine or vehicle is a LEV, ULEV, or 
ZEV, and meets all of the applicable requirements of this part 88.
    (b) All heavy-duty clean-fuel fleet vehicles not regulated under 40 
CFR part 86 shall have a permanent legible label affixed to the engine 
or vehicle in a readily visible location, which contains the following 
information:
    (1) The label heading: vehicle emissions classification information 
(e.g., ``This is a Low Emission Vehicle'');
    (2) Full corporate name and trademark of the manufacturer;
    (3) A statement that this engine or vehicle meets all applicable 
requirements of the U.S. Environmental Protection Agency clean-fuel 
fleet vehicle program, as described in this part 88, but not necessarily 
those requirements found in 40 CFR part 86.

[59 FR 50080, Sept. 30, 1994]



Sec. 88.306-94  Requirements for a converted vehicle to qualify as a 
          clean-fuel fleet vehicle.

    (a) For purposes of meeting the requirements of section 246 of the 
Clean Air Act or the SIP revisions, conversions of engines or vehicles 
which satisfy the requirements of this section shall be treated as a 
purchase of a clean-fuel vehicle under subpart C of this part.
    (b) The engine or vehicle must be converted using a conversion 
configuration which has been certified according to the provisions of 40 
CFR part 86 using applicable emission standards and other provisions 
from part 88 for clean-fuel engines and vehicles. The following 
requirements will also apply:
    (1) If the installation of the certified conversion configuration is 
performed by an entity other than aftermarket conversion certifier, the 
aftermarket conversion certifier shall submit a list of such installers 
to the Administrator. Additional installers must be added to this list 
and the revised list submitted to the Administrator within 5 working 
days from the time they are authorized to perform conversion 
installations by the clean-fuel vehicle aftermarket conversion 
certifier.
    (2) If the installation of the certified conversion configuration is 
performed by an entity other than the certificate holder, the 
certificate holder shall provide instructions for installation of the 
aftermarket conversion system to installers listed on the certificate, 
and ensure that the systems are properly installed.
    (3) For the purpose of determining whether certification under the 
Small-Volume Manufacturers Certification Program pursuant to the 
requirements of 40 CFR 86.094-14 is permitted, the 10,000 sales volume 
limit in 40 CFR 86.094-14(b)(1) is waived for a certifier of a clean-
fuel vehicle aftermarket conversion.
    (4) Clean-fuel vehicle aftermarket conversion certifiers that are 
subject to the post-installation emissions testing requirements in 
paragraph (c) of this section and who will satisfy these requirements by 
using the two speed idle test procedure detailed in paragraph (c)(2)(ii) 
of this section must conduct the following testing at the time of 
certification in order to generate the required certification CO 
emissions reference values. The certification CO emissions reference 
values generated must be submitted to the Administrator at the time of 
application for certification.
    (i) For dual and flexible fuel vehicles, certification reference 
values must be generated for each certification test fuel required for 
exhaust emissions testing pursuant to 40 CFR 86.113 or 40 CFR 86.1313.
    (ii) For light-duty vehicles and light-duty trucks the test fuels 
used during the emissions testing required by paragraph (b)(3) of this 
section must comply with the fuel specifications for exhaust emissions 
testing found in 40 CFR 86.113. For heavy-duty engines the test fuels 
used during the emissions testing required by paragraph (b)(3) of this 
section must comply with the fuel specifications for exhaust emissions 
testing found in 40 CFR 86.1313.

[[Page 30]]

    (iii) Single, consecutive idle mode and high-speed mode segments of 
the two speed idle test must be conducted pursuant to the requirements 
of 40 CFR 85.2215 and as modified by the provisions of paragraph 
(c)(4)(ii)(D) of this section and this paragraph to determine the 
required certification CO emission reference values.
    (A) The certification CO emission reference value for the idle mode 
of the test will be the simple average of all emissions measurements 
taken during an idle mode of 90 seconds duration pursuant to the 
requirements in 40 CFR 85.2215(a).
    (B) The certification CO emission reference value for the high-speed 
mode of the test will be the simple average of all emissions 
measurements taken during a high-speed mode of 180 seconds duration 
pursuant to the requirements in 40 CFR 85.2215(a).
    (c) Except as provided in paragraph (c)(1) of this section, each 
converted vehicle manufactured by a clean-fuel vehicle aftermarket 
conversion certifier with aggregate sales of less than 10,000 converted 
vehicles within a given calendar year must satisfy the post-installation 
emissions testing requirements of paragraph (c)(2) of this section. If a 
vehicle fails to satisfy the emissions testing requirements such vehicle 
may not be considered a clean- fuel vehicle until such noncompliance is 
rectified and compliance is demonstrated.
    (1) A clean-fuel vehicle aftermarket conversion certifier with 
estimated sales of 300 or fewer engines and vehicles in a calendar year 
and which sells or converts vehicles outside of a non-attainment area 
(as classified under subpart D of Title I) which has an inspection and 
maintenance program that includes a test of carbon monoxide emissions 
may submit a request to the Administrator for an exemption from the 
post-installation emission test requirements of paragraph (c) of this 
section. If granted, such an exemption would apply to converted vehicles 
that have the conversion installation performed outside of a 
nonattainment area which has an inspection and maintenance program that 
includes a test of carbon monoxide emissions.
    (i) The request for exemption submitted to the Administrator must 
include the following:
    (A) The estimated number of engines and vehicles that will be 
converted in the calendar year.
    (B) Sufficient information to demonstrate that complying with the 
post-installation emission test requirement represents a severe 
financial hardship.
    (C) A description of any emission related quality control procedures 
used.
    (ii) Within 120 days of receipt of the application for exemption, 
the Administrator will notify the applicant either that an exemption is 
granted or that sufficient cause for an exemption has not been 
demonstrated and that all of the clean-fuel vehicle aftermarket 
conversion certifier's vehicles are subject to the post-installation 
test requirement of paragraph (c)(2) of this section.
    (iii) If the clean-fuel vehicle aftermarket conversion certifier 
granted an exemption originally estimates that 300 or fewer conversions 
would be performed in the calendar year, and then later revises the 
estimate to more than 300 for the year, the certifier shall inform the 
Administrator of such revision. A post-installation emissions test for 
each conversion performed after the estimate is revised is required 
pursuant to the requirements of paragraph (c)(2) of this section. The 
estimated number of conversions from such a clean-fuel vehicle 
aftermarket conversion certifier must be greater than 300 in the 
following calendar year.
    (2) A clean-fuel vehicle aftermarket conversion certifier with 
aggregate sales less than 10,000 converted vehicles within a given 
calendar year shall conduct post-installation emissions testing using 
either of the following test methods:
    (i) The carbon monoxide (CO) emissions of the converted vehicle must 
be determined in the manner in which CO emissions are determined 
according to the inspection and maintenance requirements applicable in 
the area in which the vehicle is converted or is expected to be 
operated.
    (A) For dual-fuel vehicles, a separate test is required for each 
fuel on which the vehicle is capable of operating. For flexible fuel 
vehicles, a single test is required on a fuel that falls within the

[[Page 31]]

range of fuel mixtures for which the vehicle was designed. The test 
fuel(s) used must be commercially available.
    (B) A converted vehicle shall be considered to meet the requirements 
of this paragraph if the vehicle's measured exhaust CO concentration(s) 
is lower than the cutpoint(s) used to determine CO pass/fail under the 
inspection and maintenance program in the area in which the conversion 
is expected to be operated.
    (1) If CO pass/fail criteria are not available for a vehicle fuel 
type then pass/fail criteria specific to gasoline use are to be used for 
vehicles of that fuel type.
    (2) [Reserved]
    (ii) The carbon monoxide (CO) emissions of the converted vehicle 
must be determined in the manner specified in the two speed idle test-
EPA 91 found in 40 CFR 85.2215. All provisions in the two speed idle 
test must be observed except as detailed in paragraph (c)(2)(ii)(D) of 
this section.
    (A) For dual and flexible fuel vehicles, a separate test is required 
for each certification test fuel required for exhaust emissions testing 
pursuant to 40 CFR 86.113 or 40 CFR 86.1313.
    (B) For light-duty vehicles and light-duty trucks the test fuels 
used during the emissions testing required by paragraph (c)(4) of this 
section must comply with the fuel specifications for exhaust emissions 
testing found in 40 CFR 86.113. For heavy-duty engines the test fuels 
used during the emissions testing required by paragraph (c)(2) of this 
section must comply with the fuel specifications for exhaust emissions 
testing found in 40 CFR 86.1313.
    (C) A converted vehicle shall be considered to meet the requirements 
of this paragraph if the following criteria are satisfied:
    (1) The vehicle's measured idle mode exhaust CO concentration(s) 
must be lower than the sum of 0.4 percent CO plus the idle mode 
certification CO emissions reference value as determined according to 
the requirements of paragraph (b)(3) of this section.
    (2) The vehicle's measured high-speed mode exhaust CO 
concentration(s) must be lower than the sum of 0.4 percent CO plus the 
high-speed certification CO emissions reference value as determined 
according to the requirements of paragraph (b)(3) of this section.
    (D) For the purposes of the post-installation emissions testing 
required by paragraph (c) of this section, the following adjustments to 
the two speed idle test-EPA 91 in 40 CFR 85.2215 are necessary.
    (1) Testing of hydrocarbon emissions and equipment associated solely 
with hydrocarbon emissions testing is not required.
    (2) The CO emissions pass/fail criteria in 40 CFR 85.2215(a)(2), 
(c)(1)(ii)(A), (c)(2)(ii)(A)(1), (c)(2)(iii)(A)(1), and (d)(3)(i) are to 
be replaced with the pass/fail criteria detailed in paragraph 
(c)(2)(ii)(C) of this section. All HC pass/fail criteria in 40 CFR 
85.2215 do not apply.
    (3) The void test criteria in 40 CFR 85.2215(a)(3) and (b)(2)(iv) 
associated with maintaining the measured concentration of CO plus 
CO2 above six percent does not apply. However, the 
Administrator may reconsider requiring that the void test criteria in 40 
CFR 85.2215(a)(3) and (b)(2)(iv) be applied, and may issue an advisory 
memorandum to this effect in the future.
    (4) The ambient temperature levels encountered by the vehicle during 
testing must comply with the specifications in 40 CFR 86.130 or 40 CFR 
86.1330.
    (d) The clean-fuel vehicle aftermarket conversion certifier shall be 
considered a manufacturer for purposes of Clean Air Act sections 206 and 
207 and related enforcement provisions, and must accept liability for 
in-use performance of all the vehicles produced under the certificate of 
conformity as outlined in 40 CFR part 85.
    (1) The useful life period for the purposes of determining the in-
use liability of the clean-fuel vehicle aftermarket conversion certifier 
shall be the original useful life of the vehicle prior to conversion.
    (2) [Reserved]
    (e) Tampering. (1) The conversion from an engine or vehicle capable 
of operating on gasoline or diesel fuel only to a clean-fuel engine or 
vehicle shall not be considered a violation of the tampering provisions 
of Clean Air Act section 203(a)(3), if such conversion

[[Page 32]]

is done pursuant to a conversion configuration certificate by the 
aftermarket conversion certifier or by an installer listed on the 
certificate.
    (2) In order to comply with the provisions of this subpart, an 
aftermarket conversion installer must:
    (i) Install a certified aftermarket conversion system for which the 
installer is listed by the certifier; and
    (ii) Perform such installation according to instructions provided by 
the aftermarket conversion certifier.
    (f) Data collection. The clean-fuel vehicle aftermarket conversion 
certifier is responsible for maintaining records of each engine and 
vehicle converted for use in the Clean Fuel Fleets program for a period 
of 5 years. The records are to include the engine or vehicle make, 
engine or vehicle model, engine or vehicle model year, and engine or 
vehicle identification number of converted engines and vehicles; the 
certification number of the conversion configuration; the brand names 
and part numbers of the parts included in the conversion configuration; 
the date of the conversion and the facility at which the conversion was 
performed; and the results of post-installation emissions testing if 
required pursuant to paragraph (c) of this section.

[59 FR 50080, Sept. 30, 1994, as amended at 61 FR 129, Jan. 3, 1996]



Sec. 88.307-94  Exemption from temporal transportation control measures 
          for CFFVs.

    (a) States with covered areas shall exempt any CFFV required by law 
to participate in the clean-fuel fleet program or any vehicle generating 
credits under Sec. 88.304-94(c) from transportation control measures 
(TCMs) existing wholly or partially for air quality reasons included in 
an approved state implementation plan which restrict vehicle usage based 
primarily on temporal considerations, such as time-of-day and day-of-
week exemptions. However, CFFVs shall not qualify for TCMs where the 
temporal element is secondary to some other control element and, in no 
case, shall such exemptions apply if they create a clear and direct 
safety hazard. This exemption does not include access to high occupancy 
vehicle (HOV) lanes, except as provided in Sec. 88.313-93.
    (b) States shall also grant temporal TCM exemptions to qualifying 
CFFVs being operated after SIP approval, but prior to the effective date 
for commencement of a state's CFFV credit program.
    (c) Temporal TCM exemptions provided for in paragraph (a) of this 
section are not effective outside of the areas for which states can be 
required to establish CFFV credit programs.
    (1) Such exemptions shall remain effective only while the subject 
vehicle remains in compliance with applicable CFFV emissions standards 
and other CFFV credit program requirements.
    (2) CFFV TCM exemptions shall not be transferred between vehicles 
within the same fleet nor shall they be sold or traded.



Sec. 88.308-94  Programmatic requirements for clean-fuel fleet 
          vehicles.

    (a) Multi-State nonattainment areas. The states comprising a multi-
State nonattainment area shall, to the greatest extent possible, 
promulgate consistent clean-fuel fleet vehicle programs.
    (b) Program start date. The SIP revision shall provide that the 
clean fuel vehicle purchase requirements begin to apply no later than 
model year 1999.

[59 FR 50082, Sept. 30, 1994, as amended at 63 FR 20107, Apr. 23, 1998]



Sec. 88.309  [Reserved]



Sec. 88.310-94  Applicability to covered Federal fleets.

    (a) Compliance by Federal vehicles. As per section 258(a) of the 
Act, fleets owned or operated by any agency, department, or 
instrumentality of the United States shall comply with the applicable 
state regulations concerning CFFVs established in the SIP revision. Such 
fleets shall be treated in the same manner as private or other 
government fleets under the applicable state regulations.
    (1) Federal agencies shall obtain CFFVs from original equipment 
manufacturers, to the extent possible, as required under section 248 of 
the CAA.

[[Page 33]]

    (2) The Secretary of Defense may exempt any vehicle(s) from the 
provisions of any CFFV credit program established in the SIP revision by 
certifying to the Administrator in writing that inclusion of the 
specified vehicle(s) in such a program could have an adverse impact on 
the national security. The Secretary of Defense shall also provide a 
copy of this statement of exemption to the state agency administering 
the CFFV credit program in the covered area in which the specified 
vehicle(s) is registered/operated.
    (b) [Reserved]



Sec. 88.311-93  Emissions standards for Inherently Low-Emission 
          Vehicles.

    (a) Certification. (1) Emissions Testing Procedures. A vehicle shall 
be certified as an ILEV if that vehicle satisfies the following 
conditions:
    (i) The vehicle shall be certified under the appropriate exhaust 
emissions standards from paragraph (c) or (d) of this section depending 
on the vehicle's weight classification.
    (ii) The vehicle shall be certified as having fuel vapor emissions 
which are five or less total grams per test as measured by the current 
Federal Test Procedure (FTP), modified for ILEV certification, from 40 
CFR part 86, subpart B for LDVs and LDTs and from 40 CFR part 86, 
subpart M for HDVs.
    (A) After disabling any and all auxiliary emission control devices 
(canister, purge system, etc.) related to control of evaporative 
emissions, the fuel vapor emissions shall be measured using the FTP 
regulations in effect at the time the vehicle is to be certified as an 
ILEV. For purposes of this section, the vehicle's fuel vapor emissions 
shall consist of the total grams of diurnal, hot soak, running loss, and 
resting loss emissions, as appropriate, for the particular fuel/vehicle/
engine combination to be tested. In determining ILEV evaporative 
emissions, the diurnal emissions measurement procedure shall consist of 
a single diurnal heat build using an ambient or fuel temperature range 
of 72[deg]-96 [deg]F (22[deg]-36 [deg]C), as appropriate for the 
applicable FTP regulations (40 CFR part 86).
    (B) Conventional Federal Test Procedure. A vehicle with no 
evaporative emissions control system components may have its evaporative 
emissions certified for its particular GVWR weight class/subclass if it 
passes the conventional evaporative emissions FTP from 40 CFR part 86, 
subpart B for LDVs and LDTs or from 40 CFR part 86, subpart M for HDVs, 
as applicable.
    (iii) The vehicle must meet other special requirements applicable to 
conventional or clean-fuel vehicles and their fuels as described in any 
other parts of this chapter, including 40 CFR parts 86 and 88.
    (2) Vehicles which have a closed or sealed fuel system may be 
certified at the administrator's option by engineering evaluation in 
lieu of testing. These vehicles will be certified as ILEVs only if a 
leak in the fuel system would result in the vehicle becoming inoperative 
due to loss of fuel supply, or if half the fuel escapes within 24 hours.
    (b) Identification. In the application for a vehicle's certification 
as an ILEV, the manufacturer or the manufacturer's agent shall provide 
for positive identification of the vehicle's status as an ILEV in the 
vehicle's Vehicle Emission Control Information (VECI) label in 
accordance with 40 CFR 86.094-35 and 86.095-35. The label shall contain 
a highlighted statement (e.g., underscored or boldface letters) that the 
vehicle is certified to applicable emission standards for ILEV exhaust 
and evaporative emission standards.
    (c) Light-duty vehicles and light-duty trucks. ILEVs in LDV and LDT 
classes shall have exhaust emissions which do not exceed the LEV exhaust 
emission standards for NMOG, CO, HCHO, and PM and the ULEV exhaust 
emission standards for NOX listed in Tables A104-1 through 
A104-6 for light-duty CFVs. Exhaust emissions shall be measured in 
accordance with the test procedures specified in Sec. 88.104-94(k). An 
ILEV must be able to operate on only one fuel, or must be certified as 
an ILEV on all fuels on which it can operate. These vehicles shall also 
comply with all requirements of 40 CFR part 86 which are applicable to 
conventional gasoline-fueled, methanol-fueled, diesel-fueled, natural 
gas-fueled or liquified petroleum gas-fueled LDVs/LDTs of the same 
vehicle class and model year.

[[Page 34]]

    (d) Heavy-duty vehicles. ILEVs in the HDV class shall have exhaust 
emissions which do not exceed the exhaust emission standards in grams 
per brake horsepower-hour listed in Sec. 88.105-94(d). Exhaust 
emissions shall be measured in accordance with the test procedures 
specified in Sec. 88.105-94(e). An ILEV must be able to operate on only 
one fuel, or must be certified as an ILEV on all fuels on which it can 
operate. These vehicles shall also comply with all requirements of 40 
CFR part 86 which are applicable in the case of conventional gasoline-
fueled, methanol-fueled, diesel-fueled, natural gas-fueled or liquified 
petroleum gas-fueled HDVs of the same weight class and model year.
    (e) Applicability. State actions to opt out of the clean-fuel fleet 
program under section 182(c) of the Act do not affect the applicability 
of the ILEV program in the affected states.

[57 FR 60046, Dec. 17, 1992, as amended at 59 FR 48536, Sept. 21, 1994; 
59 FR 50082, Sept. 30, 1994, 61 FR 127, Jan. 3, 1996]



Sec. 88.311-98  Emissions standards for Inherently Low-Emission 
          Vehicles.

    Section 88.311-98 includes text that specifies requirements that 
differ from Sec. 88.311-93. Where a paragraph in Sec. 88.311-93 is 
identical and applicable to Sec. 88.311-98, this may be indicated by 
specifying the corresponding paragraph and the statement ``[Reserved]. 
For guidance see Sec. 88.311-93.''
    (a) heading through (a)(1)(ii) [Reserved]. For guidance see Sec. 
88.311-93.
    (iii) The vehicle must meet other special requirements applicable to 
conventional or clean-fuel vehicles and their fuels as described in any 
other regulations in 40 CFR chapter I, subchapter C, including 40 CFR 
parts 86 and 88 (e.g., onboard refueling provisions).
    (b) through (e) [Reserved]. For guidance see Sec. 88.311-93.

[59 FR 16309, Apr. 6, 1994]

    Effective Date Note: The new information collection requirements for 
Sec. 88.311-98 published in the Federal Register at 59 FR 16309, Apr. 
6, 1994, which apply to 1998 and later model year vehicles, have not 
been approved by the Office of Management and Budget (OMB) and are not 
effective.



Sec. 88.312-93  Inherently Low-Emission Vehicle labeling.

    (a) Label design. (1) Label design shall consist of either of the 
following specifications:
    (i) The label shall consist of a white rectangular background, 
approximately 12 inches (30 centimeters) high by 18 inches (45 
centimeters) wide, with ``CLEAN AIR VEHICLE'' printed in contrasting 
block capital letters at least 4.3 inches (10.6 centimeters) tall and 
1.8 inches (4.4 centimeters) wide with a stroke width not less than 0.5 
inches (1.3 centimeters). In addition, the words ``INHERENTLY LOW-
EMISSION VEHICLE'' must be present in lettering no smaller than 1 inch 
(2.5 centimeters) high. Nothing shall be added to the label which 
impairs readability. Labels shall include a serialized identification 
number; or
    (ii) The label shall consist of a white truncated-circular 
background, approximately 10 inches (25 centimeters) in diameter by 7 
inches (17.5 centimeters) in height. The bottom edge of the truncated-
circular background shall be approximately 2 inches (5 centimeters) from 
the center. The acronym ``ILEV'' shall be printed on the label in 
contrasting block capital letters at least 2 inches (5 centimeters) tall 
and 1.5 inches (3.8 centimeters) wide with a stroke width not less than 
0.4 inches (1.0 centimeter). In addition, the words ``CLEAN AIR 
VEHICLE'' must be present in lettering no smaller than 0.8 inches (2.0 
centimeters) high. Nothing shall be added to the label which impairs 
readability. Labels shall include a serialized identification number.
    (2) The ILEV label shall be fabricated or affixed to a vehicle in 
such a manner that its removal from the vehicle cannot be accomplished 
without defacing or destroying the label in whole or in part.
    (3) Along with the manufacturer's application to certify a 
particular ILEV engine class, the manufacturer or the manufacturer's 
agent shall submit to EPA ILEV labels or reasonable facsimiles of the 
types which may be mounted on a certified ILEV vehicle of that class.

[[Page 35]]

    (b) Eligibility. Vehicle manufacturers or their agents must install 
ILEV labels on a certified ILEV vehicle at the time of its sale to an 
eligible fleet owner if the vehicle is to be eligible for expanded TCM 
exemptions. An eligible fleet owner is one who is in a covered area and 
owns a total of at least ten motor vehicles (including the ILEV(s) being 
purchased) which operate in the owner's fleet. All of the following 
shall be provided to demonstrate eligibility: Photocopies of no less 
than nine motor vehicle registrations indicating registration in the 
ILEV purchaser's name, a signed statement by the ILEV purchaser that 
these vehicles are operational in the purchaser's fleet and that the 
ILEV being purchased will also be operated in this fleet, and a signed 
statement by the ILEV purchaser that the ILEV labels will be removed and 
disposed of when the vehicle is sold, given, leased (except as part of a 
daily rental fleet), or offered for long-term loan to someone who has 
not demonstrated eligibility for expanded TCMs available to ILEVs 
according to these criteria.
    (c) ILEV Label installation. (1) Except as provided for in this 
paragraph (c), no person shall attach an ILEV label or any facsimile of 
an ILEV label to any vehicle.
    (2)(i) The manufacturer or the manufacturer's agent shall attach 
three labels on the vehicle in plain sight: One on the rear of the 
vehicle and one on each of two sides of the vehicle. Each label shall 
conform to the specifications of paragraph (a) of this section.
    (ii) In the case that an ILEV label of the proportions specified in 
paragraph (a)(1) of this section cannot be attached to the rear of the 
ILEV, the manufacturer or the manufacturer's agent shall attach to the 
rear of the vehicle an ILEV label of either of the following 
proportions:
    (A) The label shall consist of a white rectangular background, 
approximately 4 inches (10 centimeters) high by 24 inches (60 
centimeters) wide, with ``CLEAN AIR VEHICLE'' printed in contrasting 
block capital letters at least 2.8 inches (7 centimeters) tall and 1.3 
inches (3.3 centimeters) wide with a stroke width not less than 0.3 
inches (0.8 centimeter). In addition, the words ``INHERENTLY LOW-
EMISSION VEHICLE'' must be present in lettering no smaller than 0.6 
inches (1.5 centimeters) high. Nothing shall be added to the label which 
impairs readability. Labels shall include a serialized identification 
number; or
    (B) The label shall consist of a white truncated-circular 
background, approximately 5 inches (12.5 centimeters) in diameter by 3.5 
inches (8.8 centimeters) in height. The bottom edge of the truncated-
circular background shall be approximately 1 inch (2.5 centimeters) from 
the center. The acronym ``ILEV'' shall be printed on the label in 
contrasting block capital letters at least 1 inch (2.5 centimeters) tall 
and 0.8 inches (2.0 centimeters) wide with a stroke width not less than 
0.3 inches (0.8 centimeters). In addition, the words ``CLEAN AIR 
VEHICLE'' must be present in lettering no smaller than 0.4 inches (1.0 
centimeter) high. Nothing shall be added to the label which impairs 
readability. Labels shall include a serialized identification number.
    (d) Label removal. Fleet ILEV owners shall remove and dispose of the 
ILEV labels on a vehicle before selling or transferring ownership of an 
ILEV or offering it for lease (unless the ILEV is part of a daily rental 
fleet) or long-term loan. This provision shall not apply if the person 
who is receiving the vehicle demonstrates eligibility for expanded TCM 
exemptions under the federal ILEV program as described in paragraph (b) 
of this section, or is otherwise qualified under state regulations which 
expressly expand ILEV label eligibility.
    (e) Label replacement. (1) The manufacturer shall make replacement 
ILEV labels available to the fleet owner of a qualifying ILEV to replace 
any ILEV label which has been lost or removed due to vehicle damage, 
repair, sale, or lease. The fleet owner's request shall include proof of 
ownership of the ILEV in question and proof of the fleet owner's 
eligibility for ILEV TCM exemptions, as outlined in paragraph (c) of 
this section. Each label shall be imprinted with the same serial number 
as initially assigned to the damaged/missing ILEV label(s) for that 
vehicle. Any portion of a damaged label remaining

[[Page 36]]

on the ILEV shall be removed from the vehicle and submitted with the 
request as proof of loss.
    (2) Upon receipt of the replacement ILEV label(s), the fleet owner 
shall attach the new ILEV label(s) only to the vehicle for which 
replacement ILEV label(s) were requested.

[58 FR 11901, Mar. 1, 1993, as amended at 61 FR 128, Jan. 3, 1996]



Sec. 88.313-93  Incentives for the purchase of Inherently Low-Emission 
          Vehicles.

    (a) Administration. (1) The incentives granted to ILEVs provided in 
this section are not effective outside of nonattainment areas for which 
states are required to establish CFFV programs under section 246 of the 
CAA, unless specifically added by states for qualifying vehicles.
    (2) Incentives for purchasing ILEVs shall not be transferred between 
vehicles within the same fleet nor shall they be sold or traded.
    (3) No vehicle over 26,000 pounds (11,800 kilograms) GVWR shall be 
eligible for the following ILEV incentives.
    (b) Exemption from temporal TCMs. A fleet vehicle which has been 
certified and labeled as an ILEV according to the provisions of this 
section and which continues to be in compliance with applicable 
emissions standards and other ILEV program requirements shall be 
exempted from TCMs existing for air quality reasons included in approved 
state implementation plans which restrict vehicle usage based primarily 
on temporal considerations, such as time-of-day and day-of-week 
exemptions.
    (c) Exemption from high-occupancy vehicle lane restrictions. (1) A 
fleet vehicle which has been certified and labeled as an ILEV according 
to the provisions of Sec. Sec. 88.311 and 88.312 and which continues to 
be in compliance with applicable emissions standards and other ILEV 
program requirements shall be exempt from TCMs which restrict a 
vehicle's access to certain roadway lanes based on the number of 
occupants in that vehicle, usually known as high-occupancy vehicle (HOV) 
lanes. These exemptions shall not apply if they would create a clear and 
direct safety hazard.
    (2) In a state containing a covered area, or areas, the governor may 
petition the Administrator for a waiver from the exemption from HOV lane 
restrictions for ILEVs for any section of HOV lane in the covered 
area(s) that can be shown to be congested primarily due to the operation 
or projected operation of ILEVs. The waiver application shall 
demonstrate the infeasibility of other means of alleviating HOV/CAV lane 
congestion, such as adding an additional HOV/CAV lane, further 
increasing vehicle occupancy requirements and reducing the use of the 
lane by noneligible vehicles.

                     Tables to Subpart C of Part 88

   Table C94-1--Fleet Credit Table Based on Reduction in NMOG. Vehicle Equivalents for Light-Duty Vehicles and
                                                Light-Duty Trucks
       Table C94-1.1--Credit Generation: Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                  LDT 6000 GVWR,     LDT 6000 GVWR,   3750   eq>6000 GVWR,
              NMOG                  GVWR,       eq>3750 LVW      <=3750 ALVW      ALVW <=5750    5750
                                  <=3750 LVW     <=5750 LVW                           ALVW             ALVW
 
----------------------------------------------------------------------------------------------------------------
LEV............................         1.00           1.26             0.71             0.91             1.11
ULEV...........................         1.20           1.54             1.00             1.26             1.56
ZEV............................         1.43           1.83             1.43             1.83             2.23
----------------------------------------------------------------------------------------------------------------


[[Page 37]]


                 Table C94-1.2--Credit Generation: Purchasing a ULEV or ZEV To Meet the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  6000 GVWR,   3750   eq>6000 GVWR,
              NMOG                  GVWR,       eq>3750 LVW      <=3750 ALVW     ALVW,  <=5750   5750
                                  <=3750 LVW     <=5750 LVW                           ALVW             ALVW
 
----------------------------------------------------------------------------------------------------------------
LEV............................         0.00           0.00             0.00             0.00             0.00
ULEV...........................         0.20           0.29             0.29             0.34             0.45
ZEV............................         0.43           0.57             0.71             0.91             1.11
----------------------------------------------------------------------------------------------------------------


                  Table C94-1.3--Credit Needed in Lieu of Purchasing a LEV To Meet the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  6000 GVWR,   3750   eq>6000 GVWR,
              NMOG                  GVWR,       eq>3750 LVW      <=3750 ALVW      ALVW  <=5750     <=5750 ALVW
                                  <=3750 LVW     <=5750 LVW                           ALVW
 
----------------------------------------------------------------------------------------------------------------
LEV............................         1.00           1.26             0.71             0.91             1.11
----------------------------------------------------------------------------------------------------------------


 Table C94-2--Fleet Credit Table Based on Reduction in NMOG+NOX. Vehicle Equivalents for Light-Duty Vehicles and
                                                Light-Duty Trucks
       Table C94-2.1--Credit Generation: Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  6000 GVWR,   3750   eq>6000 GVWR,
            NMOG+NOX                GVWR,       eq>3750 LVW      <=3750 ALVW      ALVW  <=5750   5750
                                  <=3750 LVW     <=5750 LVW                           ALVW             ALVW
 
----------------------------------------------------------------------------------------------------------------
LEV............................         1.00           1.39             0.33             0.43             0.52
ULEV...........................         1.09           1.52             1.00             1.39             2.06
ZEV............................         1.73           2.72             1.73             2.72             3.97
----------------------------------------------------------------------------------------------------------------


                 Table C94-2.2--Credit Generation: Purchasing a ULEV or ZEV To Meet the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  6000 GVWR,   3750   eq>6000 GVWR,
            NMOG+NOX                GVWR,       eq>3750 LVW      <=3750 ALVW      ALVW  <=5750   5750
                                  <=3750 LVW     <=5750 LVW                           ALVW             ALVW
 
----------------------------------------------------------------------------------------------------------------
LEV............................         0.00           0.00             0.00             0.00             0.00
ULEV...........................         0.09           0.13             0.67             0.96             1.54
ZEV............................         0.73           1.34             1.40             2.29             3.45
----------------------------------------------------------------------------------------------------------------


                  Table C94-2.3--Credit Needed in Lieu of Purchasing a LEV To Meet the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  3750   eq>6000 GVWR,
              NMOG+NOX                  GVWR,       eq>3750 LVW       GVWR,       ALVW  <=5750   5750
                                      <=3750 LVW     <=5750 LVW    <=3750 ALVW        ALVW             ALVW
 
----------------------------------------------------------------------------------------------------------------
LEV................................         1.00           1.39           0.33           0.43             0.52
----------------------------------------------------------------------------------------------------------------


[[Page 38]]


    Table C94-3--Fleet Credit Table Based on Reduction in Carbon Monoxide. Vehicle Equivalents for Light-Duty
                                         Vehicles and Light-Duty Trucks
       Table C94-3.1--Credit Generation: Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  3750   eq>6000 GVWR,
                 CO                     GVWR,       eq>3750 LVW       GVWR,       ALVW  <=5750   5750
                                      <=3750 LVW     <=5750 LVW    <=3750 ALVW        ALVW             ALVW
 
----------------------------------------------------------------------------------------------------------------
LEV................................         1.00           1.00           1.00           1.00             1.00
ULEV...............................         2.00           2.29           2.00           2.29             2.47
ZEV................................         3.00           3.59           3.00           3.59             3.94
----------------------------------------------------------------------------------------------------------------


                 Table C94-3.2--Credit Generation: Purchasing a ULEV or ZEV To Meet the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  6000 GVWR,   3750   eq>6000 GVWR,
               CO                   GVWR,       eq>3750 LVW      <=3750 ALVW      ALVW  <=5750   5750
                                  <=3750 LVW     <=5750 LVW                           ALVW             ALVW
 
----------------------------------------------------------------------------------------------------------------
LEV............................         0.00           0.00             0.00             0.00             0.00
ULEV...........................         1.00           1.00             1.00             1.00             1.00
ZEV............................         2.00           2.29             2.00             2.29             2.47
----------------------------------------------------------------------------------------------------------------


                  Table C94-3.3--Credit Needed in Lieu of Purchasing a LEV To Meet The Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  6000 GVWR,   3750   eq>6000 GVWR,
               CO                   GVWR,       eq>3750 LVW      <=3750 ALVW      ALVW  <=5750   5750
                                  <=3750 LVW     <=5750 LVW                           ALVW             ALVW
 
----------------------------------------------------------------------------------------------------------------
LEV............................         1.00           1.00             1.00             1.00             1.00
----------------------------------------------------------------------------------------------------------------


 Table C94-4--Fleet Credit Table Based on Reduction in NMHC+NOX. Vehicle
 Equivalents for Heavy-Duty Vehicles--Table C94-4.1--Credit Generation:
    Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
------------------------------------------------------------------------
                                              Light    Medium     Heavy
                 NMHC+NOX                      HDV       HDV       HDV
------------------------------------------------------------------------
LEV.......................................      1.00      1.00      1.00
ULEV......................................      1.87      1.87      1.87
ZEV.......................................      3.53      3.53      3.53
------------------------------------------------------------------------


 Table C94-4.2--Credit Generation: Purchasing a ULEV or ZEV to Meet the
                                 Mandate
------------------------------------------------------------------------
                                                        Light    Medium
                      NMHC+NOX                           HDV       HDV
------------------------------------------------------------------------
LEV.................................................      0.00      0.00
ULEV................................................      0.87      0.87
ZEV.................................................      2.53      2.53
------------------------------------------------------------------------


  Table C94-4.3--Credit Needed in Lieu of Purchasing a LEV to Meet the
                                 Mandate
------------------------------------------------------------------------
                                                        Light    Medium
                      NMHC+NOX                           HDV       HDV
------------------------------------------------------------------------
LEV.................................................      1.00      1.00
------------------------------------------------------------------------


    Table C94-5--Fleet Credit Table Based on Reduction in Co. Vehicle
 Equivalents for Heavy-Duty Vehicles--Table C94-5.1--Credit Generation:
    Purchasing More Clean-Fuel Vehicles Than Required by the Mandate
------------------------------------------------------------------------
                                              Light    Medium     Heavy
                    CO                         HDV       HDV       HDV
------------------------------------------------------------------------
LEV.......................................      1.00      1.00      1.00
ULEV......................................      2.00      2.00      2.00
ZEV.......................................      3.00      3.00      3.00
------------------------------------------------------------------------


[[Page 39]]


 Table C94-5.2--Credit Generation: Purchasing a ULEV or ZEV to Meet the
                                 Mandate
------------------------------------------------------------------------
                                                        Light    Medium
                         CO                              HDV       HDV
------------------------------------------------------------------------
LEV.................................................      0.00      0.00
ULEV................................................      1.00      1.00
ZEV.................................................      2.00      2.00
------------------------------------------------------------------------


  Table C94-5.3--Credit Needed in Lieu of Purchasing a LEV to Meet the
                                 Mandate
------------------------------------------------------------------------
                                                        Light    Medium
                         CO                              HDV       HDV
------------------------------------------------------------------------
LEV.................................................      1.00      1.00
------------------------------------------------------------------------


[58 FR 11901, Mar. 1, 1993, as amended at 59 FR 50082, Sept. 30, 1994, 
61 FR 128, Jan. 3, 1996]



PART 89_CONTROL OF EMISSIONS FROM NEW AND IN-USE NONROAD 
COMPRESSION-IGNITION ENGINES--Table of Contents




                            Subpart A_General

Sec.
89.1 Applicability.
89.2 Definitions.
89.3 Acronyms and abbreviations.
89.4 [Reserved]
89.5 Table and figure numbering; position.
89.6 Reference materials.
89.7 Treatment of confidential information.

Appendix A to Subpart A--State Regulation of Nonroad Internal Combustion 
          Engines

        Subpart B_Emission Standards and Certification Provisions

89.101 Applicability.
89.102 Effective dates, optional inclusion, flexibility for equipment 
          manufacturers.
89.103 Definitions.
89.104 Useful life, recall, and warranty periods.
89.105 Certificate of conformity.
89.106 Prohibited controls.
89.107 Defeat devices.
89.108 Adjustable parameters, requirements.
89.109 Maintenance instructions and minimum allowable maintenance 
          intervals.
89.110 Emission control information label.
89.111 Averaging, banking, and trading of exhaust emissions.
89.112 Oxides of nitrogen, carbon monoxide, hydrocarbon, and particulate 
          matter exhaust emission standards.
89.113 Smoke emission standard.
89.114 Special and alternate test procedures.
89.115 Application for certificate.
89.116 Engine families.
89.117 Test fleet selection.
89.118 Deterioration factors and service accumulation.
89.119 Emission tests.
89.120 Compliance with emission standards.
89.121 Certificate of conformity effective dates.
89.122 Certification.
89.123 Amending the application and certificate of conformity.
89.124 Record retention, maintenance, and submission.
89.125 Production engines, annual report.
89.126 Denial, revocation of certificate of conformity.
89.127 Request for hearing.
89.128 Hearing procedures.
89.129 Right of entry.
89.130 Rebuild practices.

          Subpart C_Averaging, Banking, and Trading Provisions

89.201 Applicability.
89.202 Definitions.
89.203 General provisions.
89.204 Averaging.
89.205 Banking.
89.206 Trading.
89.207 Credit calculation.
89.208 Labeling.
89.209 Certification.
89.210 Maintenance of records.
89.211 End-of-year and final reports.
89.212 Notice of opportunity for hearing.

              Subpart D_Emission Test Equipment Provisions

89.301 Scope; applicability.
89.302 Definitions.
89.303 Symbols/abbreviations.
89.304 Equipment required for gaseous emissions; overview.
89.305 Equipment measurement accuracy/calibration frequency.
89.306 Dynamometer specifications and calibration weights.
89.307 Dynamometer calibration.
89.308 Sampling system requirements for gaseous emissions.
89.309 Analyzers required for gaseous emissions.
89.310 Analyzer accuracy and specifications.
89.311 Analyzer calibration frequency.
89.312 Analytical gases.
89.313 Initial calibration of analyzers.
89.314 Pre- and post-test calibration of analyzers.
89.315 Analyzer bench checks.
89.316 Analyzer leakage and response time.
89.317 NOX converter check.
89.318 Analyzer interference checks.
89.319 Hydrocarbon analyzer calibration.
89.320 Carbon monoxide analyzer calibration.

[[Page 40]]

89.321 Oxides of nitrogen analyzer calibration.
89.322 Carbon dioxide analyzer calibration.
89.323 NDIR analyzer calibration.
89.324 Calibration of other equipment.
89.325 Engine intake air temperature measurement.
89.326 Engine intake air humidity measurement.
89.327 Charge cooling.
89.328 Inlet and exhaust restrictions.
89.329 Engine cooling system.
89.330 Lubricating oil and test fuels.
89.331 Test conditions.

Appendix A to Subpart D--Tables
Appendix B to Subpart D--Figures

               Subpart E_Exhaust Emission Test Procedures

89.401 Scope; applicability.
89.402 Definitions.
89.403 Symbols/abbreviations.
89.404 Test procedure overview.
89.405 Recorded information.
89.406 Pre-test procedures.
89.407 Engine dynamometer test run.
89.408 Post-test procedures.
89.409 Data logging.
89.410 Engine test cycle.
89.411 Exhaust sample procedure--gaseous components.
89.412 Raw gaseous exhaust sampling and analytical system description.
89.413 Raw sampling procedures.
89.414 Air flow measurement specifications.
89.415 Fuel flow measurement specifications.
89.416 Raw exhaust gas flow.
89.417 Data evaluation for gaseous emissions.
89.418 Raw emission sampling calculations.
89.419 Dilute gaseous exhaust sampling and analytical system 
          description.
89.420 Background sample.
89.421 Exhaust gas analytical system; CVS bag sample.
89.422 Dilute sampling procedures--CVS calibration.
89.423 [Reserved]
89.424 Dilute emission sampling calculations.
89.425 [Reserved]

Appendix A to Subpart E--Figures
Appendix B to Subpart E--Tables 1

                Subpart F_Selective Enforcement Auditing

89.501 Applicability.
89.502 Definitions.
89.503 Test orders.
89.504 Testing by the Administrator.
89.505 Maintenance of records; submittal of information.
89.506 Right of entry and access.
89.507 Sample selection.
89.508 Test procedures.
89.509 Calculation and reporting of test results.
89.510 Compliance with acceptable quality level and passing and failing 
          criteria for selective enforcement audits.
89.511 Suspension and revocation of certificates of conformity.
89.512 Request for public hearing.
89.513 Administrative procedures for public hearing.
89.514 Hearing procedures.
89.515 Appeal of hearing decision.
89.516 Treatment of confidential information.

Appendix A to Subpart F--Sampling Plans for Selective Enforcement 
          Auditing of Nonroad Engines

         Subpart G_Importation of Nonconforming Nonroad Engines

89.601 Applicability.
89.602 Definitions.
89.603 General requirements for importation of nonconforming nonroad 
          engines.
89.604 Conditional admission.
89.605 Final admission of certified nonroad engines.
89.606 Inspection and testing of imported nonroad engines.
89.607 Maintenance of independent commercial importer's records.
89.608 ``In Use'' inspections and recall requirements.
89.609 Final admission of modification nonroad engines and test nonroad 
          engines.
89.610 Maintenance instructions, warranties, emission labeling.
89.611 Exemptions and exclusions.
89.612 Prohibited acts; penalties.
89.613 Treatment of confidential information.

                      Subpart H_Recall Regulations

89.701 Applicability.
89.702 Definitions.
89.703 Applicability of part 85, subpart S.

            Subpart I_Emission Defect Reporting Requirements

89.801 Applicability.
89.802 Definitions.
89.803 Applicability of part 85, subpart T.

                     Subpart J_Exemption Provisions

89.901 Applicability.
89.902 Definitions.
89.903 Application of section 216(10) of the Act.
89.904 Who may request an exemption.
89.905 Testing exemption.
89.906 Manufacturer-owned exemption and precertification exemption.

[[Page 41]]

89.907 Display exemption.
89.908 National security exemption.
89.909 Export exemptions.
89.910 Granting of exemptions.
89.911 Submission of exemption requests.
89.912 Treatment of confidential information.

      Subpart K_General Enforcement Provisions and Prohibited Acts

89.1001 Applicability.
89.1002 Definitions.
89.1003 Prohibited acts.
89.1004 General enforcement provisions.
89.1005 Injunction proceedings for prohibited acts.
89.1006 Penalties.
89.1007 Warranty provisions.
89.1008 In-use compliance provisions.

    Authority: 42 U.S.C. 7521, 7522, 7523, 7524, 7525, 7541, 7542, 7543, 
7545, 7547, 7549, 7550, and 7601(a).

    Source: 59 FR 31335, June 17, 1994, unless otherwise noted.



                            Subpart A_General



Sec. 89.1  Applicability.

    (a) This part applies for all compression-ignition nonroad engines 
(see definition of ``nonroad engine'' in Sec. 89.2) except those 
specified in paragraph (b) of this section. This means that the engines 
for which this part applies include but are not limited to the 
following:
    (1) Compression-ignition engines exempted from the requirements of 
40 CFR Part 92 by 40 CFR 92.907;
    (2) Compression-ignition engines exempted from the requirements of 
40 CFR Part 94 by 40 CFR 94.907;
    (3) Portable compression-ignition engines that are used in but not 
installed in marine vessels (as defined in the General Provisions of the 
United States Code, 1 U.S.C. 3);
    (4) Non-propulsion compression-ignition engines used in locomotives; 
and
    (5) Compression-ignition marine engines with rated power under 37 
kW.
    (b) (1) Aircraft engines. This part does not apply for engines used 
in aircraft (as defined in 40 CFR 87.1).
    (2) Mining engines. This part does not apply for engines used in 
underground mining of engines used in underground mining equipment and 
regulated by the Mining Safety and Health Administration (MSHA) in 30 
CFR Parts 7, 31, 32, 36, 56, 57, 70, and 75.
    (3) Locomotive engines. This part does not apply for engines that:
    (i) Are subject to the standards of 40 CFR part 92; or
    (ii) Are exempted from the requirements of 40 CFR part 92 by 
exemption provisions of 40 CFR part 92 other than those specified in 40 
CFR 92.907.
    (4) Marine engines. This part does not apply for engines that:
    (i) Are subject to the standards of 40 CFR part 94;
    (ii) Are exempted from the requirements of 40 CFR part 94 by 
exemption provisions of 40 CFR part 94 other than those specified in 40 
CFR 94.907; or
    (iii) Are marine engines (as defined in 40 CFR part 94) with rated 
power at or above 37kW that are manufactured in calendar years in which 
the standards of 40 CFR part 94 are not yet applicable.
    (5) Hobby engines. This part does not apply for engines with a per-
cylinder displacement of less than 50 cubic centimeters.
    (6) Tier 4 engines. This part does not apply to engines that are 
subject to emission standards under 40 CFR part 1039. See 40 CFR 1039.1 
to determine when that part 1039 applies. Note that certain requirements 
and prohibitions apply to engines built on or after January 1, 2006 if 
they are installed in stationary applications or in equipment that will 
be used solely for competition, as described in 40 CFR 1039.1 and 40 CFR 
1068.1; those provisions apply instead of the provisions of this part 
89.

[64 FR 73330, Dec. 29, 1999, as amended at 69 FR 39212, June 29, 2004]



Sec. 89.2  Definitions.

    The following definitions apply to part 89. All terms not defined 
herein have the meaning given them in the Act.
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401 et seq.
    Adjustable parameter means any device, system, or element of design 
which is physically capable of being adjusted (including those which are 
difficult to access) and which, if adjusted, may affect emissions or 
engine performance during emission testing.

[[Page 42]]

    Administrator means the Administrator of the Environmental 
Protection Agency or his or her authorized representative.
    Aircraft means any vehicle capable of sustained air travel above 
treetop heights.
    Auxiliary emission control device (AECD) means any element of design 
that senses temperature, vehicle speed, engine RPM, transmission gear, 
or any other parameter for the purpose of activating, modulating, 
delaying, or deactivating the operation of any part of the emission 
control system.
    Auxiliary marine diesel engine means a marine diesel engine that is 
not a propulsion marine diesel engine.
    Blue Sky Series engine means a nonroad engine meeting the 
requirements of Sec. 89.112(f).
    Certification means, with respect to new nonroad engines, obtaining 
a certificate of conformity for an engine family complying with the 
nonroad engine emission standards and requirements specified in this 
part.
    Compression-ignition means relating to a type of reciprocating, 
internal-combustion engine that is not a spark-ignition engine.
    Constant-speed engine means an engine that is governed to operate 
only at rated speed.
    Crankcase emissions means airborne substances emitted to the 
atmosphere from any portion of the engine crankcase ventilation or 
lubrication systems.
    Emission control system means any device, system, or element of 
design which controls or reduces the emission of substances from an 
engine.
    Engine, as used in this part, refers to nonroad engine.
    Engine manufacturer means any person engaged in the manufacturing or 
assembling of new nonroad engines or importing such engines for resale, 
or who acts for and is under the control of any such person in 
connection with the distribution of such engines. Engine manufacturer 
does not include any dealer with respect to new nonroad engines received 
by such person in commerce.
    Engine used in a locomotive means either an engine placed in the 
locomotive to move other equipment, freight, or passenger traffic, or an 
engine mounted on the locomotive to provide auxiliary power.
    EPA enforcement officer means any officer or employee of the 
Environmental Protection Agency so designated in writing by the 
Administrator (or by his or her designee).
    Exhaust gas recirculation means an emission control technology that 
reduces emissions by routing exhaust gases that had been exhausted from 
the combustion chamber(s) back into the engine to be mixed with incoming 
air prior to or during combustion. The use of valve timing to increase 
the amount of residual exhaust gas in the combustion chamber(s) that is 
mixed with incoming air prior to or during combustion is not considered 
to be exhaust gas recirculation for the purposes of this part.
    Family emission limit (FEL) means an emission level that is declared 
by the manufacturer to serve in lieu of an emission standard for 
certification purposes and for the averaging, banking, and trading 
program. A FEL must be expressed to the same number of decimal places as 
the applicable emission standard.
    Full load governed speed is the maximum full load speed as specified 
by the manufacturer in the sales and service literature and 
certification application. This speed is the highest engine speed with 
an advertised power greater than zero.
    Gross power means the power measured at the crankshaft or its 
equivalent, the engine being equipped only with the standard accessories 
(such as oil pumps, coolant pumps, and so forth) necessary for its 
operation on the test bed. Alternators must be used, if necessary, to 
run the engine. Fans, air conditioners, and other accessories may be 
used at the discretion of the manufacturer, but no power adjustments for 
these accessories may be made.
    Identification number means a specification (for example, model 
number/serial number combination) which allows a particular nonroad 
engine to be distinguished from other similar engines.
    Intermediate speed means peak torque speed if peak torque speed 
occurs from

[[Page 43]]

60 to 75 percent of rated speed. If peak torque speed is less than 60 
percent of rated speed, intermediate speed means 60 percent of rated 
speed. If peak torque speed is greater than 75 percent of rated speed, 
intermediate speed means 75 percent of rated speed.
    Marine diesel engine means a compression-ignition engine that is 
intended to be installed on a vessel.
    Model year (MY) means the manufacturer's annual new model production 
period which includes January 1 of the calendar year, ends no later than 
December 31 of the calendar year, and does not begin earlier than 
January 2 of the previous calendar year. Where a manufacturer has no 
annual new model production period, model year means calendar year.
    New for purposes of this part, means a nonroad engine, nonroad 
vehicle, or nonroad equipment the equitable or legal title to which has 
never been transferred to an ultimate purchaser. Where the equitable or 
legal title to the engine, vehicle, or equipment is not transferred to 
an ultimate purchaser until after the engine, vehicle, or equipment is 
placed into service, then the engine, vehicle, or equipment will no 
longer be new after it is placed into service. A nonroad engine, 
vehicle, or equipment is placed into service when it is used for its 
functional purposes. With respect to imported nonroad engines, nonroad 
vehicles, or nonroad equipment, the term new means an engine, vehicle, 
or piece of equipment that is not covered by a certificate of conformity 
issued under this part at the time of importation, and that is 
manufactured after the effective date of a regulation issued under this 
part which is applicable to such engine, vehicle, or equipment (or which 
would be applicable to such engine, vehicle, or equipment had it been 
manufactured for importation into the United States).
    Nonroad engine means:
    (1) Except as discussed in paragraph (2) of this definition, a 
nonroad engine is any internal combustion engine:
    (i) In or on a piece of equipment that is self-propelled or serves a 
dual purpose by both propelling itself and performing another function 
(such as garden tractors, off-highway mobile cranes and bulldozers); or
    (ii) In or on a piece of equipment that is intended to be propelled 
while performing its function (such as lawnmowers and string trimmers); 
or
    (iii) That, by itself or in or on a piece of equipment, is portable 
or transportable, meaning designed to be and capable of being carried or 
moved from one location to another. Indicia of transportability include, 
but are not limited to, wheels, skids, carrying handles, dolly, trailer, 
or platform.
    (2) An internal combustion engine is not a nonroad engine if:
    (i) the engine is used to propel a motor vehicle or a vehicle used 
solely for competition, or is subject to standards promulgated under 
section 202 of the Act; or
    (ii) the engine is regulated by a federal New Source Performance 
Standard promulgated under section 111 of the Act; or
    (iii) the engine otherwise included in paragraph (1)(iii) of this 
definition remains or will remain at a location for more than 12 
consecutive months or a shorter period of time for an engine located at 
a seasonal source. A location is any single site at a building, 
structure, facility, or installation. Any engine (or engines) that 
replaces an engine at a location and that is intended to perform the 
same or similar function as the engine replaced will be included in 
calculating the consecutive time period. An engine located at a seasonal 
source is an engine that remains at a seasonal source during the full 
annual operating period of the seasonal source. A seasonal source is a 
stationary source that remains in a single location on a permanent basis 
(i.e., at least two years) and that operates at that single location 
approximately three months (or more) each year. This paragraph does not 
apply to an engine after the engine is removed from the location.
    Nonroad equipment means equipment that is powered by nonroad 
engines.
    Nonroad vehicle means a vehicle that is powered by a nonroad engine 
as defined in this section and that is not a motor vehicle or a vehicle 
used solely for competition.

[[Page 44]]

    Nonroad vehicle or nonroad equipment manufacturer means any person 
engaged in the manufacturing or assembling of new nonroad vehicles or 
equipment r importing such vehicles or equipment for resale, or who acts 
for and is under the control of any such person in connection with the 
distribution of such vehicles or equipment. A nonroad vehicle or 
equipment manufacturer does not include any dealer with respect to new 
nonroad vehicles or equipment received by such person in commerce. A 
nonroad vehicle or equipment manufacturer does not include any person 
engaged in the manufacturing or assembling of new nonroad vehicles or 
equipment who does not install an engine as part of that manufacturing 
or assembling process. All nonroad vehicle or equipment manufacturing 
entities that are under the control of the same person are considered to 
be a single nonroad vehicle or nonroad equipment manufacturer.
    Opacity means the fraction of a beam of light, expressed in percent, 
which fails to penetrate a plume of smoke.
    Operating hours means:
    (1) For engine storage areas or facilities, all times during which 
personnel other than custodial personnel are at work in the vicinity of 
the storage area or facility and have access to it.
    (2) For all other areas or facilities, all times during which an 
assembly line is in operation or all times during which testing, 
maintenance, service accumulation, production or compilation of records, 
or any other procedure or activity related to certification testing, to 
translation of designs from the test stage to the production stage, or 
to engine manufacture or assembly is being carried out in a facility.
    Post-manufacture marinizer means a person who produces a marine 
diesel engine by substantially modifying a certified or uncertified 
complete or partially complete engine, and is not controlled by the 
manufacturer of the base engine or by an entity that also controls the 
manufacturer of the base engine. For the purpose of this definition, 
``substantially modify'' means changing an engine in a way that could 
change engine emission characteristics.
    Presentation of credentials means the display of the document 
designating a person as an EPA enforcement officer or EPA authorized 
representative.
    Propulsion marine diesel engine means a marine diesel engine that is 
intended to move a vessel through the water or direct the movement of a 
vessel.
    Rated speed is the maximum full load governed speed for governed 
engines and the speed of maximum horsepower for ungoverned engines.
    Spark-ignition means relating to a gasoline-fueled engine or other 
engines with a spark plug (or other sparking device) and with operating 
characteristics significantly similar to the theoretical Otto combustion 
cycle. Spark-ignition engines usually use a throttle to regulate intake 
air flow to control power during normal operation.
    Specific emissions means emissions expressed on the basis of 
observed brake power, using units of g/kW-hr. Observed brake power 
measurement includes accessories on the engine if these accessories are 
required for running an emission test (except for the cooling fan). When 
it is not possible to test the engine in the gross conditions, for 
example, if the engine and transmission form a single integral unit, the 
engine may be tested in the net condition. Power corrections from net to 
gross conditions will be allowed with prior approval of the 
Administrator.
    Sulfur-sensitive technology means an emission-control technology 
that experiences a significant drop in emission-control performance or 
emission-system durability when an engine is operated on low-sulfur fuel 
(i.e., fuel with a sulfur concentration up to 500 ppm) as compared to 
when it is operated on ultra low-sulfur fuel (i.e., fuel with a sulfur 
concentration less than 15 ppm). Exhaust-gas recirculation is not a 
sulfur-sensitive technology.
    Test fleet means the engine or group of engines that a manufacturer 
uses during certification to determine compliance with emission 
standards.
    Tier 1 engine means an engine subject to the Tier 1 emission 
standards listed in Sec. 89.112(a).
    Tier 2 engine means an engine subject to the Tier 2 emission 
standards listed in Sec. 89.112(a).

[[Page 45]]

    Tier 3 engine means an engine subject to the Tier 3 emission 
standards listed in Sec. 89.112(a).
    Ultimate purchaser means, with respect to any new nonroad engine, 
new nonroad vehicle, or new nonroad equipment, the first person who in 
good faith purchases such new nonroad engine, nonroad vehicle, or 
nonroad equipment for purposes other than resale.
    United States means the States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana 
Islands, Guam, American Samoa, the U.S. Virgin Islands, and the Trust 
Territory of the Pacific Islands.
    Used solely for competition means exhibiting features that are not 
easily removed and that would render its use other than in competition 
unsafe, impractical, or highly unlikely.
    U.S.-directed production volume means the number of nonroad 
equipment, vehicle, or marine diesel engine units produced by a 
manufacturer for which the manufacturer has reasonable assurance that 
sale was or will be made to ultimate purchasers in the United States.
    Vessel has the meaning given to it in 1 U.S.C. 3.

[59 FR 31335, June 17, 1994, as amended at 61 FR 52102, Oct. 4, 1996; 63 
FR 18998, Apr. 16, 1998; 63 FR 56996, Oct. 23, 1998; 65 FR 73331, Dec. 
29, 1999; 67 FR 68339, Nov. 8, 2002; 69 FR 39212, June 29, 2004]



Sec. 89.3  Acronyms and abbreviations.

    The following acronyms and abbreviations apply to part 89.

AECD Auxiliary emission control device
ASME American Society of Mechanical Engineers
ASTM American Society for Testing and Materials
CAA Clean Air Act
CAAA Clean Air Act Amendments of 1990
CI Compression-ignition
CO Carbon monoxide
CO2 Carbon dioxide
EGR Exhaust gas recirculation
EPA Environmental Protection Agency
FEL Family emission limit
FTP Federal Test Procedure
g/kW-hr Grams per kilowatt hour
HC Hydrocarbons
ICI Independent Commercial Importer
kW Kilowatt
NIST National Institute for Standards and Testing
NMHC Nonmethane hydrocarbon
NTIS National Technical Information Service
NO Nitric oxide
NO2 Nitrogen dioxide
NOX Oxides of nitrogen
O2 Oxygen
OEM Original equipment manufacturer
PM Particulate matter
SAE Society of Automotive Engineers
SEA Selective Enforcement Auditing
SI Spark-ignition
THC Total hydrocarbon
U.S.C. United States Code
VOC Volatile organic compounds

[59 FR 31335, June 17, 1994, as amended at 63 FR 56997, Oct. 23, 1998]



Sec. 89.4  [Reserved]



Sec. 89.5  Table and figure numbering; position.

    (a) Tables for each subpart appear in an appendix at the end of the 
subpart. Tables are numbered consecutively by order of appearance in the 
appendix. The table title will indicate the model year (if applicable) 
and the topic.
    (b) Figures for each subpart appear in an appendix at the end of the 
subpart. Figures are numbered consecutively by order of appearance in 
the appendix. The figure title will indicate the model year (if 
applicable) and the topic.



Sec. 89.6  Reference materials.

    (a) Incorporation by reference. The documents in paragraph (b) of 
this section have been incorporated by reference. The incorporation by 
reference was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be 
inspected at US EPA, OAR, 1200 Pennsylvania Ave., NW., Washington, DC 
20460, or at the National Archives and Records Administration (NARA). 
For information on the availability of this material at NARA, call 202-
741-6030, or go to: http://www.archives.gov/federal--register/code--of--
federal--regulations/ibr--locations.html.
    (b) The following paragraphs and tables set forth the material that 
has been incorporated by reference in this part.
    (1) ASTM material. The following table sets forth material from the

[[Page 46]]

American Society for Testing and Materials which has been incorporated 
by reference. The first column lists the number and name of the 
material. The second column lists the section(s) of this part, other 
than Sec. 89.6, in which the matter is referenced. The second column is 
presented for information only and may not be all inclusive. Copies of 
these materials may be obtained from American Society for Testing and 
Materials, 100 Barr Harbor Drive, West Conshohocken, PA 19428-2959.

------------------------------------------------------------------------
           Document number and name             40 CFR part 89 reference
------------------------------------------------------------------------
ASTM D86-97:
    ``Standard Test Method for Distillation    Appendix A to Subpart D.
     of Petroleum Products at Atmospheric
     Pressure''.
ASTM D93-97:
    ``Standard Test Methods for Flash Point    Appendix A to Subpart D.
     by Pensky-Martens Closed Cup Tester''.
ASTM D129-95:
    ``Standard Test Method for Sulfur in       Appendix A to Subpart D.
     Petroleum Products (General Bomb
     Method)''.
ASTM D287-92:
    ``Standard Test Method for API Gravity of  Appendix A to Subpart D
     Crude Petroleum and Petroleum Products''
     (Hydrometer Method).
ASTM D445-97:
    ``Standard Test Method for Kinematic       Appendix A to Subpart D.
     Viscosity of Transparent and Opaque
     Liquids (the Calculation of Dynamic
     Viscosity)''.
ASTM D613-95:
    ``Standard Test Method for Cetane Number   Appendix A to Subpart D.
     of Diesel Fuel Oil''.
ASTM D1319-98:
    ``Standard Test Method for Hydrocarbon     Appendix A to Subpart D.
     Types in Liquid Petroleum Products by
     Fluorescent Indicator Adsorption''.
ASTM D2622-98:
    ``Standard Test Method for Sulfur in       Appendix A to Subpart D.
     Petroleum Products by Wavelength
     Dispersive X-ray Fluorescence
     Spectrometry''.
ASTM D5186-96:
    ``Standard Test Method for                 Appendix A to Subpart D.
     ``Determination of the Aromatic Content
     and Polynuclear Aromatic Content of
     Diesel Fuels and Aviation Tubine Fuels
     By Supercritical Fluid Chromatography''.
ASTM E29-93a:
    ``Standard Practice for Using Significant  89.120; 89.207; 89.509.
     Digits in Test Data to Determine
     Conformance with Specifications''.
------------------------------------------------------------------------


[59 FR 31335, June 17, 1994, as amended at 63 FR 56997, Oct. 23, 1998]



Sec. 89.7  Treatment of confidential information.

    (a) Any manufacturer may assert that some or all of the information 
submitted pursuant to this part is entitled to confidential treatment as 
provided by part 2, subpart B of this chapter.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.
    (c) To assert that information submitted pursuant to this part is 
confidential, a manufacturer must indicate clearly the items of 
information claimed confidential by marking, circling, bracketing, 
stamping, or otherwise specifying the confidential information. 
Furthermore, EPA requests, but does not require, that the submitter also 
provide a second copy of its submittal from which all confidential 
information has been deleted. If a need arises to publicly release 
nonconfidential information, EPA will assume that the submitter has 
accurately deleted the confidential information from this second copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to this part is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
the Administrator only to the extent and by means of the procedures set 
forth in part 2, subpart B of this chapter.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by EPA without 
further notice to the submitter, in accordance with Sec. 
2.204(c)(2)(i)(A) of this chapter.

[[Page 47]]

Appendix A to Subpart A of Part 89--State Regulation of Nonroad Internal 
                           Combustion Engines

    This appendix sets forth the Environmental Protection Agency's 
(EPA's) interpretation of the Clean Air Act regarding the authority of 
states to regulate the use and operation of nonroad engines.
    EPA believes that states are not precluded under section 209 from 
regulating the use and operation of nonroad engines, such as regulations 
on hours of usage, daily mass emission limits, or sulfur limits on fuel; 
nor are permits regulating such operations precluded, once the engine is 
no longer new. EPA believes that states are precluded from requiring 
retrofitting of used nonroad engines except that states are permitted to 
adopt and enforce any such retrofitting requirements identical to 
California requirements which have been authorized by EPA under section 
209 of the Clean Air Act.

[62 FR 67736, Dec. 30, 1997]



        Subpart B_Emission Standards and Certification Provisions



Sec. 89.101  Applicability.

    The requirements of subpart B are applicable to all new nonroad 
compression-ignition engines subject to the provisions of subpart A of 
part 89, pursuant to the schedule delineated in Sec. 89.102.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.102  Effective dates, optional inclusion, flexibility for 
equipment manufacturers.

    (a) This subpart applies to all engines described in Sec. 89.101 
with the following power rating and manufactured after the following 
dates:
    (1) Less than 19 kW and manufactured on or after January 1, 2000;
    (2) Greater than or equal to 19 kW but less than 37 kW and 
manufactured on or after January 1, 1999;
    (3) Greater than or equal to 37 kW but less than 75 kW and 
manufactured on or after January 1, 1998;
    (4) Greater than or equal to 75 kW but less than 130 kW and 
manufactured on or after January 1, 1997;
    (5) Greater than or equal to 130 kW but less than or equal to 560 kW 
and manufactured on or after January 1, 1996;
    (6) Greater than 560 kW and manufactured on or after January 1, 
2000.
    (b) A manufacturer can optionally certify engines manufactured up to 
one calendar year prior to the effective date of mandatory certification 
to earn emission credits under the averaging, banking, and trading 
program. Such optionally certified engines are subject to all provisions 
relating to mandatory certification and enforcement described in this 
part.
    (c) Engines meeting the voluntary standards described in Sec. 
89.112(f) may be designated as Blue Sky Series engines through the 2004 
model year.
    (d) Implementation flexibility for equipment and vehicle 
manufacturers and post-manufacture marinizers. Nonroad equipment and 
vehicle manufacturers and post-manufacture marinizers may take any of 
the otherwise prohibited actions identified in Sec. 89.1003(a)(1) with 
respect to nonroad equipment and vehicles and marine diesel engines, 
subject to the requirements of paragraph (e) of this section. The 
following allowances apply separately to each engine power category 
subject to standards under Sec. 89.112:
    (1) Percent-of-production allowances. (i) Equipment rated at or 
above 37 kW. For nonroad equipment and vehicles with engines rated at or 
above 37 kW, a manufacturer may take any of the actions identified in 
Sec. 89.1003(a)(1) for a portion of its U.S.-directed production volume 
of such equipment and vehicles during the seven years immediately 
following the date on which Tier 2 engine standards first apply to 
engines used in such equipment and vehicles, provided that the seven-
year sum of these portions in each year, as expressed as a percentage 
for each year, does not exceed 80, and provided that all such equipment 
and vehicles or equipment contain Tier 1 engines;
    (ii) Equipment rated under 37 kW. For nonroad equipment and vehicles 
and marine diesel engines with engines rated under 37 kW, a manufacturer 
may take any of the actions identified in Sec. 89.1003(a)(1) for a 
portion of its U.S.-directed production volume of such equipment and 
vehicles during the seven years immediately following the date on which 
Tier 1 engine standards first apply to engines used in such

[[Page 48]]

equipment and vehicles, provided that the seven-year sum of these 
portions in each year, as expressed as a percentage for each year, does 
not exceed 80.
    (2) Small volume allowances. A nonroad equipment or vehicle 
manufacturer or post-manufacture marinizer may exceed the production 
percentages in paragraph (d)(1) of this section, provided that in each 
regulated power category the manufacturer's total of excepted nonroad 
equipment and vehicles and marine diesel engines:
    (i) Over the years in which the percent-of-production allowance 
applies does not exceed 100 units times the number of years in which the 
percent-of-production allowance applies; and
    (ii) Does not exceed 200 units in any year; and
    (iii) Does not use engines from more than one engine family, or, for 
excepted equipment vehicles, and marine diesel engines using engines not 
belonging to any engine family, from more than one engine manufacturer.
    (3) Inclusion of previous-tier engines. Nonroad equipment and 
vehicles and marine diesel engines built with previous tier or 
noncertified engines under the existing inventory provisions of Sec. 
89.1003(b)(4) need not be included in determining compliance with 
paragraphs (d)(1) and (d)(2) of this section.
    (e) Recordkeeping and calculation to verify compliance. The 
following shall apply to nonroad equipment or vehicle manufacturers and 
post-manufacture marinizers who produce excepted equipment or vehicles 
or marine diesel engines under the provisions of paragraph (d) of this 
section:
    (1) For each power category in which excepted nonroad equipment or 
vehicles or marine diesel engines are produced, a calculation to verify 
compliance with the requirements of paragraph (d) of this section shall 
be made by the nonroad equipment or vehicle manufacturer or post-
manufacture marinizer. This calculation shall be made no later than 
December 31 of the year following the last year in which allowances are 
used, and shall be based on actual production information from the 
subject years. If both the percent-of-production and small volume 
allowances have been exceeded, then the manufacturer is in violation of 
section 203 of the Act and Sec. 89.1003, except as provided under 
paragraphs (f) and (h) of this section.
    (2) A nonroad equipment or vehicle manufacturer or post-manufacture 
marinizer shall keep records of all nonroad equipment and vehicles and 
marine diesel engines excepted under the provisions of paragraph (d) of 
this section, for each power category in which exceptions are taken. 
These records shall include equipment and engine model numbers, serial 
numbers, and dates of manufacture, and engine rated power. In addition, 
the manufacturer shall keep records sufficient to demonstrate the 
verifications of compliance required in paragraph (e)(1) of this 
section. All records shall be kept until at least two full years after 
the final year in which allowances are available for each power 
category, and shall be made available to EPA upon request.
    (f) Hardship relief. Nonroad equipment and vehicle manufacturers and 
post-manufacture marinizers may take any of the otherwise prohibited 
actions identified in Sec. 89.1003(a)(1) if approved by the 
Administrator, and subject to the following requirements:
    (1) Application for relief must be submitted to the Engine Programs 
and Compliance Division of the EPA in writing prior to the earliest date 
in which the applying manufacturer would be in violation of Sec. 
89.1003. The manufacturer must submit evidence showing that the 
requirements for approval have been met.
    (2) The applying manufacturer must not be the manufacturer of the 
engines used in the equipment for which relief is sought. This 
requirement does not apply to post-manufacture marinizers.
    (3) The conditions causing the impending violation must not be 
substantially the fault of the applying manufacturer.
    (4) The conditions causing the impending violation must be such that 
the applying manufacturer will experience serious economic hardship if 
relief is not granted.
    (5) The applying manufacturer must demonstrate that no allowances 
under paragraph (d) of this section will be available to avoid the 
impending violation.

[[Page 49]]

    (6) Any relief granted must begin within one year after the 
implementation date of the standard applying to the engines being used 
in the equipment, or to the marine diesel engines, for which relief is 
requested, and may not exceed one year in duration.
    (7) The Administrator may impose other conditions on the granting of 
relief including provisions to recover the lost environmental benefit.
    (g) Allowance for the production of engines. Engine manufacturers 
may take any of the otherwise prohibited actions identified in Sec. 
89.1003(a)(1) with regard to uncertified engines or Tier 1 engines, as 
appropriate, if the engine manufacturer has received written assurance 
from the equipment manufacturer that the engine is required to meet the 
demand for engines created under paragraph (d), (f), or (h) of this 
section.
    (h) Alternative Flexibility for Post-Manufacture Marinizers. Post-
manufacture marinizers may elect to delay the effective date of the Tier 
1 standards in Sec. 89.112 for marine diesel engines rated under 37 kW 
by one year, instead of using the provisions of paragraphs (d) and (f) 
of this section. Post-manufacture marinizers wishing to take advantage 
of this provision must inform the Director of the Engine Programs and 
Compliance Division of their intent to do so in writing before the date 
that the standards would otherwise take effect.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
56997, Oct. 23, 1998]



Sec. 89.103  Definitions.

    The definitions in subpart A of part 89 apply to this subpart. All 
terms not defined herein or in subpart A have the meaning given them in 
the Act.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.104  Useful life, recall, and warranty periods.

    (a) The useful life is based on the rated power and rated speed of 
the engine.
    (1) For all engines rated under 19 kW, and for constant speed 
engines rated under 37 kW with rated speeds greater than or equal to 
3,000 rpm, the useful life is a period of 3,000 hours or five years of 
use, whichever first occurs.
    (2) For all other engines rated at or above 19 kW and under 37 kW, 
the useful life is a period of 5,000 hours or seven years of use, 
whichever first occurs.
    (3) For all engines rated at or above 37 kW, the useful life is a 
period of 8,000 hours of operation or ten years of use, whichever first 
occurs.
    (b) Engines are subject to recall testing for a period based on the 
rated power and rated speed of the engines. However, in a recall, 
engines in the subject class or category would be subject to recall 
regardless of actual years or hours of operation.
    (1) For all engines rated under 19 kW, and for constant speed 
engines rated under 37 kW with rated speeds greater than or equal to 
3,000 rpm, the engines are subject to recall testing for a period of 
2,250 hours or four years of use, whichever first occurs.
    (2) For all other engines rated at or above 19 kW and under 37 kW, 
the engines are subject to recall for a period of 3,750 hours or five 
years of use, whichever first occurs.
    (3) For all engines rated at or above 37 kW, the engines are subject 
to recall for a period of 6,000 hours of operation or seven years of 
use, whichever first occurs.
    (c) The warranty periods for warranties imposed by the Clean Air Act 
and Sec. 89.1007 for all engines rated under 19 kW, and for constant 
speed engines rated under 37 kW with rated speeds greater than or equal 
to 3,000 rpm, are 1,500 hours of operation or two years of use, 
whichever first occurs. For all other engines, the warranty periods for 
warranties imposed by the Clean Air Act and Sec. 89.1007 are 3,000 
hours of operation or five years of use, whichever first occurs.
    (d) Manufacturers may apply to the Administrator for approval for a 
shorter useful life period for engines that are subject to severe 
service in seasonal equipment, or are designed specifically for lower 
useful life hours to match equipment life. Such an application must be 
made prior to certification.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
56998, Oct. 23, 1998]

[[Page 50]]



Sec. 89.105  Certificate of conformity.

    Every manufacturer of a new nonroad compression-ignition engine must 
obtain a certificate of conformity covering the engine family, as 
described in Sec. 89.116. The certificate of conformity must be 
obtained from the Administrator prior to selling, offering for sale, 
introducing into commerce, or importing into the United States the new 
nonroad compression-ignition engine for each model year.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.106  Prohibited controls.

    (a) An engine may not be equipped with an emission control system 
for the purpose of complying with emission standards if such system will 
cause or contribute to an unreasonable risk to public health, welfare, 
or safety in its operation or function.
    (b) You may not design your engines with emission-control devices, 
systems, or elements of design that cause or contribute to an 
unreasonable risk to public health, welfare, or safety while operating. 
For example, this would apply if the engine emits a noxious or toxic 
substance it would otherwise not emit that contributes to such an 
unreasonable risk.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998; 
67 FR 68339, Nov. 8, 2002]



Sec. 89.107  Defeat devices.

    (a) An engine may not be equipped with a defeat device.
    (b) For purposes of this section, ``defeat device'' means any 
device, system, or element of design which senses operation outside 
normal emission test conditions and reduces emission control 
effectiveness.
    (1) Defeat device includes any auxiliary emission control device 
(AECD) that reduces the effectiveness of the emission control system 
under conditions which may reasonably be expected to be encountered in 
normal operation and use unless such conditions are included in the test 
procedure.
    (2) Defeat device does not include such items which either operate 
only during engine starting or are necessary to protect the engine (or 
equipment in which it is installed) against damage or accident during 
its operation.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.108  Adjustable parameters, requirements.

    (a) Nonroad engines equipped with adjustable parameters must comply 
with all requirements of this subpart for any adjustment in the 
physically adjustable range.
    (b) An operating parameter is not considered adjustable if it is 
permanently sealed or otherwise not normally accessible using ordinary 
tools.
    (c) The Administrator may require that adjustable parameters be set 
to any specification within its adjustable range for certification, 
selective enforcement audit, or in-use testing to determine compliance 
with the requirements of this subpart.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.109  Maintenance instructions and minimum allowable maintenance 
intervals.

    (a) The manufacturer must furnish or cause to be furnished to the 
ultimate purchaser of each new nonroad engine subject to standards under 
this part written instructions for the maintenance needed to ensure 
proper functioning of the emission control system. Paragraphs (b) 
through (h) of this section do not apply to Tier 1 engines with rated 
power at or above 37 kW.
    (b) Maintenance performed on equipment, engines, subsystems or 
components used to determine exhaust emission deterioration factors is 
classified as either emission-related or nonemission-related and each of 
these can be classified as either scheduled or unscheduled. Further, 
some emission-related maintenance is also classified as critical 
emission-related maintenance.
    (c) This paragraph (c) specifies emission-related scheduled 
maintenance for purposes of obtaining durability data for nonroad 
engines. The maintenance intervals specified below are minimum 
intervals:
    (1) All emission-related scheduled maintenance for purposes of 
obtaining durability data must occur at the same or longer hours of use 
intervals as

[[Page 51]]

those specified in the manufacturer's maintenance instructions furnished 
to the ultimate purchaser of the engine under paragraph (a) of this 
section. This maintenance schedule may be updated as necessary 
throughout the testing of the engine, provided that no maintenance 
operation is deleted from the maintenance schedule after the operation 
has been performed on the test equipment or engine.
    (2) Any emission-related maintenance which is performed on 
equipment, engines, subsystems, or components must be technologically 
necessary to ensure in-use compliance with the emission standards. The 
manufacturer must submit data which demonstrate to the Administrator 
that all of the emission-related scheduled maintenance which is to be 
performed is technologically necessary. Scheduled maintenance must be 
approved by the Administrator prior to being performed or being included 
in the maintenance instructions provided to the purchasers under 
paragraph (a) of this section.
    (i) The Administrator may require longer maintenance intervals than 
those listed in paragraphs (c)(3) and (c)(4) of this section where the 
listed intervals are not technologically necessary.
    (ii) The Administrator may allow manufacturers to specify shorter 
maintenance intervals than those listed in paragraphs (c)(3) and (c)(4) 
of this section where technologically necessary for engines rated under 
19 kW, or for constant speed engines rated under 37 kW with rated speeds 
greater than or equal to 3,000 rpm.
    (3) The adjustment, cleaning, repair, or replacement of items listed 
in paragraphs (c)(3)(i) through (c)(3)(iii) of this section shall occur 
at 1,500 hours of use and at 1,500-hour intervals thereafter.
    (i) Exhaust gas recirculation system-related filters and coolers.
    (ii) Positive crankcase ventilation valve.
    (iii) Fuel injector tips (cleaning only).
    (4) The adjustment, cleaning and repair of items in paragraphs 
(c)(4)(i) through (c)(4)(vii) of this section shall occur at 3,000 hours 
of use and at 3,000-hour intervals thereafter for nonroad compression-
ignition engines rated under 130 kW, or at 4,500-hour intervals 
thereafter for nonroad compression-ignition engines rated at or above 
130 kW.
    (i) Fuel injectors.
    (ii) Turbocharger.
    (iii) Electronic engine control unit and its associated sensors and 
actuators.
    (iv) Particulate trap or trap-oxidizer system (including related 
components).
    (v) Exhaust gas recirculation system (including all related control 
valves and tubing) except as otherwise provided in paragraph (c)(3)(i) 
of this section.
    (vi) Catalytic convertor.
    (vii) Any other add-on emission-related component (i.e., a component 
whose sole or primary purpose is to reduce emissions or whose failure 
will significantly degrade emission control and whose function is not 
integral to the design and performance of the engine).
    (d) Scheduled maintenance not related to emissions which is 
reasonable and technologically necessary (e.g., oil change, oil filter 
change, fuel filter change, air filter change, cooling system 
maintenance, adjustment of idle speed, governor, engine bolt torque, 
valve lash, injector lash, timing, lubrication of the exhaust manifold 
heat control valve, etc.) may be performed on durability vehicles at the 
least frequent intervals recommended by the manufacturer to the ultimate 
purchaser, (e.g., not the intervals recommended for severe service).
    (e) Adjustment of engine idle speed on emission data engines may be 
performed once before the low-hour emission test point. Any other 
engine, emission control system, or fuel system adjustment, repair, 
removal, disassembly, cleaning, or replacement on emission data vehicles 
shall be performed only with advance approval of the Administrator.
    (f) Equipment, instruments, or tools may not be used to identify 
malfunctioning, maladjusted, or defective engine components unless the 
same or equivalent equipment, instruments, or tools will be available to 
dealerships and other service outlets and:

[[Page 52]]

    (1) Are used in conjunction with scheduled maintenance on such 
components; or
    (2) Are used subsequent to the identification of a vehicle or engine 
malfunction, as provided in paragraph (e) of this section for emission 
data engines; or
    (3) Specifically authorized by the Administrator.
    (g) All test data, maintenance reports, and required engineering 
reports shall be compiled and provided to the Administrator in 
accordance with Sec. 89.124.
    (h)(1) The components listed in paragraphs (h)(1)(i) through 
(h)(1)(vi) of this section are defined as critical emission-related 
components.
    (i) Catalytic converter.
    (ii) Electronic engine control unit and its associated sensors and 
actuators.
    (iii) Exhaust gas recirculation system (including all related 
filters, coolers, control valves, and tubing).
    (iv) Positive crankcase ventilation valve.
    (v) Particulate trap or trap-oxidizer system.
    (vi) Any other add-on emission-related component (i.e., a component 
whose sole or primary purpose is to reduce emissions or whose failure 
will significantly degrade emission control and whose function is not 
integral to the design and performance of the engine).
    (2) All critical emission-related scheduled maintenance must have a 
reasonable likelihood of being performed in use. The manufacturer must 
show the reasonable likelihood of such maintenance being performed in-
use. Critical emission-related scheduled maintenance items which satisfy 
one of the conditions defined in paragraphs (h)(2)(i) through (h)(2)(vi) 
of this section will be accepted as having a reasonable likelihood of 
being performed in use.
    (i) Data are presented which establish for the Administrator a 
connection between emissions and vehicle performance such that as 
emissions increase due to lack of maintenance, vehicle performance will 
simultaneously deteriorate to a point unacceptable for typical 
operation.
    (ii) Survey data are submitted which adequately demonstrate to the 
Administrator with an 80 percent confidence level that 80 percent of 
such engines already have this critical maintenance item performed in-
use at the recommended interval(s).
    (iii) A clearly displayed visible signal system approved by the 
Administrator is installed to alert the equipment operator that 
maintenance is due. A signal bearing the message ``maintenance needed'' 
or ``check engine,'' or a similar message approved by the Administrator, 
shall be actuated at the appropriate usage point or by component 
failure. This signal must be continuous while the engine is in operation 
and not be easily eliminated without performance of the required 
maintenance. Resetting the signal shall be a required step in the 
maintenance operation. The method for resetting the signal system shall 
be approved by the Administrator. The system must not be designed to 
deactivate upon the end of the useful life of the engine or thereafter.
    (iv) A manufacturer may desire to demonstrate through a survey that 
a critical maintenance item is likely to be performed without a visible 
signal on a maintenance item for which there is no prior in-use 
experience without the signal. To that end, the manufacturer may in a 
given model year market up to 200 randomly selected vehicles per 
critical emission-related maintenance item without such visible signals, 
and monitor the performance of the critical maintenance item by the 
owners to show compliance with paragraph (h)(2)(ii) of this section. 
This option is restricted to two consecutive model years and may not be 
repeated until any previous survey has been completed. If the critical 
maintenance involves more than one engine family, the sample will be 
sales weighted to ensure that it is representative of all the families 
in question.
    (v) The manufacturer provides the maintenance free of charge, and 
clearly informs the customer that the maintenance is free in the 
instructions provided under paragraph (a) of this section.

[[Page 53]]

    (vi) The manufacturer uses any other method which the Administrator 
approves as establishing a reasonable likelihood that the critical 
maintenance will be performed in-use.
    (3) Visible signal systems used under paragraph (h)(2)(iii) of this 
section are considered an element of design of the emission control 
system. Therefore, disabling, resetting, or otherwise rendering such 
signals inoperative without also performing the indicated maintenance 
procedure is a prohibited act.

[63 FR 56999, Oct. 23, 1998]



Sec. 89.110  Emission control information label.

    (a) The manufacturer must affix at the time of manufacture a 
permanent and legible label identifying each nonroad engine. The label 
must meet the following requirements:
    (1) Be attached in such a manner that it cannot be removed without 
destroying or defacing the label;
    (2) Be durable and readable for the entire engine life;
    (3) Be secured to an engine part necessary for normal engine 
operation and not normally requiring replacement during engine life;
    (4) Be written in English; and
    (5) Be located so as to be readily visible to the average person 
after the engine is installed in the equipment. A supplemental label 
meeting all the requirements of this section may be attached to a 
location other than the engine, in cases where the required label must 
be obscured after the engine is installed in the equipment.
    (b) The label must contain the following information:
    (1) The heading ``Important Engine Information;''
    (2) The full corporate name and trademark of the manufacturer;
    (3) EPA standardized engine family designation;
    (4) Engine displacement;
    (5) Advertised power;
    (6) Engine tuneup specifications and adjustments. These should 
indicate the proper transmission position during tuneup, and accessories 
(for example, air conditioner), if any, that should be in operation;
    (7) Fuel requirements;
    (8) Date of manufacture (month and year). The manufacturer may, in 
lieu of including the date of manufacture on the engine label, maintain 
a record of the engine manufacture dates. The manufacturer shall provide 
the date of manufacture records to the Administrator upon request;
    (9) Family emission limits (FELs) if applicable;
    (10) The statement: ``This engine conforms to [model year] U.S. EPA 
regulations large nonroad compression- ignition engines;''
    (11) Engines belonging to an engine family that has been certified 
as a constant-speed engine using the test cycle specified in Table 2 of 
appendix B to subpart E of this part must contain the statement on the 
label: ``constant-speed only''; and
    (12) Engines meeting the voluntary standards described in Sec. 
89.112(f)(1) to be designated as Blue Sky Series engines must contain 
the statement on the label: ``Blue Sky Series''.
    (c) Other information concerning proper maintenance and use or 
indicating compliance or noncompliance with other standards may be 
indicated on the label.
    (d) Each engine must have a legible unique engine identification 
number permanently affixed to or engraved on the engine.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57000, Oct. 23, 1998]



Sec. 89.111  Averaging, banking, and trading of exhaust emissions.

    Regulations regarding the availability of an averaging, banking, and 
trading program along with applicable record- keeping requirements are 
found in subpart C of this part. Participation in the averaging, 
banking, and trading program is optional.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.112  Oxides of nitrogen, carbon monoxide, hydrocarbon, and 
particulate matter exhaust emission standards.

    (a) Exhaust emission from nonroad engines to which this subpart is 
applicable shall not exceed the applicable exhaust emission standards 
contained in Table 1, as follows:

[[Page 54]]

[GRAPHIC] [TIFF OMITTED] TR23OC98.001

    (b) Exhaust emissions of oxides of nitrogen, carbon monoxide, 
hydrocarbon, and nonmethane hydrocarbon are measured using the 
procedures set forth in subpart E of this part.

[[Page 55]]

    (c) Exhaust emission of particulate matter is measured using the 
California Regulations for New 1996 and Later Heavy-Duty Off-Road Diesel 
Cycle Engines. This procedure is incorporated by reference. See Sec. 
89.6.
    (d) In lieu of the NOX standards, NMHC + NOX 
standards, and PM standards specified in paragraph (a) of this section, 
manufacturers may elect to include engine families in the averaging, 
banking, and trading program, the provisions of which are specified in 
subpart C of this part. The manufacturer must set a family emission 
limit (FEL) not to exceed the levels contained in Table 2. The FEL 
established by the manufacturer serves as the standard for that engine 
family. Table 2 follows:

[[Page 56]]

[GRAPHIC] [TIFF OMITTED] TR23OC98.002

    (e) Naturally aspirated nonroad engines to which this subpart is 
applicable shall not discharge crankcase emissions into the ambient 
atmosphere, unless such crankcase emissions are permanently routed into 
the exhaust and included in all exhaust emission measurements. This 
provision applies to all

[[Page 57]]

Tier 2 engines and later models. This provision does not apply to 
engines using turbochargers, pumps, blowers, or superchargers for air 
induction.
    (f) The following paragraphs define the requirements for low-
emitting Blue Sky Series engines:
    (1) Voluntary standards. Engines may be designated ``Blue Sky 
Series'' engines by meeting the voluntary standards listed in Table 3, 
which apply to all certification and in-use testing, as follows:

             Table 3--Voluntary Emission Standards (g/kW-hr)
------------------------------------------------------------------------
              Rated Brake  Power (kW)                 NMHC+NOX      PM
------------------------------------------------------------------------
kW<8..............................................          4.6     0.48
8<=kW<19..........................................          4.5     0.48
19<=kW<37.........................................          4.5     0.36
37<=kW<75.........................................          4.7     0.24
75<=kW<130........................................          4.0     0.18
130<=kW<=560......................................          4.0     0.12
kW560..................................          3.8     0.12
------------------------------------------------------------------------

    (2) Additional standards. Blue Sky Series engines are subject to all 
provisions that would otherwise apply under this part, except as 
specified in paragraph (f)(3) of this section.
    (3) Test procedures. NOX. NMHC, and PM emissions are 
measured using the procedures set forth in 40 CFR part 86, subpart N, in 
lieu of the procedures set forth in subpart E of this part. CO emissions 
may be measured using the procedures set forth either in 40 CFR part 86, 
subpart N, or in Subpart E of this part. Manufacturers may use an 
alternate procedure to demonstrate the desired level of emission control 
if approved in advance by the Administrator. Engines meeting the 
requirements to qualify as Blue Sky Series engines must be capable of 
maintaining a comparable level of emission control when tested using the 
procedures set forth in paragraph (c) of this section and subpart E of 
this part. The numerical emission levels measured using the procedures 
from subpart E of this part may be up to 20 percent higher than those 
measured using the procedures from 40 CFR part 86, subpart N, and still 
be considered comparable.
    (g) Manufacturers of engines at or above 37 kW and below 56 kW from 
model years 2008 through 2012 that are subject to the standards of this 
section under 40 CFR 1039.102 must take the following additional steps:
    (1) State the applicable PM standard on the emission control 
information label.
    (2) Add information to the emission-related installation 
instructions to clarify the equipment manufacturer's obligations under 
40 CFR 1039.104(f).

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57000, Oct. 23, 1998; 69 FR 39212, June 29, 2004]



Sec. 89.113  Smoke emission standard.

    (a) Exhaust opacity from compression-ignition nonroad engines for 
which this subpart is applicable must not exceed:
    (1) 20 percent during the acceleration mode;
    (2) 15 percent during the lugging mode; and
    (3) 50 percent during the peaks in either the acceleration or 
lugging modes.
    (b) Opacity levels are to be measured and calculated as set forth in 
40 CFR part 86, subpart I. Notwithstanding the provisions of 40 CFR part 
86, subpart I, two-cylinder nonroad engines may be tested using an 
exhaust muffler that is representative of exhaust mufflers used with the 
engines in use.
    (c) The following engines are exempt from the requirements of this 
section:
    (1) Single-cylinder engines;
    (2) Propulsion marine diesel engines; and
    (3) Constant-speed engines.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57003, Oct. 23, 1998]



Sec. 89.114  Special and alternate test procedures.

    (a) Special test procedures. The Administrator may, on the basis of 
written application by a manufacturer, establish special test procedures 
other than those set forth in this part, for any nonroad engine that the 
Administrator determines is not susceptible to satisfactory testing 
under the specified test procedures set forth in subpart E of this part 
or 40 CFR part 86, subpart I.
    (b) Alternate test procedures. (1) A manufacturer may elect to use 
an alternate test procedure provided that it yields equivalent results 
to the specified procedures, its use is approved in advance by the 
Administrator, and the

[[Page 58]]

basis for equivalent results with the specified test procedures is fully 
described in the manufacturer's application.
    (2) The Administrator may reject data generated under alternate test 
procedures which do not correlate with data generated under the 
specified procedures.
    (3) A manufacturer may elect to use the test procedures in 40 CFR 
part 1065 as an alternate test procedure without advance approval by the 
Administrator. The manufacturer must identify in its application for 
certification that the engines were tested using the procedures in 40 
CFR part 1065.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57003, Oct. 23, 1998; 69 FR 39212, June 29, 2004]



Sec. 89.115  Application for certificate.

    (a) For each engine family that complies with all applicable 
standards and requirements, the engine manufacturer must submit to the 
Administrator a completed application for a certificate of conformity.
    (b) The application must be approved and signed by the authorized 
representative of the manufacturer.
    (c) The application will be updated and corrected by amendment as 
provided for in Sec. 89.123 to accurately reflect the manufacturer's 
production.
    (d) Required content. Each application must include the following 
information:
    (1) A description of the basic engine design including, but not 
limited to, the engine family specifications, the provisions of which 
are contained in Sec. 89.116;
    (2) An explanation of how the emission control system operates, 
including a detailed description of all emission control system 
components, each auxiliary emission control device (AECD), and all fuel 
system components to be installed on any production or test engine(s);
    (3) Proposed test fleet selection and the rationale for the test 
fleet selection;
    (4) Special or alternate test procedures, if applicable;
    (5) The period of operation necessary to accumulate service hours on 
test engines and stabilize emission levels;
    (6) A description of all adjustable operating parameters (including, 
but not limited to, injection timing and fuel rate), including the 
following:
    (i) The nominal or recommended setting and the associated production 
tolerances;
    (ii) The intended physically adjustable range;
    (iii) The limits or stops used to establish adjustable ranges;
    (iv) Production tolerances of the limits or stops used to establish 
each physically adjustable range; and
    (v) Information relating to why the physical limits or stops used to 
establish the physically adjustable range of each parameter, or any 
other means used to inhibit adjustment, are effective in preventing 
adjustment of parameters to settings outside the manufacturer's intended 
physically adjustable ranges on in-use engines;
    (7) For families participating in the averaging, banking, and 
trading program, the information specified in subpart C of this part;
    (8) A description of the test equipment and fuel proposed to be 
used;
    (9) All test data obtained by the manufacturer on each test engine;
    (10) An unconditional statement certifying that all engines in the 
engine family comply with all requirements of this part and the Clean 
Air Act.
    (e) At the Administrator's request, the manufacturer must supply 
such additional information as may be required to evaluate the 
application including, but not limited to, projected nonroad engine 
production.
    (f)(1) The Administrator may modify the information submission 
requirements of paragraph (d) of this section, provided that all of the 
information specified therein is maintained by the engine manufacturer 
as required by Sec. 89.124, and amended, updated, or corrected as 
necessary.
    (2) For the purposes of this paragraph, Sec. 89.124(a)(1) includes 
all information specified in paragraph (d) of this section whether or 
not such information is actually submitted to the Administrator for any 
particular model year.
    (3) The Administrator may review an engine manufacturer's records at 
any

[[Page 59]]

time. At the Administrator's discretion, this review may take place 
either at the manufacturer's facility or at another facility designated 
by the Administrator.

[59 FR 31335, June 17, 1994, as amended at 61 FR 20741, May 8, 1996. 
Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.116  Engine families.

    (a) A manufacturer's product line is divided into engine families 
that are comprised of engines expected to have similar emission 
characteristics throughout their useful life periods.
    (b) The following characteristics distinguish engine families:
    (1) Fuel;
    (2) Cooling medium;
    (3) Method of air aspiration;
    (4) Method of exhaust aftertreatment (for example, catalytic 
converter or particulate trap);
    (5) Combustion chamber design;
    (6) Bore;
    (7) Stroke;
    (8) Number of cylinders, (engines with aftertreatment devices only); 
and
    (9) Cylinder arrangement (engines with aftertreatment devices only).
    (c) Upon a showing by the manufacturer that the useful life period 
emission characteristics are expected to be similar, engines differing 
in one or more of the characteristics in paragraph (b) of this section 
may be grouped in the same engine family.
    (d) Upon a showing by the manufacturer that the expected useful life 
period emission characteristics will be different, engines identical in 
all the characteristics of paragraph (b) of this section may be divided 
into separate engine families.
    (e)(1) This paragraph (e) applies only to the placement of Tier 1 
engines with power ratings under 37 kW into engine families. The 
provisions of paragraphs (a) through (d) of this section also apply to 
these engines. The power categories referred to in this paragraph (e) 
are those for which separate standards or implementation dates are 
described in Sec. 89.112.
    (2) A manufacturer may place engines with power ratings in one power 
category into an engine family comprised of engines with power ratings 
in another power category, and consider all engines in the engine family 
as being in the latter power category for the purpose of determining 
compliance with the standards and other requirements of this part, 
subject to approval in advance by the Administrator and the following 
restrictions:
    (i) The engines that have power ratings outside the engine family's 
power category must constitute less than half of the engine family's 
sales in each model year for which the engine family grouping is made; 
and
    (ii) The engines that have power ratings outside the engine family's 
power category must have power ratings that are within ten percent of 
either of the two power levels that define the engine family's power 
category.
    (3) The restrictions described in paragraphs (e)(2)(i) and 
(e)(2)(ii) of this section do not apply if the emissions standards and 
other requirements of this part are at least as stringent for the engine 
family's power category as those of the other power categories 
containing engines in the engine family.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57003, Oct. 23, 1998]



Sec. 89.117  Test fleet selection.

    (a) The manufacturer must select for testing, from each engine 
family, the engine with the most fuel injected per stroke of an 
injector, primarily at the speed of maximum torque and secondarily at 
rated speed.
    (b) Each engine in the test fleet must be constructed to be 
representative of production engines.
    (c) After review of the manufacturer's test fleet, the Administrator 
may select from the available fleet one additional test engine from each 
engine family.
    (d) For establishing deterioration factors, the manufacturer shall 
select the engines, subsystems, or components to be used to determine 
exhaust emission deterioration factors for each engine-family control 
system combination. Engines, subsystems, or components shall be selected 
so that their emission deterioration characteristics are expected to 
represent those of in-

[[Page 60]]

use engines, based on good engineering judgment.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57003, Oct. 23, 1998]



Sec. 89.118  Deterioration factors and service accumulation.

    This section applies to service accumulation used to determine 
deterioration factors and service accumulation used to condition test 
engines. Paragraphs (a) and (b) of this section apply only for service 
accumulation used to condition test engines. Paragraph (e) of this 
section applies only for service accumulation used to determine 
deterioration factors. Paragraphs (c) and (d) of this section apply for 
all service accumulation required by this part.
    (a)(1) Each test engine in the test fleet must be operated with all 
emission control systems operating properly for a period sufficient to 
stabilize emissions.
    (2) A manufacturer may elect to consider as stabilized emission 
levels from engines with no more than 125 hours of service.
    (b) No maintenance, other than recommended lubrication and filter 
changes, may be performed during service accumulation without the 
Administrator's approval.
    (c) Service accumulation should be performed in a manner using good 
engineering judgment to ensure that emissions are representative of in-
use engines.
    (d) The manufacturer must maintain, and provide to the Administrator 
if requested, records stating the rationale for selecting the service 
accumulation period and records describing the method used to accumulate 
service hours on the test engine(s).
    (e) This paragraph (e) describes service accumulation and 
alternative requirements for the purpose of developing deterioration 
factor.
    (1) Service accumulation on engines, subsystems, or components 
selected by the manufacturer under Sec. 89.117(d). The manufacturer 
shall describe the form and extent of this service accumulation in the 
application for certification.
    (2) Determination of exhaust emission deterioration factors. The 
manufacturer shall determine the deterioration factors in accordance 
with the applicable provisions of this part based on service 
accumulation and related testing, according to the manufacturer's 
procedures, except as provided in paragraph (e)(3) of this section.
    (3) Alternatives to service accumulation and testing for the 
determination of a deterioration factor. A written explanation of the 
appropriateness of using an alternative must be included in the 
application for certification.
    (i) Carryover and carryacross of durability emission data. In lieu 
of testing an emission data or durability data engine selected under 
Sec. 89.117(d), a manufacturer may, with Administrator approval, use 
exhaust emission deterioration data on a similar engine for which 
certification to the same standard has previously been obtained or for 
which all applicable data required under Sec. 89.124 has previously 
been submitted. This data must be submitted in the application for 
certification.
    (ii) Use of on-highway deterioration data. In the case where a 
manufacturer produces a certified on-highway engine that is similar to 
the nonroad engine to be certified, deterioration data from the on-
highway engine may be applied to the nonroad engine. This application of 
deterioration data from an on-highway engine to a nonroad engine is 
subject to Administrator approval, and the determination of whether the 
engines are similar must be based on good engineering judgment.
    (iii) Engineering analysis for established technologies. (A) In the 
case where an engine family uses established technology, an analysis 
based on good engineering practices may be used in lieu of testing to 
determine a deterioration factor for that engine family, subject to 
Administrator approval.
    (B) Engines for which the certification levels are not at or below 
the Tier 3 NMHC+NOX standards described in Sec. 89.112 are 
considered established technology, except as provided in paragraph 
(e)(3)(iii)(D) of this section.
    (C) Manufacturers may petition the Administrator to consider an 
engine with a certification level below the Tier 3 +NOX 
standards as established technology. This petition must be based on 
proof that the technology used is not significantly different than

[[Page 61]]

that used on engines that have certification levels that are not below 
the Tier 3 NMHC+NOX levels.
    (D) Engines using exhaust gas recirculation or aftertreatment are 
excluded from the provision set forth in paragraphs (e)(3)(iii)(A) 
through (e)(3)(iii)(C) of this section.
    (E) The manufacturer shall provide a written statement to the 
Administrator that all data, analyses, test procedures, evaluations, and 
other documents, on which the deterioration factor is based, are 
available to the Administrator upon request.
    (iv) Interim provision for engines rated under 37 kW. For model year 
1999 and 2000 engines rated under 37 kW, manufacturers may determine 
deterioration factors based on good engineering judgement and reasonably 
available information. The manufacturer must maintain and provide to the 
Administrator, if requested, all information used to determine 
deterioration factors for these engines.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57003, Oct. 23, 1998]



Sec. 89.119  Emission tests.

    (a) Manufacturer testing. (1) Upon completion of service 
accumulation, the manufacturer must test each test engine using the 
specified test procedures, except as provided in Sec. 89.114. The 
procedures to be used are set forth in:
    (i) Subpart E of this part;
    (ii) The California Regulations for New 1996 and Later Heavy-Duty 
Off-Road Diesel Cycle Engines. This procedure has been incorporated by 
reference. See Sec. 89.6; and
    (iii) Part 86, subpart I of this chapter.
    (2) Each test engine must be configured to be representative of 
actual in-use operation. The Administrator may specify the adjustment of 
any adjustable parameter. All test results must be reported to the 
Administrator.
    (b) Confirmatory testing. The Administrator may conduct confirmatory 
testing or other testing on any test engine. The manufacturer must 
deliver test engines as directed by the Administrator. When the 
Administrator conducts confirmatory testing or other testing, those test 
results are used to determine compliance with emission standards.
    (c) Use of carryover test data. In lieu of testing to certify an 
engine family for a given model year, the manufacturer may submit, with 
the Administrator's approval, emission test data used to certify that 
engine family in previous years. This ``carryover'' data is only 
allowable if the submitted test data show that the test engine would 
comply with the emission standard(s) for the model year for which 
certification is being sought.
    (d) The provisions of this paragraph (d) apply only to Tier 1 
nonroad engines without exhaust aftertreatment rated at or above 37 kW.
    (1) Particulate emission measurements from Tier 1 nonroad engines 
without exhaust aftertreatment rated at or above 37 kW may be adjusted 
to a sulfur content of 0.05 weight percent.
    (2) Adjustments to the particulate measurement shall be made using 
the following equation:

PMadj=PM-[BSFC x 0.0917 x (FSF-0.0005)]

Where:

PMadj=adjusted measured PM level [g/Kw-hr].
PM=measured weighted PM level [g/Kw-hr].
BSFC=measured brake specific fuel consumption [G/Kw-hr].
FSF=fuel sulfur weight fraction.

    (3) Where a manufacturer certifies using test fuel with a sulfur 
content less than or equal to 0.050 weight percent, EPA shall not use 
emission data collected using test fuel with a sulfur content greater 
than 0.050 weight percent to determine compliance with the Tier 1 PM 
standards.
    (4) Where a manufacturer certifies using test fuel with a sulfur 
content greater than 0.050 weight percent, EPA shall not use emission 
data collected using test fuel with a sulfur content greater than 0.050 
weight percent to determine compliance with the Tier 1 PM standards, 
unless EPA adjusts the PM measurement using the equation specified in 
paragraph (d)(2) of this section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57004, Oct. 23, 1998]

[[Page 62]]



Sec. 89.120  Compliance with emission standards.

    (a) If all test engines representing an engine family have emissions 
less than or equal to each emission standard, that family complies with 
the emission standards.
    (b) If any test engine representing an engine family has emissions 
greater than each emission standard, that family will be deemed not in 
compliance with the emission standard(s).
    (c) For each nonroad engine family, except Tier 1 engine families 
with rated power at or above 37 kW that do not employ aftertreatment, a 
deterioration factor must be determined and applied.
    (1) The applicable exhaust emission standards (or family emission 
limits, as appropriate) for nonroad compression-ignition engines apply 
to the emissions of engines for their useful life.
    (2) [Reserved]
    (3)(i) This paragraph (c)(3) describes the procedure for determining 
compliance of an engine with emission standards (or family emission 
limits, as appropriate), based on deterioration factors supplied by the 
manufacturer. The NMHC + NOX deterioration factors shall be 
established based on the sum of the pollutants, except as provided in 
paragraph (c)(3)(iv) of this section. When establishing deterioration 
factors for NMHC + NOX. a negative deterioration (emissions 
decrease from the official emissions test result) for one pollutant may 
not offset deterioration of the other pollutant.
    (ii) Separate emission deterioration factors, determined by the 
manufacturer according to the requirements of Sec. 89.118, shall be 
provided in the certification application for each engine-system 
combination. Separate deterioration factors shall be established for 
each regulated pollutant, except that a combined NMHC + NOX 
deterioration factor shall be established for compression-ignition 
nonroad engines not utilizing aftertreatment technology. For smoke 
testing, separate deterioration factors shall also be established for 
the acceleration mode (designated as ``A''), the lugging mode 
(designated as ``B''), and peak opacity (designated as ``C'').
    (iii) Compression-ignition nonroad engines not utilizing 
aftertreatment technology (e.g., particulate traps). For CO, NMHC + 
NOX. and particulate, the official exhaust emission results 
for each emission data engine at the selected test point shall be 
adjusted by addition of the appropriate deterioration factor. However, 
if the deterioration factor supplied by the manufacturer is less than 
zero, it shall be zero for the purposes of this paragraph (c)(3)(iii).
    (iv) Compression-ignition nonroad engines utilizing aftertreatment 
technology (e.g., particulate traps). For CO, NMHC + NOX. and 
particulate, the official exhaust emission results for each emission 
data engine at the selected test point shall be adjusted by 
multiplication by the appropriate deterioration factor. Separate NMHC 
and NOX deterioration factors shall be applied to the results 
for these pollutants prior to combining the results. If the 
deterioration factor supplied by the manufacturer is less than one, it 
shall be one for the purposes of this paragraph (c)(3)(iv).
    (v) For acceleration smoke (``A''), lugging smoke (``B''), and peak 
opacity (``C''), the official exhaust emission results for each emission 
data engine at the selected test point shall be adjusted by the addition 
of the appropriate deterioration factor. However if the deterioration 
supplied by the manufacturer is less than zero, it shall be zero for the 
purposes of this paragraph (c)(3)(v).
    (vi) The emission values to compare with the standards (or family 
emission limits, as appropriate) shall be the adjusted emission values 
of paragraphs (c)(3)(iii) through (v) of this section, rounded to the 
same number of significant figures as contained in the applicable 
standard in accordance with ASTM E29-93a, for each emission data engine. 
This procedure has been incorporated by reference at Sec. 89.6.
    (4) Every test engine of an engine family must comply with all 
applicable standards (or family emission limits, as appropriate), as 
determined in paragraph (c)(3)(vi) of this section, before any engine in 
that family will be certified.
    (d) For engine families included in the averaging, banking, and 
trading

[[Page 63]]

program, the families' emission limits (FELs) are used in lieu of the 
applicable federal emission standard.
    (e) For the purposes of setting an NMHC + NOX 
certification level or FEL, one of the following options shall be used 
for the determination of NMHC for an engine family. The manufacturer 
must declare which option is used in its application for certification 
of that engine family.
    (1) The manufacturer may assume that up to two percent of the 
measured THC is methane (NMHC = 0.98 x THC).
    (2) The manufacturer may measure NMHC emissions using a method 
approved by the Administrator prior to the start of testing. This option 
allows the determination of NMHC emissions by subtracting measured 
methane emissions from measured THC emissions.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57004, Oct. 23, 1998]



Sec. 89.121  Certificate of conformity effective dates.

    The certificate of conformity is valid from the date of issuance by 
EPA until 31 December of the model year or calendar year for which it is 
issued.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.122  Certification.

    (a) If, after a review of the manufacturer's application, request 
for certificate, information obtained from any inspection, and such 
other information as the Administrator may require, the Administrator 
determines that the application is complete and that the engine family 
meets the requirements of this part and the Clean Air Act, the 
Administrator shall issue a certificate of conformity.
    (b) If, after a review of the information described in paragraph (a) 
of this section, the Administrator determines that the requirements of 
this part and the Clean Air Act have not been met, the Administrator 
will deny certification. The Administrator must give a written 
explanation when certification is denied. The manufacturer may request a 
hearing on a denial.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.123  Amending the application and certificate of conformity.

    (a) The manufacturer of nonroad compression-ignition engines must 
notify the Administrator when changes to information required to be 
described in the application for certification are to be made to a 
product line covered by a certificate of conformity. This notification 
must include a request to amend the application or the existing 
certificate of conformity. Except as provided in paragraph (e) of this 
section, the manufacturer shall not make said changes or produce said 
engines prior to receiving approval from EPA.
    (b) A manufacturer's request to amend the application or the 
existing certificate of conformity shall include the following 
information:
    (1) A full description of the change to be made in production or of 
the engine to be added;
    (2) Engineering evaluations or data showing that engines as modified 
or added will comply with all applicable emission standards; and
    (3) A determination whether the manufacturer's original test fleet 
selection is still appropriate, and if the original test fleet selection 
is determined not to be appropriate, proposed test fleet selection(s) 
representing the engines changed or added which would have been required 
if the engines had been included in the original application for 
certification.
    (c) The Administrator may require the manufacturer to perform tests 
on the engine representing the engine to be added or changed.
    (d) Decision by Administrator. (1) Based on the description of the 
proposed amendment and data derived from such testing as the 
Administrator may require or conduct, the Administrator will determine 
whether the proposed change or addition would still be covered by the 
certificate of conformity then in effect.
    (2) If the Administrator determines that the change or new engine(s) 
meets the requirements of this subpart and the Act, the appropriate 
certificate of conformity is amended.
    (3) If the Administrator determines that the changed or new 
engine(s) does

[[Page 64]]

not meet the requirements of this subpart and the Act, the certificate 
of conformity will not be amended. The Administrator shall provide a 
written explanation to the manufacturer of the decision not to amend the 
certificate. The manufacturer may request a hearing on a denial.
    (e) A manufacturer may make changes in or additions to production 
engines concurrently with notifying the Administrator as required by 
paragraph (a) of this section, if the manufacturer complies with the 
following requirements:
    (1) In addition to the information required in paragraph (b) of this 
section, the manufacturer must supply supporting documentation, test 
data, and engineering evaluations as appropriate to demonstrate that all 
affected engines will still meet applicable emission standards.
    (2) If, after a review, the Administrator determines additional 
testing is required, the manufacturer must provide required test data 
within 30 days or cease production of the affected engines.
    (3) If the Administrator determines that the affected engines do not 
meet applicable requirements, the Administrator will notify the 
manufacturer to cease production of the affected engines and to recall 
and correct at no expense to the owner all affected engines previously 
produced.
    (4) Election to produce engines under this paragraph will be deemed 
to be a consent to recall all engines which the Administrator determines 
do not meet applicable standards and to cause such nonconformity to be 
remedied at no expense to the owner.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.124  Record retention, maintenance, and submission.

    (a) The manufacturer of any nonroad compression-ignition engine must 
maintain the following adequately organized records:
    (1) Copies of all applications filed with the Administrator.
    (2) A detailed history of each test engine used for certification 
including the following:
    (i) A description of the test engine's construction, including a 
general description of the origin and buildup of the engine, steps taken 
to ensure that it is representative of production engines, description 
of components specially built for the test engine, and the origin and 
description of all emission-related components;
    (ii) A description of the method used for service accumulation, 
including date(s) and the number of hours accumulated;
    (iii) A description of all maintenance, including modifications, 
parts changes, and other servicing performed, and the date(s) and 
reason(s) for such maintenance;
    (iv) A description of all emission tests performed (except tests 
performed by the EPA directly) including routine and standard test 
documentation, as specified in subpart E of this part, date(s) and the 
purpose of each test;
    (v) A description of all tests performed to diagnose engine or 
emission control performance, giving the date and time of each and the 
reason(s) for the test; and
    (vi) A description of any significant event(s) affecting the engine 
during the period covered by the history of the test engine but not 
described by an entry under one of the previous paragraphs of this 
section.
    (3) Information required to be kept by the manufacturer in Sec. 
89.118(e)(3) for alternatives to service accumulation and testing for 
the determination of a deterioration factor.
    (b) Routine emission test data, such as those reporting test cell 
temperature and relative humidity at start and finish of test and raw 
emission results from each mode or test phase, must be retained for a 
period of one year after issuance of all certificates of conformity to 
which they relate. All other information specified in paragraph (a) of 
this section must be retained for a period of eight years after issuance 
of all certificates of conformity to which they relate.
    (c) Records may be kept in any format and on any media, provided 
that at the Administrator's request, organized, written records in 
English are

[[Page 65]]

promptly supplied by the manufacturer.
    (d) The manufacturer must supply, at the Administrator's request, 
copies of any engine maintenance instructions or explanations issued by 
the manufacturer.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57005, Oct. 23, 1998]



Sec. 89.125  Production engines, annual report.

    (a) Upon the Administrator's request, the manufacturer must supply a 
reasonable number of production engines for testing and evaluation. 
These engines must be representative of typical production and must be 
supplied for testing at such time and place and for such reasonable 
periods as the Administrator may require.
    (b) The manufacturer must annually, within 30 days after the end of 
the model year, notify the Administrator of the number of engines 
produced by engine family, by gross power, by displacement, by fuel 
system, and, for engines produced under the provision of Sec. 
89.102(g), by engine model and purchaser (or shipping destination for 
engines used by the engine manufacturer), or by other categories as the 
Administrator may require.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57005, Oct. 23, 1998]



Sec. 89.126  Denial, revocation of certificate of conformity.

    (a) If, after review of the manufacturer's application, request for 
certification, information obtained from any inspection, and any other 
information the Administrator may require, the Administrator determines 
that one or more test engines do not meet applicable standards (or 
family emission limits, as appropriate), then the Administrator will 
notify the manufacturer in writing, setting forth the basis for this 
determination.
    (b) Notwithstanding the fact that engines described in the 
application may comply with all other requirements of this subpart, the 
Administrator may deny the issuance of, suspend, or revoke a previously 
issued certificate of conformity if the Administrator finds any one of 
the following infractions to be substantial:
    (1) The manufacturer submits false or incomplete information;
    (2) The manufacturer denies an EPA enforcement officer or EPA 
authorized representative the opportunity to conduct authorized 
inspections;
    (3) The manufacturer fails to supply requested information or amend 
its application to include all engines being produced;
    (4) The manufacturer renders inaccurate any test data which it 
submits or otherwise circumvents the intent of the Act or this part;
    (5) The manufacturer denies an EPA enforcement officer or EPA 
authorized representative reasonable assistance (as defined in Sec. 
89.129(e)).
    (c) If a manufacturer knowingly commits an infraction specified in 
paragraph (b)(1) or (b)(4) of this section, knowingly commits any other 
fraudulent act which results in the issuance of a certificate of 
conformity, or fails to comply with the conditions specified in Sec. 
89.203(d), Sec. 89.206(c), Sec. 89.209(c) or Sec. 89.210(g), the 
Administrator may deem such certificate void ab initio.
    (d) When the Administrator denies, suspends, revokes, or voids ab 
initio a certificate of conformity the manufacturer will be provided a 
written determination. The manufacturer may request a hearing under 
Sec. 89.127 on the Administrator's decision.
    (e) Any suspension or revocation of a certificate of conformity 
shall extend no further than to forbid the introduction into commerce of 
engines previously covered by the certification which are still in the 
hands of the manufacturer, except in cases of such fraud or other 
misconduct that makes the certification invalid ab initio.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57005, Oct. 23, 1998]



Sec. 89.127  Request for hearing.

    (a) A manufacturer may request a hearing on the Administrator's 
denial, suspension, voiding ab initio or revocation of a certificate of 
conformity.
    (b) The manufacturer's request must be filed within 30 days of the 
Administrator's decision, be in writing, and set forth the 
manufacturer's objections to the Administrator's decision and data to 
support the objections.

[[Page 66]]

    (c) If, after review of the request and supporting data, the 
Administrator finds that the request raises a substantial and factual 
issue, the Administrator will grant the manufacturer's request for a 
hearing.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.128  Hearing procedures.

    (a)(1) After granting a request for a hearing the Administrator 
shall designate a Presiding Officer for the hearing.
    (2) The hearing will be held as soon as practicable at a time and 
place determined by the Administrator or by the Presiding Officer.
    (3) The Administrator may, at his or her discretion, direct that all 
argument and presentation of evidence be concluded within a specified 
period established by the Administrator. Said period may be no less than 
30 days from the date that the first written offer of a hearing is made 
to the manufacturer. To expedite proceedings, the Administrator may 
direct that the decision of the Presiding Officer (who may, but need 
not, be the Administrator) shall be the final EPA decision.
    (b)(1) Upon appointment pursuant to paragraph (a) of this section, 
the Presiding Officer will establish a hearing file. The file shall 
consist of the following:
    (i) The determination issued by the Administrator under Sec. 
89.126(d);
    (ii) The request for a hearing and the supporting data submitted 
therewith;
    (iii) All documents relating to the request for certification and 
all documents submitted therewith; and
    (iv) Correspondence and other data material to the hearing.
    (2) The hearing file will be available for inspection by the 
applicant at the office of the Presiding Officer.
    (c) An applicant may appear in person or may be represented by 
counsel or by any other duly authorized representative.
    (d)(1) The Presiding Officer, upon the request of any party or at 
his or her discretion, may arrange for a prehearing conference at a time 
and place he/she specifies. Such prehearing conference will consider the 
following:
    (i) Simplification of the issues;
    (ii) Stipulations, admissions of fact, and the introduction of 
documents;
    (iii) Limitation of the number of expert witnesses;
    (iv) Possibility of agreement disposing of any or all of the issues 
in dispute; and
    (v) Such other matters as may aid in the disposition of the hearing, 
including such additional tests as may be agreed upon by the parties.
    (2) The results of the conference shall be reduced to writing by the 
Presiding Officer and made part of the record.
    (e)(1) Hearings shall be conducted by the Presiding Officer in an 
informal but orderly and expeditious manner. The parties may offer oral 
or written evidence, subject to the exclusion by the Presiding Officer 
of irrelevant, immaterial, and repetitious evidence.
    (2) Witnesses will not be required to testify under oath. However, 
the Presiding Officer shall call to the attention of witnesses that 
their statements may be subject to the provisions of 18 U.S.C. 1001 
which imposes penalties for knowingly making false statements or 
representations or using false documents in any matter within the 
jurisdiction of any department or agency of the United States.
    (3) Any witness may be examined or cross-examined by the Presiding 
Officer, the parties, or their representatives.
    (4) Hearings shall be reported verbatim. Copies of transcripts of 
proceedings may be purchased by the applicant from the reporter.
    (5) All written statements, charts, tabulations, and similar data 
offered in evidence at the hearings shall, upon a showing satisfactory 
to the Presiding Officer of their authenticity, relevancy, and 
materiality, be received in evidence and shall constitute a part of the 
record.
    (6) Oral argument may be permitted at the discretion of the 
Presiding Officer and shall be reported as part of the record unless 
otherwise ordered by the Presiding Officer.
    (f)(1) The Presiding Officer shall make an initial decision which 
shall include written findings and conclusions and the reasons or basis 
regarding all the material issues of fact, law, or discretion presented 
on the record.

[[Page 67]]

The findings, conclusions, and written decision shall be provided to the 
parties and made a part of the record. The initial decision shall become 
the decision of the Administrator without further proceedings, unless 
there is an appeal to the Administrator or motion for review by the 
Administrator within 20 days of the date the initial decision was filed. 
If the Administrator has determined under paragraph (a) of this section 
that the decision of the Presiding Officer is final, there is no right 
of appeal to the Administrator.
    (2) On appeal from or review of the initial decision, the 
Administrator shall have all the powers which he or she would have in 
making the initial decision, including the discretion to require or 
allow briefs, oral argument, the taking of additional evidence, or the 
remanding to the Presiding Officer for additional proceedings. The 
decision by the Administrator may adopt the original decision or shall 
include written findings and conclusions and the reasons or basis 
therefor on all the material issues of fact, law, or discretion 
presented on the appeal or considered in the review.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.129  Right of entry.

    (a) Any manufacturer who has applied for certification of a new 
engine or engine family subject to certification testing under this 
subpart shall admit or cause to be admitted to any of the following 
facilities during operating hours any EPA enforcement officer or EPA 
authorized representative on presentation of credentials.
    (1) Any facility where any such certification testing or any 
procedures or activities connected with such certification testing are 
or were performed;
    (2) Any facility where any new engine which is being, was, or is to 
be tested is present;
    (3) Any facility where any construction process or assembly process 
used in the modification or buildup of such an engine into a 
certification engine is taking place or has taken place; and
    (4) Any facility where any record or other document relating to any 
of the above is located.
    (b) Upon admission to any facility referred to in paragraph (a)(1) 
of this section, any EPA enforcement officer or EPA authorized 
representative shall be allowed:
    (1) To inspect and monitor any part or aspect of such procedures, 
activities, and testing facilities, including, but not limited to, 
monitoring engine preconditioning, emission tests and service 
accumulation, maintenance, and engine storage procedures, and to verify 
correlation or calibration of test equipment;
    (2) To inspect and make copies of any such records, designs, or 
other documents; and
    (3) To inspect and photograph any part or aspect of any such 
certification engine and any components to be used in the construction 
thereof.
    (c) To allow the Administrator to determine whether production 
engines conform in all material respects to the design specifications 
applicable to those engines, as described in the application for 
certification for which a certificate of conformity has been issued, any 
manufacturer shall admit any EPA enforcement officer or EPA authorized 
representative on presentation of credentials to:
    (1) Any facility where any document, design, or procedure relating 
to the translation of the design and construction of engines and 
emission-related components described in the application for 
certification or used for certification testing into production engines 
is located or carried on; and
    (2) Any facility where any engines to be introduced into commerce 
are manufactured or assembled.
    (d) On admission to any such facility referred to in paragraph (c) 
of this section, any EPA enforcement officer or EPA authorized 
representative shall be allowed:
    (1) To inspect and monitor any aspects of such manufacture or 
assembly and other procedures;
    (2) To inspect and make copies of any such records, documents or 
designs; and
    (3) To inspect and photograph any part or aspect of any such new 
engines and any component used in the assembly thereof that are 
reasonably related to the purpose of his or her entry.

[[Page 68]]

    (e) Any EPA enforcement officer or EPA authorized representative 
shall be furnished by those in charge of a facility being inspected with 
such reasonable assistance as he or she may request to help the 
enforcement officer or authorized representative discharge any function 
listed in this paragraph. Each applicant for or recipient of 
certification is required to cause those in charge of a facility 
operated for its benefit to furnish such reasonable assistance without 
charge to EPA whether or not the applicant controls the facility.
    (1) Reasonable assistance includes, but is not limited to, clerical, 
copying, interpretation and translation services; the making available 
on request of personnel of the facility being inspected during their 
working hours to inform the EPA enforcement officer or EPA authorized 
representative of how the facility operates and to answer the officer's 
questions; and the performance on request of emission tests on any 
engine which is being, has been, or will be used for certification 
testing. Such tests shall be nondestructive, but may require appropriate 
service accumulation.
    (2) A manufacturer may be compelled to cause any employee at a 
facility being inspected to appear before an EPA enforcement officer or 
EPA authorized representative. The request for the employee's appearance 
shall be in writing, signed by the Assistant Administrator for Air and 
Radiation, and served on the manufacturer. Any employee who has been 
instructed by the manufacturer to appear will be entitled to be 
accompanied, represented, and advised by counsel.
    (f) The duty to admit or cause to be admitted any EPA enforcement 
officer or EPA authorized representative applies whether or not the 
applicant owns or controls the facility in question and applies both to 
domestic and to foreign manufacturers and facilities. EPA will not 
attempt to make any inspections which it has been informed that local 
law forbids. However, if local law makes it impossible to do what is 
necessary to ensure the accuracy of data generated at a facility, no 
informed judgment that an engine is certifiable or is covered by a 
certificate can properly be based on those data. It is the 
responsibility of the manufacturer to locate its testing and 
manufacturing facilities in jurisdictions where this situation will not 
arise.
    (g) Any entry without 24 hours prior written or oral notification to 
the affected manufacturer shall be authorized in writing by the 
Assistant Administrator for Enforcement.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.130  Rebuild practices.

    (a) The provisions of this section are applicable to engines subject 
to the standards prescribed in Sec. 89.112 and are applicable to the 
process of engine rebuilding (or rebuilding a portion of an engine or 
engine system). This section does not apply to Tier 1 engines rated at 
or above 37 kW. The process of engine rebuilding generally includes 
disassembly, replacement of multiple parts due to wear, and reassembly, 
and also may include the removal of the engine from the vehicle and 
other acts associated with rebuilding an engine.
    (b) When rebuilding an engine, portions of an engine, or an engine 
system, there must be a reasonable technical basis for knowing that the 
resultant engine is equivalent, from an emissions standpoint, to a 
certified configuration (i.e., tolerances, calibrations, 
specifications), and the model year(s) of the resulting engine 
configuration must be identified. A reasonable basis would exist if:
    (1) Parts installed, whether the parts are new, used, or rebuilt, 
are such that a person familiar with the design and function of motor 
vehicle engines would reasonably believe that the parts perform the same 
function with respect to emission control as the original parts; and
    (2) Any parameter adjustment or design element change is made only:
    (i) In accordance with the original engine manufacturer's 
instructions; or
    (ii) Where data or other reasonable technical basis exists that such 
parameter adjustment or design element change, when performed on the 
engine or similar engines, is not expected to adversely affect in-use 
emissions.
    (c) When an engine is being rebuilt and remains installed or is 
reinstalled

[[Page 69]]

in the same equipment, it must be rebuilt to a configuration of the same 
or later model year as the original engine. When an engine is being 
replaced, the replacement engine must be an engine of (or rebuilt to) a 
certified configuration that is equivalent, from an emissions 
standpoint, to the engine being replaced.
    (d) At time of rebuild, emission-related codes or signals from on-
board monitoring systems may not be erased or reset without diagnosing 
and responding appropriately to the diagnostic codes, regardless of 
whether the systems are installed to satisfy requirements in Sec. 
89.109 or for other reasons and regardless of form or interface. 
Diagnostic systems must be free of all such codes when the rebuilt 
engine is returned to service. Such signals may not be rendered 
inoperative during the rebuilding process.
    (e) When conducting a rebuild without removing the engine from the 
equipment, or during the installation of a rebuilt engine, all critical 
emission-related components listed in 40 CFR part 86, subpart B, not 
otherwise addressed by paragraphs (b) through (d) of this section must 
be checked and cleaned, adjusted, repaired, or replaced as necessary, 
following manufacturer recommended practices.
    (f) Records shall be kept by parties conducting activities included 
in paragraphs (b) through (e) of this section. The records shall include 
at minimum the hours of operation at time of rebuild, a listing of work 
performed on the engine, and emission-related control components 
including a listing of parts and components used, engine parameter 
adjustments, emission-related codes or signals responded to and reset, 
and work performed under paragraph (e) of this section.
    (1) Parties may keep records in whatever format or system they 
choose as long as the records are understandable to an EPA enforcement 
officer or can be otherwise provided to an EPA enforcement officer in an 
understandable format when requested.
    (2) Parties are not required to keep records of information that is 
not reasonably available through normal business practices including 
information on activities not conducted by themselves or information 
that they cannot reasonably access.
    (3) Parties may keep records of their rebuilding practices for an 
engine family rather than on each individual engine rebuilt in cases 
where those rebuild practices are followed routinely.
    (4) Records must be kept for a minimum of two years after the engine 
is rebuilt.

[63 FR 57005, Oct. 23, 1998]



          Subpart C_Averaging, Banking, and Trading Provisions



Sec. 89.201  Applicability.

    Nonroad compression-ignition engines subject to the provisions of 
subpart A of this part are eligible to participate in the averaging, 
banking, and trading program described in this subpart.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.202  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart:
    Averaging for nonroad engines means the exchange of emission credits 
among engine families within a given manufacturer's product line.
    Banking means the retention of nonroad engine emission credits by 
the manufacturer generating the emission credits for use in future model 
year averaging or trading as permitted by these regulations.
    Emission credits represent the amount of emission reduction or 
exceedance, by a nonroad engine family, below or above the emission 
standard, respectively. Emission reductions below the standard are 
considered as ``positive credits,'' while emission exceedances above the 
standard are considered as ``negative credits.'' In addition, 
``projected credits'' refer to emission credits based on the projected 
applicable production/sales volume of the engine family. ``Reserved 
credits'' are emission credits generated within a model year waiting to 
be reported to EPA at the end of the model year. ``Actual credits'' 
refer to emission credits based on actual applicable production/sales

[[Page 70]]

volume as contained in the end-of-year reports submitted to EPA. Some or 
all of these credits may be revoked if EPA review of the end-of-year 
reports or any subsequent audit action(s) uncovers problems or errors.
    Trading means the exchange of nonroad engine emission credits 
between manufacturers.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.203  General provisions.

    (a) The averaging, banking, and trading programs for NOX. 
NMHC+NOX. and PM emissions from eligible nonroad engines are 
described in this subpart. Participation in these programs is voluntary.
    (b) Requirements for Tier 1 engines rated at or above 37 kW. (1) A 
nonroad engine family is eligible to participate in the averaging, 
banking, and trading program for NOX emissions and the 
banking and trading program for PM emissions if it is subject to 
regulation under subpart B of this part with certain exceptions 
specified in paragraph (b)(2) of this section. No averaging, banking, 
and trading program is available for meeting the Tier 1 HC, CO, or smoke 
emission standards specified in subpart B of this part. No averaging 
program is available for meeting the Tier 1 PM emission standards 
specified in subpart B of this part.
    (2) Nonroad engines may not participate in the averaging, banking, 
and trading programs if they are exported or are sold as Blue Sky Series 
engines as described in Sec. 89.112(f). Nonroad engines certified on a 
special test procedure under Sec. 89.114(a), may not participate in the 
averaging, banking and trading programs unless the manufacturer has 
requested that the engines be included in the averaging, banking, and 
trading programs at the time the request for the special test procedure 
is made and has been granted approval by the Administrator for inclusion 
in the averaging, banking, and trading programs.
    (3) A manufacturer may certify one or more nonroad engine families 
at NOX family emission limits (FELs) above or below the Tier 
1 NOX emission standard, provided the summation of the 
manufacturer's projected balance of all NOX credit 
transactions in a given model year is greater than or equal to zero, as 
determined under Sec. 89.207(a). A manufacturer may certify one or more 
nonroad engine families at PM FELs below the Tier 2 PM emission standard 
that will be applicable to those engine families.
    (i) FELs for NOX may not exceed the Tier 1 upper limit 
specified in Sec. 89.112(d).
    (ii) An engine family certified to an FEL is subject to all 
provisions specified in this part, except that the applicable FEL 
replaces the emission standard for the family participating in the 
averaging, banking, and trading program.
    (iii) A manufacturer of an engine family with a NOX FEL 
exceeding the Tier 1 NOX emission standard must obtain 
NOX emission credits sufficient to address the associated 
credit shortfall via averaging, banking, or trading.
    (iv) An engine family with a NOX FEL below the applicable 
Tier 1 standard may generate emission credits for averaging, banking, 
trading, or a combination thereof. An engine family with a PM FEL below 
the Tier 2 standard that will be applicable to that engine family may 
generate emission credits for banking, trading, or a combination 
thereof. Emission credits may not be used to offset an engine family's 
emissions that exceed its applicable FEL. Credits may not be used to 
remedy nonconformity determined by a Selective Enforcement Audit (SEA) 
or by recall (in-use) testing. However, in the case of an SEA failure, 
credits may be used to allow subsequent production of engines for the 
family in question if the manufacturer elects to recertify to a higher 
FEL.
    (4) NOX credits generated in a given model year may be 
used to address credit shortfalls with other engines during that model 
year or in any subsequent model year except as noted under paragraph 
(b)(5)(ii) of this section. PM credits may be used to address credit 
shortfalls with Tier 2 and later engines greater than or equal to 37 kW 
and Tier 1 and later engines less than 37 kW and greater than or equal 
to 19 kW. Credits generated in one model year may not be used for prior 
model years.

[[Page 71]]

    (5) The following provisions apply to the use of Tier 1 
NOX credits for showing compliance with the Tier 2 or Tier 3 
NMHC+NOX standards.
    (i) A manufacturer may use NOX credits from engines 
subject to the Tier 1 NOX standard to address 
NMHC+NOX credit shortfalls with engines in the same averaging 
set subject to Tier 1 NMHC+NOX or Tier 2 NMHC+NOX 
emission standards.
    (ii) A manufacturer may not use NOX credits from engines 
subject to the Tier 1 standards to address NMHC+NOX credit 
shortfalls with engines subject to the Tier 3 NMHC+NOX 
emission standards.
    (c) Requirements for Tier 2 and later engines rated at or above 37 
kW and Tier 1 and later engines rated under 37 kW. (1) A nonroad engine 
family is eligible to participate in the averaging, banking, and trading 
programs for NMHC+NOX emissions and PM emissions if it is 
subject to regulation under subpart B of this part with certain 
exceptions specified in paragraph (c)(2) of this section. No averaging, 
banking, and trading program is available for meeting the CO or smoke 
emission standards specified in subpart B of this part.
    (2) Nonroad engines may not participate in the averaging, banking, 
and trading programs if they are exported or are sold as Blue Sky Series 
engines as described in Sec. 89.112(f). Nonroad engines certified on a 
special test procedure under Sec. 89.114(a), may not participate in the 
averaging, banking and trading programs unless the manufacturer has 
requested that the engines be included in the averaging, banking, and 
trading programs at the time the request for the special test procedure 
is made and has been granted approval by the Administrator for inclusion 
in the averaging, banking, and trading programs.
    (3)(i) A manufacturer may certify one or more nonroad engine 
families at FELs above or below the applicable NMHC+NOX 
emission standard and PM emission standard, provided the summation of 
the manufacturer's projected balance of all NMHC+NOX credit 
transactions and the summation of the manufacturer's projected balance 
of all PM credit transactions in a given model year in a given averaging 
set is greater than or equal to zero, as determined under Sec. 
89.207(b).
    (A) FELs for NMHC+NOX and FELs for PM may not exceed the 
upper limits specified in Sec. 89.112(d).
    (B) An engine family certified to an FEL is subject to all 
provisions specified in this part, except that the applicable FEL 
replaces the emission standard for the family participating in the 
averaging, banking, and trading program.
    (C) A manufacturer of an engine family with an FEL exceeding the 
applicable emission standard must obtain emission credits sufficient to 
address the associated credit shortfall via averaging, banking, or 
trading, within the restrictions described in Sec. 89.204(c) and Sec. 
89.206(b)(4).
    (D) An engine family with an FEL below the applicable standard may 
generate emission credits for averaging, banking, trading, or a 
combination thereof. Emission credits may not be used to offset an 
engine family's emissions that exceed its applicable FEL. Credits may 
not be used to remedy nonconformity determined by a Selective 
Enforcement Audit (SEA) or by recall (in-use) testing. However, in the 
case of an SEA failure, credits may be used to allow subsequent 
production of engines for the family in question if the manufacturer 
elects to recertify to a higher FEL.
    (ii)(A) In lieu of generating credits under paragraph (c)(3)(i) of 
this section, a manufacturer may certify one or more nonroad engine 
families rated under 37 kW at family emission limits (FELs) above or 
below the applicable NMHC+NOX emission standard and PM 
emission standard. The summation of the manufacturer's projected balance 
of all NMHC+NOX credit transactions and the summation of the 
manufacturer's projected balance of all PM credit transactions in a 
given model year, as determined under Sec. 89.207(b), are each allowed 
to be less than zero. Separate calculations shall be required for the 
following two categories of engines: engines rated under 19 kW and 
engines rated at or above 19 kW and under 37 kW.
    (B) For each calendar year a negative credit balance exists as of 
December 31, a penalty equal to ten percent of the

[[Page 72]]

negative credit balance as of December 31 of the calendar year shall be 
added to the negative credit balance. The resulting negative credit 
balance shall be carried into the next calendar year.
    (C) For engines rated under 19 kW, a manufacturer will be allowed to 
carry over a negative credit balance until December 31, 2003. For 
engines rated at or above 19 kW and under 37 kW, a manufacturer will be 
allowed to carry over a negative credit balance until December 31, 2002. 
As of these dates, the summation of the manufacturer's projected balance 
of all NMHC+NOX credit transactions and the summation of the 
manufacturer's projected balance of all PM credit transactions must each 
be greater than or equal to zero.
    (D) FELs for NMHC+NOX and FELs for PM may not exceed the 
upper limits specified in Sec. 89.112(d).
    (E) An engine family certified to an FEL is subject to all 
provisions specified in this part, except that the applicable 
NMHC+NOX FEL or PM FEL replaces the NMHC+NOX 
emission standard or PM emission standard for the family participating 
in the averaging and banking program.
    (F) A manufacturer of an engine family with an FEL exceeding the 
applicable emission standard must obtain emission credits sufficient to 
address the associated credit shortfall via averaging or banking. The 
exchange of emission credits generated under this program with other 
nonroad engine manufacturers in trading is not allowed.
    (G) An engine family with an FEL below the applicable standard may 
generate emission credits for averaging, banking, or a combination 
thereof. Emission credits may not be used to offset an engine family's 
emissions that exceed its applicable FEL. Credits may not be used to 
remedy nonconformity determined by a Selective Enforcement Audit (SEA) 
or by recall (in-use) testing. However, in the case of an SEA failure, 
credits may be used to allow subsequent production of engines for the 
family in question if the manufacturer elects to recertify to a higher 
FEL.
    (4)(i) Except as noted in paragraphs (c)(4)(ii), (c)(4)(iii), and 
(c)(4)(iv) of this section, credits generated in a given model year may 
be used during that model year or used in any subsequent model year. 
Except as allowed under paragraph (c)(3)(ii) of this section, credits 
generated in one model year may not be used for prior model years.
    (ii) Credits generated from engines rated under 19 kW prior to the 
implementation date of the applicable Tier 2 standards, shall expire on 
December 31, 2007.
    (iii) Credits generated from engines rated under 19 kW under the 
provisions of paragraph (c)(3)(ii) shall expire on December 31, 2003.
    (iv) Credits generated from engines rated at or above 19 kW and 
under 37 kW under the provisions of paragraph (c)(3)(ii) of this section 
shall expire on December 31, 2002.
    (5) Except as provided in paragraph (b)(3) of this section, engine 
families may not generate credits for one pollutant while also using 
credits for another pollutant in the same model year.
    (6) Model year 2008 and 2009 engines rated under 8 kW that are 
allowed to certify under this part because they meet the criteria in 40 
CFR 1039.101(c) may not generate emission credits.
    (d) Manufacturers must demonstrate compliance under the averaging, 
banking, and trading programs for a particular model year within 270 
days of the end of the model year. Except as allowed under paragraph 
(c)(3)(ii) of this section, manufacturers that have certified engine 
families to FELs above the applicable emission standards and do not have 
sufficient emission credits to offset the difference between the 
emission standards and the FEL for such engine families will be in 
violation of the conditions of the certificate of conformity for such 
engine families. The certificates of conformity may be voided ab initio 
under Sec. 89.126(c) for those engine families.

[63 FR 57006, Oct. 23, 1998, as amended at 69 FR 39213, June 29, 2004]



Sec. 89.204  Averaging.

    (a) Requirements for Tier 1 engines rated at or above 37 kW. A 
manufacturer may use averaging to offset an emission exceedance of a 
nonroad engine family caused by a NOX FEL above the

[[Page 73]]

applicable emission standard. NOX credits used in averaging 
may be obtained from credits generated by another engine family in the 
same model year, credits banked in a previous model year, or credits 
obtained through trading.
    (b) Requirements for Tier 2 and later engines rated at or above 37 
kW and Tier 1 and later engines rated under 37 kW. A manufacturer may 
use averaging to offset an emission exceedance of a nonroad engine 
family caused by an NMHC+;NOX FEL or a PM FEL above the 
applicable emission standard. Credits used in averaging may be obtained 
from credits generated by another engine family in the same model year, 
credits banked in previous model years that have not expired, or credits 
obtained through trading. The use of credits shall be within the 
restrictions described in paragraph (c) of this section, Sec. 
89.206(b)(4) and Sec. 89.203(b)(5)(ii).
    (c) Averaging sets for emission credits. The averaging and trading 
of NOX emission credits, NMHC + NOX emission 
credits, and PM emissions credits will only be allowed between engine 
families in the same averaging set. The averaging sets for the averaging 
and trading of NOX emission credits, NMHC + NOX 
emission credits, and PM emission credits for nonroad engines are 
defined as follows:
    (1) Eligible engines rated at or above 19 kW, other than marine 
diesel engines, constitute an averaging set.
    (2) Eligible engines rated under 19 kW, other than marine diesel 
engines, constitute an averaging set.
    (3) Marine diesel engines rated at or above 19 kW constitute an 
averaging set. Emission credits generated from marine diesel engines 
rated at or above 19 kW may be used to address credit shortfalls for 
eligible engines rated at or above 19 kW other than marine diesel 
engines.
    (4) Marine diesel engines rated under 19 kW constitute an averaging 
set. Emission credits generated from marine diesel engines rated under 
19 kW may be used to address credit shortfalls for eligible engines 
rated under 19 kW other than marine diesel engines.

[63 FR 57007, Oct. 23, 1998]



Sec. 89.205  Banking.

    (a) Requirements for Tier 1 engines rated at or above 37 kW. (1) A 
manufacturer of a nonroad engine family with a NOX FEL below 
the applicable standard for a given model year may bank credits in that 
model year for use in averaging and trading in any subsequent model 
year.
    (2) A manufacturer of a nonroad engine family may bank 
NOX credits up to one calendar year prior to the effective 
date of mandatory certification. Such engines must meet the requirements 
of subparts A, B, D, E, F, G, H, I, J, and K of this part.
    (3)(i) A manufacturer of a nonroad engine family may bank PM credits 
from Tier 1 engines under the provisions specified in Sec. 89.207(b) 
for use in averaging and trading in the Tier 2 or later timeframe.
    (ii) Such engine families are subject to all provisions specified in 
subparts A, B, D, E, F, G, H, I, J, and K of this part, except that the 
applicable PM FEL replaces the PM emission standard for the family 
participating in the banking and trading program.
    (b) Requirements for Tier 2 and later engines rated at or above 37 
kW and Tier 1 and later engines rated under 37 kW. (1) A manufacturer of 
a nonroad engine family with an NMHC + NOX FEL or a PM FEL 
below the applicable standard for a given model year may bank credits in 
that model year for use in averaging and trading in any following model 
year.
    (2) For engine rated under 37 kW, a manufacturer of a nonroad engine 
family may bank credits prior to the effective date of mandatory 
certification. Such engines must meet the requirements of subparts A, B, 
D, E, F, G, H, I, J, and K of this part.
    (c) A manufacturer may bank actual credits only after the end of the 
model year and after EPA has reviewed the manufacturer's end-of-year 
reports. During the model year and before submittal of the end-of-year 
report, credits originally designated in the certification process for 
banking will be considered reserved and may be redesignated for trading 
or averaging in the end-of-year report and final report.
    (d) Credits declared for banking from the previous model year that 
have not

[[Page 74]]

been reviewed by EPA may be used in averaging or trading transactions. 
However, such credits may be revoked at a later time following EPA 
review of the end-of-year report or any subsequent audit actions.

[63 FR 57008, Oct. 23, 1998]



Sec. 89.206  Trading.

    (a) Requirements for Tier 1 engines rated at or above 37 kW. (1) A 
nonroad engine manufacturer may exchange emission credits with other 
nonroad engine manufacturers within the same averaging set in trading.
    (2) Credits for trading can be obtained from credits banked in a 
previous model year or credits generated during the model year of the 
trading transaction.
    (3) Traded credits can be used for averaging, banking, or further 
trading transactions within the restrictions described in Sec. 
89.204(c).
    (b) Requirements for Tier 2 and later engines rated at or above 37 
kW and Tier 1 and later engines rated under 37 kW. (1) A nonroad engine 
manufacturer may exchange emission credits with other nonroad engine 
manufacturers within the same averaging set in trading.
    (2) Credits for trading can be obtained from credits banked in 
previous model years that have not expired or credits generated during 
the model year of the trading transaction.
    (3) Traded credits can be used for averaging, banking, or further 
trading transactions within the restrictions described in Sec. 
89.204(c) and paragraph (b)(4) of this section.
    (4) Emission credits generated from engines rated at or above 19 kW 
utilizing indirect fuel injection may not be traded to other 
manufacturers.
    (c) In the event of a negative credit balance resulting from a 
transaction, both the buyer and the seller are liable, except in cases 
deemed involving fraud. Certificates of all engine families 
participating in a negative trade may be voided ab initio under Sec. 
89.126(c).

[63 FR 57008, Oct. 23, 1998]



Sec. 89.207  Credit calculation.

    (a) Requirements for calculating NOX credits from Tier 1 
engines rated at or above 37 kW. (1) For each participating engine 
family, emission credits (positive or negative) are to be calculated 
according to one of the following equations and rounded, in accordance 
with ASTM E29-93a, to the nearest one-hundredth of a megagram (Mg). This 
ASTM procedure has been incorporated by reference (see Sec. 89.6). 
Consistent units are to be used throughout the equation.
    (i) For determining credit availability from all engine families 
generating credits: Emission credits = (Std-FEL) x (Volume) x (AvgPR) x 
(UL) x (Adjustment) x (10-6)
    (ii) For determining credit usage for all engine families requiring 
credits to offset emissions in excess of the standard:

Emission credits = (Std-FEL) x (Volume) x (AvgPR) x (UL) x 
    (10-6)

Where:

Std = the applicable Tier 1 NOX nonroad engine emission 
standard, in grams per kilowatt-hour.
FEL = the NOX family emission limit for the engine family in 
grams per kilowatt-hour.
Volume = the number of nonroad engines eligible to participate in the 
averaging, banking, and trading program within the given engine family 
during the model year. Engines sold to equipment or vehicle 
manufacturers under the provisions of Sec. 89.102(g) shall not be 
included in this number. Quarterly production projections are used for 
initial certification. Actual applicable production/sales volume is used 
for end-of-year compliance determination.
AvgPR = the average power rating of all of the configurations within an 
engine family, calculated on a sales-weighted basis, in kilowatts.
UL = the useful life for the engine family, in hours.
Adjustment = a one-time adjustment, as specified in paragraph (a)(2) of 
this section, to be applied to Tier 1 NOX credits to be 
banked or traded for determining compliance with the Tier 1 
NOX standards or Tier 2 NOX+NMHC standards 
specified in subpart B of this part. Banked credits traded in a 
subsequent model year will not be subject to an additional adjustment. 
Banked credits used in a subsequent model year's averaging program will 
not have the adjustment restored.

    (2) If an engine family is certified to a NOX FEL of 8.0 
g/kW-hr or less, an Adjustment value of 1.0 shall be used in the credit 
generation calculation described in paragraph (a)(1)(i) of this section. 
If an engine family is certified

[[Page 75]]

to a NOX FEL above 8.0 g/kW-hr, an Adjustment value of 0.65 
shall be used in the credit generation calculation described in 
paragraph (a)(1)(i) of this section. If the credits are to be used by 
the credit-generating manufacturer for averaging purposes in the same 
model year in which they are generated, an Adjustment value of 1.0 shall 
be used for all engines regardless of the level of the NOX 
FEL. If the credits are to be banked by the credit-generating 
manufacturer and used in a subsequent model year for another Tier 1 
engine family, an Adjustment value of 1.0 shall be used for all engines 
regardless of the level of the NOX FEL.
    (b) Requirements for calculating NMHC + NOX Credits from 
Tier 2 and later engines rated at or above 37 kW and Tier 1 and later 
engines rated under 37 kW and PM credits from all engines. (1) For each 
participating engine family, NOX + NMHC emission credits and 
PM emission credits (positive or negative) are to be calculated 
according to one of the following equations and rounded, in accordance 
with ASTM E29-93a, to the nearest one-hundredth of a megagram (Mg). This 
procedure has been incorporated by reference (see Sec. 89.6). 
Consistent units are to be used throughout the equation.
    (i) For determining credit availability from all engine families 
generating credits:

Emission credits = (Std-FEL) x (Volume) x (AvgPR) x (UL) x 
    (10-6)

    (ii) For determining credit usage for all engine families requiring 
credits to offset emissions in excess of the standard:

Emission credits = (Std-FEL) x (Volume) x (AvgPR) x (UL) x 
    (10-6)

Where:

Std = the current and applicable nonroad engine emission standard, in 
grams per kilowatt-hour, except for PM calculations where it is the 
applicable nonroad engine Tier 2 PM emission standard, and except for 
engines rated under 19 kW where it is the applicable nonroad engine Tier 
2 emission standard, in grams per kilowatt-hour. (Engines rated under 19 
kW participating in the averaging and banking program provisions of 
Sec. 89.203(c)(3)(ii) shall use the Tier 1 standard for credit 
calculations.)
FEL = the family emission limit for the engine family in grams per 
kilowatt-hour.
Volume = the number of nonroad engines eligible to participate in the 
averaging, banking, and trading program within the given engine family 
during the model year. Engines sold to equipment or vehicle 
manufacturers under the provisions of Sec. 89.102(g) shall not be 
included in this number. Quarterly production projections are used for 
initial certification. Actual applicable production/sales volume is used 
for end-of-year compliance determination.
AvgPR = the average power rating of all of the configurations within an 
engine family, calculated on a sales-weighted basis, in kilowatts.
UL = the useful life for the given engine family, in hours.

[63 FR 57008, Oct. 23, 1998]



Sec. 89.208  Labeling.

    For all nonroad engines included in the averaging, banking, and 
trading programs, the family emission limits to which the engine is 
certified must be included on the label required in Sec. 89.110.

[63 FR 57009, Oct. 23, 1998]



Sec. 89.209  Certification.

    (a) In the application for certification a manufacturer must:
    (1) Declare its intent to include specific engine families in the 
averaging, banking, and trading programs.
    (2) Submit a statement that the engines for which certification is 
requested will not, to the best of the manufacturer's belief, cause the 
manufacturer to have a negative credit balance when all credits are 
calculated for all the manufacturer's engine families participating in 
the averaging, banking, and trading programs, except as allowed under 
Sec. 89.203(c)(3)(ii).
    (3) Declare the applicable FELs for each engine family participating 
in averaging, banking, and trading.
    (i) The FELs must be to the same number of significant digits as the 
emission standard for the applicable pollutant.
    (ii) In no case may the FEL exceed the upper limits prescribed in 
Sec. 89.112(d).
    (4) Indicate the projected number of credits generated/needed for 
this family; the projected applicable production/sales volume, by 
quarter; and the values required to calculate credits as given in Sec. 
89.207.

[[Page 76]]

    (5) Submit calculations in accordance with Sec. 89.207 of projected 
emission credits (positive or negative) based on quarterly production 
projections for each participating family.
    (6)(i) If the engine family is projected to have negative emission 
credits, state specifically the source (manufacturer/engine family or 
reserved) of the credits necessary to offset the credit deficit 
according to quarterly projected production, or, if the engine family is 
to be included in the provisions of Sec. 89.203(c)(3)(ii), state that 
the engine family will be subject to those provisions.
    (ii) If the engine family is projected to generate credits, state 
specifically (manufacturer/engine family or reserved) where the 
quarterly projected credits will be applied.
    (b) All certificates issued are conditional upon manufacturer 
compliance with the provisions of this subpart both during and after the 
model year of production.
    (c) Failure to comply with all provisions of this subpart will be 
considered to be a failure to satisfy the conditions upon which the 
certificate was issued, and the certificate may be deemed void ab 
initio.
    (d) The manufacturer bears the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied or waived.
    (e) Projected credits based on information supplied in the 
certification application may be used to obtain a certificate of 
conformity. However, any such credits may be revoked based on review of 
end-of-year reports, follow-up audits, and any other verification steps 
deemed appropriate by the Administrator.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57009, Oct. 23, 1998]



Sec. 89.210  Maintenance of records.

    (a) The manufacturer of any nonroad engine that is certified under 
the averaging, banking, and trading program must establish, maintain, 
and retain the following adequately organized and indexed records for 
each such engine produced:
    (1) EPA engine family;
    (2) Engine identification number;
    (3) Engine model year and build date,
    (4) Power rating;
    (5) Purchaser and destination; and
    (6) Assembly plant.
    (b) The manufacturer of any nonroad engine family that is certified 
under the averaging, banking, and trading programs must establish, 
maintain, and retain the following adequately organized and indexed 
records for each such family:
    (1) EPA engine family;
    (2) Family emission limits (FEL);
    (3) Power rating for each configuration tested;
    (4) Projected applicable production/sales volume for the model year; 
and
    (5) Actual applicable production/sales volume for the model year.
    (c) Any manufacturer producing an engine family participating in 
trading reserved credits must maintain the following records on a 
quarterly basis for each engine family in the trading program:
    (1) The engine family;
    (2) The actual quarterly and cumulative applicable production/sales 
volume;
    (3) The values required to calculate credits as given in Sec. 
89.207;
    (4) The resulting type and number of credits generated/required;
    (5) How and where credit surpluses are dispersed; and
    (6) How and through what means credit deficits are met.
    (d) The manufacturer must retain all records required to be 
maintained under this section for a period of eight years from the due 
date for the end-of-model-year report. Records may be retained as hard 
copy or reduced to microfilm, ADP diskettes, and so forth, depending on 
the manufacturer's record retention procedure; provided, that in every 
case all information contained in the hard copy is retained.
    (e) Nothing in this section limits the Administrator's discretion in 
requiring the manufacturer to retain additional records or submit 
information not specifically required by this section.
    (f) Pursuant to a request made by the Administrator, the 
manufacturer must submit to the Administrator the information that the 
manufacturer is required to retain.

[[Page 77]]

    (g) EPA may void ab initio under Sec. 89.126(c) a certificate of 
conformity for an engine family for which the manufacturer fails to 
retain the records required in this section or to provide such 
information to the Administrator upon request.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57009, Oct. 23, 1998]



Sec. 89.211  End-of-year and final reports.

    (a) End-of-year and final reports must indicate the engine family, 
the actual applicable production/sales volume, the values required to 
calculate credits as given in Sec. 89.207, and the number of credits 
generated/required. Manufacturers must also submit how and where credit 
surpluses were dispersed (or are to be banked) and/or how and through 
what means credit deficits were met. Copies of contracts related to 
credit trading must be included or supplied by the broker, if 
applicable. The report shall include a calculation of credit balances to 
show that the summation of the manufacturer's use of credits results in 
a credit balance equal to or greater than zero, except as allowed under 
Sec. 89.203(c)(3)(ii). Manufacturers participating under the program 
described in Sec. 89.203(c)(3)(ii) shall include the NMHC + 
NOX credit balance and the PM credit balance as of December 
31 of that calendar year.
    (b) The applicable production/sales volume for end-of-year and final 
reports must be based on the location of the point of first retail sale 
(for example, retail customer, dealer, secondary manufacturer) also 
called the final product purchase location.
    (c)(1) End-of-year reports must be submitted within 90 days of the 
end of the model year to: Director, Engine Programs and Compliance 
Division (6405-J), U.S. Environmental Protection Agency, 401 M St., SW., 
Washington, DC 20460.
    (2) Final reports must be submitted within 270 days of the end of 
the model year to: Director, Engine Programs and Compliance Division 
(6405-J), U.S. Environmental Protection Agency, 401 M St., SW., 
Washington, DC 20460.
    (d) Failure by a manufacturer participating in the averaging, 
banking, or trading program to submit any end-of-year or final reports 
in the specified time for all engines is a violation of sections 
203(a)(1) and 213 of the Clean Air Act for each engine.
    (e) A manufacturer generating credits for deposit only who fails to 
submit end-of-year reports in the applicable specified time period (90 
days after the end of the model year) may not use the credits until such 
reports are received and reviewed by EPA. Use of projected credits 
pending EPA review is not permitted in these circumstances.
    (f) Errors discovered by EPA or the manufacturer in the end-of-year 
report, including errors in credit calculation, may be corrected in the 
final report up to 270 days from the end of the model year.
    (g) If EPA or the manufacturer determines that a reporting error 
occurred on an end-of-year or final report previously submitted to EPA 
under this section, the manufacturer's credits and credit calculations 
will be recalculated. Erroneous positive credits will be void except as 
provided in paragraph (h) of this section. Erroneous negative credit 
balances may be adjusted by EPA.
    (h) If within 270 days of the end of the model year, EPA review 
determines a reporting error in the manufacturer's favor (that is, 
resulting in an increased credit balance) or if the manufacturer 
discovers such an error within 270 days of the end of the model year, 
the credits shall be restored for use by the manufacturer.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57009, Oct. 23, 1998]



Sec. 89.212  Notice of opportunity for hearing.

    Any voiding of the certificate under Sec. Sec. 89.203(d), 
89.206(c), 89.209(c) or 89.210(g) will be made only after the 
manufacturer concerned has been offered an opportunity for a hearing 
conducted in accordance with Sec. Sec. 89.512 and 89.513 and, if a 
manufacturer requests such a hearing, will be made only after an initial 
decision by the Presiding Officer.

[63 FR 57010, Oct. 23, 1998]

[[Page 78]]



              Subpart D_Emission Test Equipment Provisions



Sec. 89.301  Scope; applicability.

    (a) This subpart describes the equipment required in order to 
perform exhaust emission tests on new nonroad compression-ignition 
engines subject to the provisions of subpart B of part 89.
    (b) Exhaust gases, either raw or dilute, are sampled while the test 
engine is operated using an 8-mode test cycle on an engine dynamometer. 
The exhaust gases receive specific component analysis determining 
concentration of pollutant, exhaust volume, the fuel flow, and the power 
output during each mode. Emission is reported as grams per kilowatt hour 
(g/kw-hr). See subpart E of this part for a complete description of the 
test procedure.
    (c) General equipment and calibration requirements are given in 
Sec. 89.304 through 89.324. Sections 89.325 through 89.331 set forth 
general test specifications.
    (d) Additional information about system design, calibration 
methodologies, and so forth, for raw gas sampling can be found in part 
86, subpart D of this chapter. Examples for system design, calibration 
methodologies, and so forth, for dilute exhaust gas sampling can be 
found in part 86, subpart N of this chapter.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.302  Definitions.

    The definitions in subpart A of this part apply to this subpart. For 
terms not defined in this part, the definitions in 40 CFR part 86, 
subparts A, D, I, and N, apply to this subpart.

[63 FR 57010, Oct. 23, 1998]



Sec. 89.303  Symbols/abbreviations.

    (a) The abbreviations in Sec. 86.094-3 or part 89.3 of this chapter 
apply to this subpart.
    (b) The abbreviations in Table 1 in appendix A of this subpart apply 
to this subpart. Some abbreviations from Sec. 89.3 have been included 
for the convenience of the reader.
    (c) The symbols in Table 2 in appendix A of this subpart apply to 
this subpart.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.304  Equipment required for gaseous emissions; overview.

    (a) All engines subject to this subpart are tested for exhaust 
emissions. Engines are operated on dynamometers meeting the 
specification given in Sec. 89.306.
    (b) The exhaust is tested for gaseous emissions using a raw gas 
sampling system as described in Sec. 89.412 or a constant volume 
sampling (CVS) system as described in Sec. 89.419. Both systems require 
analyzers (see paragraph (c) of this section) specific to the pollutant 
being measured.
    (c) Analyzers used are a non-dispersive infrared (NDIR) absorption 
type for carbon monoxide and carbon dioxide analysis; a heated flame 
ionization (HFID) type for hydrocarbon analysis; and a chemiluminescent 
detector (CLD) or heated chemiluminescent detector (HCLD) for oxides of 
nitrogen analysis. Sections 89.309 through 89.324 set forth a full 
description of analyzer requirements and specifications.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57010, Oct. 23, 1998]



Sec. 89.305  Equipment measurement accuracy/calibration frequency.

    The accuracy of measurements must be such that the maximum 
tolerances shown in Table 3 in appendix A of this subpart are not 
exceeded. Calibrate all equipment and analyzers according to the 
frequencies shown in Table 3 in appendix A of this subpart.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.306  Dynamometer specifications and calibration weights.

    (a) Dynamometer specifications. The dynamometer test stand and other 
instruments for measurement of power output must meet the accuracy and 
calibration frequency requirements shown in Table 3 in appendix A of 
this subpart. The dynamometer must be capable of performing the test 
cycle described in Sec. 89.410.

[[Page 79]]

    (b) Dynamometer calibration weights. A minimum of six calibration 
weights for each range used are required. The weights must be spaced to 
reflect good engineering judgement such that they cover the range of 
weights required and must be traceable to within 0.5 percent of NIST 
weights. Laboratories located in foreign countries may certify 
calibration weights to local government bureau standards.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.307  Dynamometer calibration.

    (a) If necessary, follow the dynamometer manufacturer's instructions 
for initial start-up and basic operating adjustments.
    (b) Check the dynamometer torque measurement for each range used by 
the following method:
    (1) Warm up the dynamometer following the dynamometer manufacturer's 
specifications.
    (2) Determine the dynamometer calibration moment arm (a distance/
weight measurement). Dynamometer manufacturer's data, actual 
measurement, or the value recorded from the previous calibration used 
for this subpart may be used.
    (3) When calibrating the engine flywheel torque transducer, any 
lever arm used to convert a weight or a force through a distance into a 
torque must be in a horizontal position (5 
degrees).
    (4) Calculate the indicated torque (IT) for each calibration weight 
to be used by:

IT = calibration weight (N) x calibration moment arm (m)

    (5) Attach each calibration weight specified in Sec. 89.306 to the 
moment arm at the calibration distance determined in paragraph (b)(2) of 
this section. Record the power measurement equipment response (N-m) to 
each weight.
    (6) For each calibration weight, compare the torque value measured 
in paragraph (b)(5) of this section to the calculated torque determined 
in paragraph (b)(4) of this section.
    (7) The measured torque must be within either 2 percent of point or 
1 percent of the engine maximum torque of the calculated torque.
    (8) If the measured torque is not within the above requirements, 
adjust or repair the system. Repeat steps in paragraphs (b)(1) through 
(b)(6) of this section with the adjusted or repaired system.
    (c) Optional. A master load-cell or transfer standard may be used to 
verify the torque measurement system.
    (1) The master load-cell and read out system must be calibrated with 
weights at each test weight specified in Sec. 89.306. The calibration 
weights must be traceable to within 0.1 percent of applicable national 
standards.
    (2) Warm up the dynamometer following the equipment manufacturer's 
specifications.
    (3) Attach the master load-cell and loading system.
    (4) Load the dynamometer to a minimum of 6 equally spaced torque 
values as indicated by the master load-cell for each in-use range used.
    (5) The in-use torque measurement must be within 2 percent of the 
torque measured by the master system for each load used.
    (6) If the in-use torque is not within 2 percent of the master 
torque, adjust or repair the system. Repeat steps in paragraphs (c)(2) 
through (c)(5) of this section with the adjusted or repaired system.
    (d) Calibrated resistors may not be used for engine flywheel torque 
transducer calibration, but may be used to span the transducer prior to 
engine testing.
    (e) Perform other engine dynamometer system calibrations as dictated 
by good engineering practice.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57010, Oct. 23, 1998]



Sec. 89.308  Sampling system requirements for gaseous emissions.

    (a) For each component (pump, sample line section, filters, and so 
forth) in the heated portion of the sampling system that has a separate 
source of power or heating element, use engineering judgment to locate 
the coolest portion of that component and monitor the temperature at 
that location. If several components are within an oven, then only the 
surface temperature of

[[Page 80]]

the component with the largest thermal mass and the oven temperature 
need be measured.
    (b) If water is removed by condensation, the sample gas temperature 
shall be monitored within the water trap or the sample dewpoint shall be 
monitored downstream. In either case, the indicated temperature shall 
not exceed 7 [deg]C.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57010, Oct. 23, 1998]



Sec. 89.309  Analyzers required for gaseous emissions.

    (a) Analyzers. The following instruments are required for analyzing 
the measured gases:
    (1) Carbon Monoxide (CO) analysis. (i) The carbon monoxide analyzer 
must be of the non-dispersive infrared (NDIR) absorption type.
    (ii) The use of linearizing circuits is permitted.
    (2) Carbon Dioxide (CO2) analysis. (i) The carbon dioxide 
analyzer must be of the non-dispersive infrared (NDIR) absorption type.
    (ii) The use of linearizing circuits is permitted.
    (3) [Reserved]
    (4) Hydrocarbon (HC) analysis. (i) The hydrocarbon analyzer must be 
of the heated flame ionization (HFID) type.
    (ii) If the temperature of the exhaust gas at the sample probe is 
below 190 [deg]C, the temperature of the valves, pipework, and so forth, 
must be controlled so as to maintain a wall temperature of 190 [deg]C 
 11 [deg]C. If the temperature of the exhaust gas 
at the sample probe is above 190 [deg]C, the temperature of the valves, 
pipework, and so forth, must be controlled so as to maintain a wall 
temperature greater than 180 [deg]C.
    (iii) The FID oven must be capable of maintaining temperature within 
5.5 [deg]C of the set point.
    (iv) Fuel and burner air must conform to the specifications in Sec. 
89.312.
    (v) The percent of oxygen interference must be less than 3 percent, 
as specified in Sec. 89.319(d).
    (5) Oxides of nitrogen (NOX) analysis. (i) This analysis 
device must consist of the subsequent items, following the sample probe, 
in the given order:
    (A) Pipework, valves, and so forth, controlled so as to maintain a 
wall temperature above 60 [deg]C.
    (B) A NO2 to NO converter. The NO2 to NO 
converter efficiency must be at least 90 percent.
    (C) For raw analysis, an ice bath or other cooling device located 
after the NOX converter (optional for dilute analysis).
    (D) A chemiluminescent detector (CLD or HCLD).
    (ii) The quench interference must be less than 3.0 percent as 
measured in Sec. 89.318.
    (b) Other gas analyzers yielding equivalent results may be used with 
advance approval of the Administrator.
    (c) The following requirements must be incorporated in each system 
used for testing under this subpart.
    (1) Carbon monoxide and carbon dioxide measurements must be made on 
a dry basis (for raw exhaust measurement only). Specific requirements 
for the means of drying the sample can be found in Sec. 89.309(e).
    (2) Calibration or span gases for the NOX measurement 
system must pass through the NO2 to NO converter.
    (d) The electromagnetic compatibility (EMC) of the equipment must be 
on a level as to minimize additional errors.
    (e) Gas drying. Chemical dryers are not an acceptable method of 
removing water from the sample. Water removal by condensation is 
acceptable. A water trap performing this function and meeting the 
specifications in Sec. 89.308(b) is an acceptable method. Means other 
than condensation may be used only with prior approval from the 
Administrator.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57010, Oct. 23, 1998]



Sec. 89.310  Analyzer accuracy and specifications.

    (a) Measurement accuracy--general. The analyzers must have a 
measuring range which allows them to measure the concentrations of the 
exhaust gas sample pollutants with the accuracies shown in Table 3 in 
Appendix A of this subpart.
    (1) Response time. As necessary, measure and account for the 
response time of the analyzer.

[[Page 81]]

    (2) Precision. The precision of the analyzer must be, at worst, 
1 percent of full-scale concentration for each 
range used at or above 100 ppm (or ppmC) or 2 
percent for each range used below 100 ppm (or ppmC). The precision is 
defined as 2.5 times the standard deviation(s) of 10 repetitive 
responses to a given calibration or span gas.
    (3) Noise. The analyzer peak-to-peak response to zero and 
calibration or span gases over any 10-second period must not exceed 2 
percent of full-scale chart deflection on all ranges used.
    (4) Zero drift. The analyzer zero-response drift during a 1-hour 
period must be less than 2 percent of full-scale chart deflection on the 
lowest range used. The zero-response is defined as the mean response 
including noise to a zero-gas during a 30-second time interval.
    (5) Span drift. The analyzer span drift during a 1-hour period must 
be less than 2 percent of full-scale chart deflection on the lowest 
range used. The analyzer span is defined as the difference between the 
span-response and the zero-response. The span-response is defined as the 
mean response including noise to a span gas during a 30-second time 
interval.
    (b) Operating procedure for analyzers and sampling system. Follow 
the start-up and operating instructions of the instrument manufacturer. 
Adhere to the minimum requirements given in Sec. 89.314 to Sec. 
89.323.
    (c) Emission measurement accuracy--Bag sampling. (1) Good 
engineering practice dictates that exhaust emission sample analyzer 
readings below 15 percent of full-scale chart deflection should 
generally not be used.
    (2) Some high resolution read-out systems, such as computers, data 
loggers, and so forth, can provide sufficient accuracy and resolution 
below 15 percent of full scale. Such systems may be used provided that 
additional calibrations of at least 4 non-zero nominally equally spaced 
points, using good engineering judgement, below 15 percent of full scale 
are made to ensure the accuracy of the calibration curves. If a gas 
divider is used, the gas divider must conform to the accuracy 
requirements specified in Sec. 89.312(c). The procedure in paragraph 
(c)(3) of this section may be used for calibration below 15 percent of 
full scale.
    (3) The following procedure shall be followed:
    (i) Span the analyzer using a calibration gas meeting the accuracy 
requirements of Sec. 89.312(c), within the operating range of the 
analyzer, and at least 90% of full scale.
    (ii) Generate a calibration over the full concentration range at a 
minimum of 6, approximately equally spaced, points (e.g. 15, 30, 45, 60, 
75, and 90 percent of the range of concentrations provided by the gas 
divider). If a gas divider or blender is being used to calibrate the 
analyzer and the requirements of paragraph (c)(2) of this section are 
met, verify that a second calibration gas between 10 and 20 percent of 
full scale can be named within 2 percent of its certified concentration.
    (iii) If a gas divider or blender is being used to calibrate the 
analyzer, input the value of a second calibration gas (a span gas may be 
used for the CO2 analyzer) having a named concentration between 10 and 
20 percent of full scale. This gas shall be included on the calibration 
curve. Continue adding calibration points by dividing this gas until the 
requirements of paragraph (c)(2) of this section are met.
    (iv) Fit a calibration curve per Sec. 89.319 through Sec. 89.322 
for the full scale range of the analyzer using the calibration data 
obtained with both calibration gases.
    (d) Emission measurement accuracy--continuous sampling. Analyzers 
used for continuous analysis must be operated such that the measured 
concentration falls between 15 and 100 percent of full-scale chart 
deflection. Exceptions to these limits are:
    (1) The analyzer's response may be less than 15 percent or more than 
100 percent of full scale if automatic range change circuitry is used 
and the limits for range changes are between 15 and 100 percent of full-
scale chart deflection;
    (2) The analyzer's response may be less than 15 percent of full 
scale if:
    (i) Alternative (c)(2) of this section is used to ensure that the 
accuracy of the calibration curve is maintained below 15 percent; or

[[Page 82]]

    (ii) The full-scale value of the range is 155 ppm (or ppmC) or less.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57010, Oct. 23, 1998]



Sec. 89.311  Analyzer calibration frequency.

    (a) Prior to initial use and after major repairs, bench check each 
analyzer (see Sec. 89.315).
    (b) Calibrations are performed as specified in Sec. Sec. 89.319 
through 89.324.
    (c) At least monthly, or after any maintenance which could alter 
calibration, the following calibrations and checks are performed.
    (1) Leak check the vacuum side of the system (see Sec. 89.316).
    (2) Check that the analysis system response time has been measured 
and accounted for.
    (3) Verify that the automatic data collection system (if used) meets 
the requirements found in Table 3 in appendix A of this subpart.
    (4) Check the fuel flow measurement instrument to insure that the 
specifications in Table 3 in appendix A of this subpart are met.
    (d) Verify that all NDIR analyzers meet the water rejection ratio 
and the CO2 rejection ratio as specified in Sec. 89.318.
    (e) Verify that the dynamometer test stand and power output 
instrumentation meet the specifications in Table 3 in appendix A of this 
subpart.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.312  Analytical gases.

    (a) The shelf life of all calibration gases must not be exceeded. 
The expiration date of the calibration gases stated by the gas 
manufacturer shall be recorded.
    (b) Pure gases. The required purity of the gases is defined by the 
contamination limits given below. The following gases must be available 
for operation:
    (1) Purified nitrogen (Contamination <= 1 ppm C, <= 1 ppm CO, <= 400 
ppm CO2, <= 0.1 ppm NO)
    (2) [Reserved]
    (3) Hydrogen-helium mixture (40  2 percent 
hydrogen, balance helium) (Contamination <= 31 ppm C, <= 400 ppm CO)
    (4) Purified synthetic air (Contamination <= 1 ppm C, <= 1 ppm CO, 
<= 400 ppm CO2, <= 0.1 ppm NO) (Oxygen content between 18-21 
percent vol.)
    (c) Calibration and span gases. (1) Calibration gas values are to be 
derived from NIST Standard Reference Materials (SRM's) or other 
standardized gas samples and are to be single blends as listed in the 
following paragraph.
    (2) Mixtures of gases having the following chemical compositions 
shall be available:
    (i) C3H8 and purified synthetic air ;
    (ii) C3H8 and purified nitrogen (optional for 
raw measurements);
    (iii) CO and purified nitrogen;
    (iv) NOX and purified nitrogen (the amount of 
NO2 contained in this calibration gas must not exceed 5 
percent of the NO content);
    (v) CO2 and purified nitrogen.
    (3) The true concentration of a span gas must be within 2 percent of the NIST gas standard. The true 
concentration of a calibration gas must be within 1 percent of the NIST gas standard. The use of precision 
blending devices (gas dividers) to obtain the required calibration gas 
concentrations is acceptable, provided that the blended gases are 
accurate to within 1.5 percent of NIST gas 
standards, or other gas standards which have been approved by the 
Administrator. This accuracy implies that primary gases used (or 
blending) must be ``named'' to an accuracy of at least 1 percent, traceable to NIST or other approved gas 
standards. All concentrations of calibration gas shall be given on a 
volume basis (volume percent or volume ppm).
    (4) The gas concentrations used for calibration and span may also be 
obtained by means of a gas divider, either diluting with purified 
N2 or diluting with purified synthetic air. The accuracy of 
the mixing device must be such that the concentration of the diluted 
gases may be determined to within 2 percent.
    (d) Oxygen interference check gases shall contain propane with 350 
ppmC 75 ppmC hydrocarbon. The three oxygen 
interference gases shall contain 21%  1% 
O2, 10%  1% O2, and 5% 
 1% O2. The concentration value shall 
be determined to calibration gas

[[Page 83]]

tolerances by chromatographic analysis of total hydrocarbons plus 
impurities or by dynamic blending. Nitrogen shall be the predominant 
diluent with the balance oxygen.
    (e) Fuel for the FID shall be a blend of 40 percent 2 percent hydrogen with the balance being helium. The 
mixture shall contain less than 1 ppm equivalent carbon response; 98 to 
100 percent hydrogen fuel may be used with advance approval of the 
Administrator.
    (f) Hydrocarbon analyzer burner air. The concentration of oxygen for 
raw sampling must be within 1 mole percent of the oxygen concentration 
of the burner air used in the latest oxygen interference check 
(%O2I). If the difference in oxygen concentration is greater 
than 1 mole percent, then the oxygen interference must be checked and, 
if necessary, the analyzer adjusted to meet the %O2I 
requirements. The burner air must contain less than 2 ppmC hydrocarbon.
    (g) Gases for the methane analyzer shall be single blends of methane 
using air as the diluent.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57010, Oct. 23, 1998]



Sec. 89.313  Initial calibration of analyzers.

    (a) Warming-up time. The warming-up time should be according to the 
recommendations of the manufacturer. If not specified, a minimum of two 
hours shall be allowed for warming up the analyzers.
    (b) NDIR and HFID analyzer. The NDIR analyzer shall be tuned and 
maintained according to the instrument manufacturer's instructions. The 
combustion flame of the HFID analyzer shall be optimized in order to 
meet the specifications in Sec. 89.319(b)(2).
    (c) Zero setting and calibration. (1) Using purified synthetic air 
(or nitrogen), the CO, CO2, NOX. and HC analyzers 
shall be set at zero.
    (2) Introduce the appropriate calibration gases to the analyzers and 
the values recorded. The same gas flow rates shall be used as when 
sampling exhaust.
    (d) Rechecking of zero setting. The zero setting shall be rechecked 
and the procedure described in paragraph (c) of this section repeated, 
if necessary.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.314  Pre- and post-test calibration of analyzers.

    Each operating range used during the test shall be checked prior to 
and after each test in accordance with the following procedure. (A 
chronic need for parameter adjustment can indicate a need for instrument 
maintenance.):
    (a) The calibration is checked by using a zero gas and a span gas 
whose nominal value is between 75 percent and 100 percent of full-scale, 
inclusive, of the measuring range.
    (b) After the end of the final mode, a zero gas and the same span 
gas will be used for rechecking. As an option, the zero and span may be 
rechecked at the end of each mode or each test segment. The analysis 
will be considered acceptable if the difference between the two 
measuring results is less than 2 percent of full scale.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57011, Oct. 23, 1998]



Sec. 89.315  Analyzer bench checks.

    (a) Prior to initial use and after major repairs verify that each 
analyzer complies with the specifications given in Table 3 in appendix A 
of this subpart.
    (b) If a stainless steel NO2 to NO converter is used, 
condition all new or replacement converters. The conditioning consists 
of either purging the converter with air for a minimum of 4 hours or 
until the converter efficiency is greater than 90 percent. The converter 
must be at operational temperature while purging. Do not use this 
procedure prior to checking converter efficiency on in-use converters.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.316  Analyzer leakage and response time.

    (a) Vacuum side leak check. (1) Any location within the analysis 
system where a vacuum leak could affect the test results must be 
checked.
    (2) The maximum allowable leakage rate on the vacuum side is 0.5 
percent

[[Page 84]]

of the in-use flow rate for the portion of the system being checked. The 
analyzer flows and bypass flows may be used to estimate the in-use flow 
rates.
    (3) The sample probe and the connection between the sample probe and 
valve V2 (see Figure 1 in appendix B of this subpart) may be excluded 
from the leak check.
    (b) [Reserved]
    (c) The response time shall be accounted for in all emission 
measurement and calculations.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57011, Oct. 23, 1998]



Sec. 89.317  NOX converter check.

    (a) Prior to its introduction into service, and monthly thereafter, 
the chemiluminescent oxides of nitrogen analyzer shall be checked for 
NO2 to NO converter efficiency. Figure 2 in appendix B of 
this subpart is a reference for the following paragraphs.
    (b) Follow good engineering practices for instrument start-up and 
operation. Adjust the analyzer to optimize performance.
    (c) Zero the oxides of nitrogen analyzer with zero-grade air or 
zero-grade nitrogen.
    (d) Connect the outlet of the NOX generator to the sample 
inlet of the oxides of nitrogen analyzer which has been set to the most 
common operating range.
    (e) Introduce into the NOX generator analyzer-system an 
NO-in-nitrogen (N2) mixture with an NO concentration equal to 
approximately 80 percent of the most common operating range. The 
NO2 content of the gas mixture shall be less than 5 percent 
of the NO concentration.
    (f) With the oxides of nitrogen analyzer in the NO mode, record the 
concentration of NO indicated by the analyzer.
    (g) Turn on the NOX generator O2 (or air) 
supply and adjust the O2 (or air) flow rate so that the NO 
indicated by the analyzer is about 10 percent less than indicated in 
paragraph (f) of this section. Record the concentration of NO in this 
NO+O2 mixture.
    (h) Switch the NOX generator to the generation mode and 
adjust the generation rate so that the NO measured on the analyzer is 20 
percent of that measured in paragraph (f) of this section. There must be 
at least 10 percent unreacted NO at this point. Record the concentration 
of residual NO.
    (i) Switch the oxides of nitrogen analyzer to the NOX 
mode and measure total NOX. Record this value.
    (j) Switch off the NOX generator but maintain gas flow 
through the system. The oxides of nitrogen analyzer will indicate the 
NOX in the NO+O2 mixture. Record this value.
    (k) Turn off the NOX generator O2 (or air) 
supply. The analyzer will now indicate the NOX in the 
original NO-in-N2 mixture. This value should be no more than 
5 percent above the value indicated in paragraph (f) of this section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57011, Oct. 23, 1998]



Sec. 89.318  Analyzer interference checks.

    (a) Gases present in the exhaust other than the one being analyzed 
can interfere with the reading in several ways. Positive interference 
occurs in NDIR and PMD instruments when the interfering gas gives the 
same effect as the gas being measured, but to a lesser degree. Negative 
interference occurs in NDIR instruments by the interfering gas 
broadening the absorption band of the measured gas and in CLD 
instruments by the interfering gas quenching the radiation. The 
interference checks described in this section are to be made initially 
and after any major repairs that could affect analyzer performance.
    (b) CO analyzer water and CO2 interference checks. Prior 
to its introduction into service and annually thereafter, the NDIR 
carbon monoxide analyzer shall be checked for response to water vapor 
and CO2.
    (1) Follow good engineering practices for instrument start-up and 
operation. Adjust the analyzer to optimize performance on the most 
sensitive range to be used.
    (2) Zero the carbon monoxide analyzer with either zero-grade air or 
zero-grade nitrogen.
    (3) Bubble a mixture of 3 percent CO2 in N2 
through water at room temperature and record analyzer response.
    (4) An analyzer response of more than 1 percent of full scale for 
ranges above 300 ppm full scale or more than 3 ppm

[[Page 85]]

on ranges below 300 ppm full scale requires corrective action. (Use of 
conditioning columns is one form of corrective action which may be 
taken.)
    (c) NOX analyzer quench check. The two gases of concern 
for CLD (and HCLD) analyzers are CO2 and water vapor. Quench 
responses to these two gases are proportional to their concentrations 
and, therefore, require test techniques to determine quench at the 
highest expected concentrations experienced during testing.
    (1) NOX analyzer CO2 quench check. A CO2 span 
gas having a concentration of 80 percent to 100 percent of full scale of 
the maximum operating range used during testing shall be passed through 
the CO2 NDIR analyzer and the value recorded as a. It is 
diluted approximately 50 percent with NO span gas and then passed 
through the CO2 NDIR and CLD (or HCLD), with the 
CO2 and NO values recorded as b and c respectively. The 
CO2 shall then be shut off and only the NO span gas passed 
through the CLD (or HCLD) and the NO value recorded as d. Percent 
CO2 quench shall be calculated as follows and shall not 
exceed 3 percent:
[GRAPHIC] [TIFF OMITTED] TR17JN94.001

Where:

a = Undiluted CO2 concentration (percent)
b = Diluted CO2 concentration (percent)
c = Diluted NO concentration (ppm)
d = Undiluted NO concentration (ppm)

    (2) NOX analyzer water quench check. (i) This check 
applies to wet measurements only. An NO span gas having a concentration 
of 80 to 100 percent of full scale of a normal operating range shall be 
passed through the CLD (or HCLD) and the response recorded as D. The NO 
span gas shall then be bubbled through water at room temperature and 
passed through the CLD (or HCLD) and the analyzer response recorded as 
AR. Determine and record the bubbler absolute operating pressure and the 
bubbler water temperature. (It is important that the NO span gas 
contains minimal NO2 concentration for this check. No 
allowance for absorption of NO2 in water has been made in the 
following quench calculations. This test may be optionally run in the NO 
mode to minimize the effect of any NO2 in the NO span gas.)
    (ii) Calculations for water quench must consider dilution of the NO 
span gas with water vapor and scaling of the water vapor concentration 
of the mixture to that expected during testing. Determine the mixture's 
saturated vapor pressure (designated as Pwb) that corresponds to the 
bubbler water temperature. Calculate the water concentration (Z1, 
percent) in the mixture by the following equation:
[GRAPHIC] [TIFF OMITTED] TR17JN94.002

where

GP = analyzer operating pressure (Pa)

    (iii) Calculate the expected dilute NO span gas and water vapor 
mixture concentration (designated as D1) by the following equation:
[GRAPHIC] [TIFF OMITTED] TR17JN94.003

    (iv)(A) The maximum raw or dilute exhaust water vapor concentration 
expected during testing (designated as Wm) can be estimated from the 
CO2 span gas (or as defined in the equation in this paragraph 
and designated as A) criteria in paragraph (c)(1) of this section and 
the assumption of a fuel atom H/C ratio of 1.8:1 as:

Wm(%)=0.9xA(%)

Where:

A = maximum CO2 concentration expected in the sample system during 
testing.

    (B) Percent water quench shall not exceed 3 percent and shall be 
calculated by:

[[Page 86]]

[GRAPHIC] [TIFF OMITTED] TR23OC98.003


[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57011, Oct. 23, 1998; 63 FR 58101, Oct. 29, 1998]



Sec. 89.319  Hydrocarbon analyzer calibration.

    (a) The FID hydrocarbon analyzer shall receive the initial and 
periodic calibration as described in this section. The HFID used with 
petroleum-fueled diesel (compression-ignition) engines shall be operated 
to a set point 5.5 [deg]C between 185 and 197 
[deg]C.
    (b) Initial and periodic optimization of detector response. Prior to 
introduction into service and at least annually thereafter, adjust the 
FID hydrocarbon analyzer for optimum hydrocarbon response as specified 
in this paragraph. Alternate methods yielding equivalent results may be 
used, if approved in advance by the Administrator.
    (1) Follow good engineering practices for initial instrument start-
up and basic operating adjustment using the appropriate fuel (see Sec. 
89.312(e)) and zero-grade air.
    (2) Optimize the FID's response on the most common operating range. 
The response is to be optimized with respect to fuel pressure or flow. 
Efforts shall be made to minimize response variations to different 
hydrocarbon species that are expected to be in the exhaust. Good 
engineering judgment is to be used to trade off optimal FID response to 
propane-in-air against reductions in relative responses to other 
hydrocarbons. A good example of trading off response on propane for 
relative responses to other hydrocarbon species is given in Society of 
Automotive Engineers (SAE) Paper No. 770141, ``Optimization of Flame 
Ionization Detector for Determination of Hydrocarbon in Diluted 
Automotive Exhausts''; author Glenn D. Reschke. It is also required that 
the response be set to optimum condition with respect to air flow and 
sample flow. Heated Flame Ionization Detectors (HFIDs) must be at their 
specified operating temperature. One of the following procedures is 
required for FID or HFID optimization:
    (i) The procedure outlined in Society of Automotive Engineers (SAE) 
paper No. 770141, ``Optimization of a Flame Ionization Detector for 
Determination of Hydrocarbon in Diluted Automotive Exhausts''; author, 
Glenn D. Reschke. This procedure has been incorporated by reference at 
Sec. 89.6.
    (ii) The HFID optimization procedures outlined in 40 CFR part 86, 
subpart D.
    (iii) Alternative procedures may be used if approved in advance by 
the Administrator.
    (iv) The procedures specified by the manufacturer of the FID or 
HFID.
    (3) After the optimum flow rates have been determined, record them 
for future reference.
    (c) Initial and periodic calibration. Prior to introduction into 
service, after any maintenance which could alter calibration, and 
monthly thereafter, the FID or HFID hydrocarbon analyzer shall be 
calibrated on all normally used instrument ranges using the steps in 
this paragraph (c). Use the same flow rate and pressures as when 
analyzing samples. Calibration gases shall be introduced directly at the 
analyzer, unless the ``overflow'' calibration option of 40 CFR part 86, 
subpart N, for the HFID is taken. New calibration curves need not be 
generated each month if the existing curve can be verified as continuing 
to meet the requirements of paragraph (c)(3) of this section.
    (1) Adjust analyzer to optimize performance.
    (2) Zero the hydrocarbon analyzer with zero-grade air.
    (3) Calibrate on each used operating range with propane-in-air 
(dilute or raw) or propane-in-nitrogen (raw) calibration gases having 
nominal concentrations starting between 10-15 percent and increasing in 
at least six incremental steps to 90 percent (e.g., 15, 30, 45, 60, 75, 
and 90 percent of that range) of that range. The incremental steps are 
to be spaced to represent good

[[Page 87]]

engineering practice. For each range calibrated, if the deviation from a 
least-squares best-fit straight line is 2 percent or less of the value 
at each data point, concentration values may be calculated by use of a 
single calibration factor for that range. If the deviation exceeds 2 
percent at each non-zero data point and within 0.3 
percent of full scale on the zero, the best-fit non-linear equation 
which represents the data to within these limits shall be used to 
determine concentration.
    (d) Oxygen interference optimization (required for raw). Choose a 
range where the oxygen interference check gases will fall in the upper 
50 percent. Conduct the test, as outlined in this paragraph, with the 
oven temperature set as required by the instrument manufacturer. Oxygen 
interference check gas specifications are found in Sec. 89.312(d).
    (1) Zero the analyzer.
    (2) Span the analyzer with the 21% oxygen interference gas specified 
in Sec. 89.312(d).
    (3) Recheck zero response. If it has changed more than 0.5 percent 
of full scale repeat paragraphs (d)(1) and (d)(2) of this section to 
correct problem.
    (4) Introduce the 5 percent and 10 percent oxygen interference check 
gases.
    (5) Recheck the zero response. If it has changed more 1 percent of full scale, repeat the test.
    (6) Calculate the percent of oxygen interference (designated as 
percent O2I) for each mixture in paragraph (d)(4) of this 
section.

percent O2I = ((B - C) x 100)/B

Where:

A = hydrocarbon concentration (ppmC) of the span gas used in paragraph 
(d)(2) of this section.
B = hydrocarbon concentration (ppmC) of the oxygen interference check 
gases used in paragraph (d)(4) of this section.
C = analyzer response (ppmC) = A/D; where
D = (percent of full-scale analyzer response due to A) x (percent of 
full-scale analyzer response due to B)

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57011, Oct. 23, 1998]



Sec. 89.320  Carbon monoxide analyzer calibration.

    (a) Calibrate the NDIR carbon monoxide as described in this section.
    (b) Initial and periodic interference check. Prior to its 
introduction into service and annually thereafter, the NDIR carbon 
monoxide analyzer shall be checked for response to water vapor and 
CO2 in accordance with Sec. 318.96(b).
    (c) Initial and periodic calibration. Prior to its introduction into 
service, after any maintenance which could alter calibration, and every 
two months thereafter, the NDIR carbon monoxide analyzer shall be 
calibrated. New calibration curves need not be generated every two 
months if the existing curve can be verified as continuing to meet the 
requirements of paragraph (c)(3) of this section.
    (1) Adjust the analyzer to optimize performance.
    (2) Zero the carbon monoxide analyzer with either zero-grade air or 
zero-grade nitrogen.
    (3) Calibrate on each used operating range with carbon monoxide-in-
N2 calibration gases having nominal concentrations starting 
between 10 and 15 percent and increasing in at least six incremental 
steps to 90 percent (e.g., 15, 30, 45, 60, 75, and 90 percent) of that 
range. The incremental steps are to be spaced to represent good 
engineering practice. For each range calibrated, if the deviation from a 
least-squares best-fit straight line is 2 percent or less of the value 
at each non-zero data point and within  0.3 
percent of full scale on the zero, concentration values may be 
calculated by use of a single calibration factor for that range. If the 
deviation exceeds these limits, the best-fit non-linear equation which 
represents the data to within these limits shall be used to determine 
concentration.
    (d) The initial and periodic interference, system check, and 
calibration test procedures specified in part 86, subpart D of this 
chapter may be used in lieu of the procedures specified in this section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57012, Oct. 23, 1998]



Sec. 89.321  Oxides of nitrogen analyzer calibration.

    (a) The chemiluminescent oxides of nitrogen analyzer shall receive 
the initial and periodic calibration described in this section.

[[Page 88]]

    (b) Prior to its introduction into service, and monthly thereafter, 
the chemiluminescent oxides of nitrogen analyzer is checked for 
NO2 to NO converter efficiency according to Sec. 89.317.
    (c) Initial and periodic calibration. Prior to its introduction into 
service, after any maintenance which could alter calibration, and 
monthly thereafter, the chemiluminescent oxides of nitrogen analyzer 
shall be calibrated on all normally used instrument ranges. New 
calibration curves need not be generated each month if the existing 
curve can be verified as continuing to meet the requirements of 
paragraph (c)(3) of this section. Use the same flow rate as when 
analyzing samples. Proceed as follows:
    (1) Adjust analyzer to optimize performance.
    (2) Zero the oxides of nitrogen analyzer with zero-grade air or 
zero-grade nitrogen.
    (3) Calibrate on each normally used operating range with NO-in-
N2 calibration gases with nominal concentrations starting at 
between 10 and 15 percent and increasing in at least six incremental 
steps to 90 percent (e.g., 15, 30, 45, 60, 75, and 90 percent) of that 
range. The incremental steps are to be spaced to represent good 
engineering practice. For each range calibrated, if the deviation from a 
least-squares best-fit straight line is 2 percent or less of the value 
at each non-zero data point and within  0.3 
percent of full scale on the zero, concentration values may be 
calculated by use of a single calibration factor for that range. If the 
deviation exceeds these limits, the best-fit non-linear equation which 
represents the data to within these limits shall be used to determine 
concentration.
    (d) The initial and periodic interference, system check, and 
calibration test procedures specified in part 86, subpart D of this 
chapter may be used in lieu of the procedures specified in this section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57012, Oct. 23, 1998]



Sec. 89.322  Carbon dioxide analyzer calibration.

    (a) Prior to its introduction into service, after any maintenance 
which could alter calibration, and bi-monthly thereafter, the NDIR 
carbon dioxide analyzer shall be calibrated on all normally used 
instrument ranges. New calibration curves need not be generated each 
month if the existing curve can be verified as continuing to meet the 
requirements of paragraph (a)(3) of this section. Proceed as follows:
    (1) Follow good engineering practices for instrument start-up and 
operation. Adjust the analyzer to optimize performance.
    (2) Zero the carbon dioxide analyzer with either zero-grade air or 
zero-grade nitrogen.
    (3) Calibrate on each normally used operating range with carbon 
dioxide-in-N2 calibration or span gases having nominal 
concentrations starting between 10 and 15 percent and increasing in at 
least six incremental steps to 90 percent (e.g., 15, 30, 45, 60, 75, and 
90 percent) of that range. The incremental steps are to be spaced to 
represent good engineering practice. For each range calibrated, if the 
deviation from a least-squares best-fit straight line is 2 percent or 
less of the value at each non-zero data point and within  0.3 percent of full scale on the zero, concentration 
values may be calculated by use of a single calibration factor for that 
range. If the deviation exceeds these limits, the best-fit non-linear 
equation which represents the data to within these limits shall be used 
to determine concentration.
    (b) The initial and periodic interference, system check, and 
calibration test procedures specified in part 86, subpart D of this 
chapter may be used in lieu of the procedures in this section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57012, Oct. 23, 1998]



Sec. 89.323  NDIR analyzer calibration.

    (a) Detector optimization. If necessary, follow the instrument 
manufacturer's instructions for initial start-up and basic operating 
adjustments.
    (b) Calibration curve. Develop a calibration curve for each range 
used as follows:
    (1) Zero the analyzer.
    (2) Span the analyzer to give a response of approximately 90 percent 
of full-scale chart deflection.

[[Page 89]]

    (3) Recheck the zero response. If it has changed more than 0.5 
percent of full scale, repeat the steps given in paragraphs (b)(1) and 
(b)(2) of this section.
    (4) Record the response of calibration gases having nominal 
concentrations starting between 10 and 15 percent and increasing in at 
least six incremental steps to 90 percent of that range. The incremental 
steps are to be spaced to represent good engineering practice.
    (5) Generate a calibration curve. The calibration curve shall be of 
fourth order or less, have five or fewer coefficients. If any range is 
within 2 percent of being linear a linear calibration may be used. 
Include zero as a data point. Compensation for known impurities in the 
zero gas can be made to the zero-data point. The calibration curve must 
fit the data points within 2 percent of point.
    (6) Optional. A new calibration curve need not be generated if:
    (i) A calibration curve conforming to paragraph (b)(5) of this 
section exists; or
    (ii) The responses generated in paragraph (b)(4) of this section are 
within 1 percent of full scale or 2 percent of point, whichever is less, 
of the responses predicted by the calibration curve for the gases used 
in paragraph (b)(4) of this section.
    (7) If multiple range analyzers are used, the lowest range used must 
meet the curve fit requirements below 15 percent of full scale.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.324  Calibration of other equipment.

    (a) Other test equipment used for testing shall be calibrated as 
often as required by the instrument manufacturer or necessary according 
to good practice.
    (b) If a methane analyzer is used, the methane analyzer shall be 
calibrated prior to introduction into service and monthly thereafter:
    (1) Follow the manufacturer's instructions for instrument startup 
and operation. Adjust the analyzer to optimize performance.
    (2) Zero the methane analyzer with zero-grade air.
    (3) Calibrate on each normally used operating range with 
CH4 in air with nominal concentrations starting between 10 
and 15 percent and increasing in at least six incremental steps to 90 
percent (e.g., 15, 30, 45, 60, 75, and 90 percent) of that range. The 
incremental steps are to be spaced to represent good engineering 
practice. For each range calibrated, if the deviation from a least-
squares best-fit straight line is 2 percent or less of the value at each 
non-zero data point and within  0.3 percent of 
full scale on the zero, concentration values may be calculated by use of 
a single calibration factor for that range. If the deviation exceeds 
these limits, the best-fit non-linear equation which represents the data 
to within these limits shall be used to determine concentration.

[63 FR 57013, Oct. 23, 1998]



Sec. 89.325  Engine intake air temperature measurement.

    (a) Engine intake air temperature measurement must be made within 
122 cm of the engine. The measurement location must be made either in 
the supply system or in the air stream entering the supply system.
    (b) The temperature measurements shall be accurate to within 2 [deg]C.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.326  Engine intake air humidity measurement.

    (a) Humidity conditioned air supply. Air that has had its absolute 
humidity altered is considered humidity- conditioned air. For this type 
of intake air supply, the humidity measurements must be made within the 
intake air supply system and after the humidity conditioning has taken 
place.
    (b) Nonconditioned air supply procedure. Humidity measurements in 
nonconditioned intake air supply systems must be made in the intake air 
stream entering the supply system. Alternatively, the humidity 
measurements can be measured within the intake air supply stream.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]

[[Page 90]]



Sec. 89.327  Charge cooling.

    For engines with an air-to-air intercooler (or any other low 
temperature charge air cooling device) between the turbocharger 
compressor and the intake manifold, follow SAE J1937. This procedure has 
been incorporated by reference. See Sec. 89.6. The temperature of the 
cooling medium and the temperature of the charge air shall be monitored 
and recorded.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.328  Inlet and exhaust restrictions.

    (a) The manufacturer is liable for emission compliance over the full 
range of restrictions that are specified by the manufacturer for that 
particular engine.
    (b) Perform testing at the following inlet and exhaust restriction 
settings.
    (1) Equip the test engine with an air inlet system presenting an air 
inlet restriction within 5 percent of the upper limit at maximum air 
flow, as specified by the engine manufacturer for a clean air cleaner. A 
system representative of the installed engine may be used. In other 
cases a test shop system may be used.
    (2) The exhaust backpressure must be within 5 percent of the upper 
limit at maximum declared power, as specified by the engine 
manufacturer. A system representative of the installed engine may be 
used. In other cases a test shop system may be used.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57013, Oct. 23, 1998]



Sec. 89.329  Engine cooling system.

    An engine cooling system is required with sufficient capacity to 
maintain the engine at normal operating temperatures as prescribed by 
the engine manufacturer.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]



Sec. 89.330  Lubricating oil and test fuels.

    (a) Lubricating oil. Use the engine lubricating oil for testing that 
meets the requirements as specified by the manufacturer for a particular 
engine and intended usage. Record the specifications of the lubricating 
oil used for the test.
    (b) Test fuels. (1) Use diesel fuels for testing which are clean and 
bright, with pour and cloud points adequate for operability. The diesel 
fuel may contain nonmetallic additives as follows: Cetane improver, 
metal deactivator, antioxidant, dehazer, antirust, pour depressant, dye, 
dispersant, and biocide.
    (2) Use petroleum fuel meeting the specifications in Table 4 in 
Appendix A of this subpart, or substantially equivalent specifications 
approved by the Administrator, for exhaust emission testing. The grade 
of diesel fuel used must be commercially designated as ``Type 2-D'' 
grade diesel fuel and recommended by the engine manufacturer.
    (3) Testing of Tier 1 and Tier 2 engines rated under 37 kW and Tier 
2 and Tier 3 engines rated at or above 37 kW that is conducted by the 
Administrator shall be performed using test fuels that meet the 
specifications in Table 4 in Appendix A of this subpart and that have a 
sulfur content no higher than 0.20 weight percent.
    (c) Other fuels may be used for testing provided they meet the 
following qualifications:
    (1) They are commercially available;
    (2) Information acceptable to the Administrator is provided to show 
that only the designated fuel would be used in customer service;
    (3) Use of a fuel listed under paragraph (b) of this section would 
have a detrimental effect on emissions or durability; and
    (4) Fuel specifications are approved in writing by the Administrator 
prior to the start of testing.
    (d) Report the specification range of the fuel to be used under 
paragraphs (b)(2) and (c)(1) through (c)(4) of this section in the 
application for certification in accordance with Sec. 89.115 (a)(8).
    (e) Low-sulfur test fuel. (1) Upon request, for engines rated at or 
above 75 kW in model years 2006 or 2007, the diesel test fuel may be the 
low-sulfur diesel test fuel specified in 40 CFR part 1065, subject to 
the provisions of this paragraph (e)(1).
    (i) To use this option, the manufacturer must--
    (A) Ensure that ultimate purchasers of equipment using these engines 
are

[[Page 91]]

informed that the use of fuel meeting the 500 ppm specification is 
recommended.
    (B) Recommend to equipment manufacturers that a label be applied at 
the fuel inlet recommending 500 ppm fuel.
    (ii) None of the engines in the engine family may employ sulfur-
sensitive technologies.
    (iii) For engines rated at or above 130 kW, this option may be used 
in 2006 and 2007. For engines rated at or above 75 kW and under 130 kW, 
this option may be used only in 2007.
    (2) For model years 2008 through 2010, except as otherwise provided, 
the diesel test fuel shall be the low-sulfur diesel test fuel specified 
in 40 CFR part 1065.
    (3) The diesel test fuel shall be the ultra low-sulfur diesel test 
fuel specified in 40 CFR part 1065 for model years 2011 and later.
    (4) For model years 2007 through 2010 engines that use sulfur-
sensitive emission-control technology, the diesel test fuel is the ultra 
low-sulfur fuel specified in 40 CFR part 1065 if the manufacturer 
demonstrates that the in-use engines will use only fuel with 15 ppm or 
less of sulfur.
    (5) Instead of the test fuels described in paragraphs (e)(2) through 
(4) of this section, for model years 2008 and later, manufacturers may 
use the test fuel described in appendix A of this subpart. In such 
cases, the test fuel described in appendix A of this subpart shall be 
the test fuel for all manufacturer and EPA testing.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57013, Oct. 23, 1998; 69 FR 39213, June 29, 2004]



Sec. 89.331  Test conditions.

    (a) General requirements. Calculate all volumes and volumetric flow 
rates at standard conditions for temperature and pressure (0 [deg]C and 
101.3 kPa), and these conditions must be used consistently throughout 
all calculations.
    (b) Engine test conditions. Measure the absolute temperature 
(designated as T and expressed in Kelvin) of the engine air at the inlet 
to the engine, and the dry atmospheric pressure (designated as p and 
expressed in kPa), and determine the parameter f according to the 
following provisions:
    (1) Naturally aspirated and mechanically supercharged engines:
    [GRAPHIC] [TIFF OMITTED] TR17JN94.008
    
    (2) Turbocharged engine with or without cooling of inlet air:
    [GRAPHIC] [TIFF OMITTED] TR17JN94.009
    
    (c) For a test to be recognized as valid, the parameter f shall be 
between the limits as shown below:
[GRAPHIC] [TIFF OMITTED] TR17JN94.010


[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct. 23, 1998]

               Appendix A to Subpart D of Part 89--Tables

                Table 1--Abbreviations Used in Subpart D
CLD...............................  Chemiluminescent detector.
CO................................  Carbon monoxide.
CO2...............................  Carbon dioxide.
HC................................  Hydrocarbons.
HCLD..............................  Heated chemiluminescent detector.
HFID..............................  Heated flame ionization detector.
GC................................  Gas chromatograph.
NDIR..............................  Non-dispersive infra-red analyzer.
NIST..............................  National Institute for Standards and
                                     Testing.
NO................................  Nitric Oxide.
NO2...............................  Nitrogen Dioxide.
NOX...............................  Oxides of nitrogen.
O2................................  Oxygen.


                Table 2--Symbols Used in Subparts D and E
------------------------------------------------------------------------
    Symbol                         Term                         Unit
------------------------------------------------------------------------
conc.........  Concentration (ppm by volume)..............  ppm
f............  Engine specific parameter considering
                atmospheric conditions
FFCB.........  Fuel specific factor for the carbon balance
                calculation
FFD..........  Fuel specific factor for exhaust flow
                calculation on dry basis
FFH..........  Fuel specific factor representing the
                hydrogen to carbon ratio
FFW..........  Fuel specific factor for exhaust flow
                calculation on wet basis
FR...........  Rate of fuel consumed......................  g/h
GAIRW........  Intake air mass flow rate on wet basis.....  kg/h
GAIRD........  Intake air mass flow rate on dry basis.....  kg/h

[[Page 92]]

 
GEXHW........  Exhaust gas mass flow rate on wet basis....  kg/h
GFuel........  Fuel mass flow rate........................  kg/h
H............  Absolute humidity (water content related to  g/kg
                dry air).
i............  Subscript denoting an individual mode
KH...........  Humidity correction factor
L............  Percent torque related to maximum torque     %
                for the test mode.
mass.........  Pollutant mass flow........................  g/h
nd, i........  Engine speed (average at the i'th mode       1/min
                during the cycle).
Ps...........  Dry atmospheric pressure...................  kPa
Pd...........  Test ambient saturation vapor pressure at    kPa
                ambient temperature.
P............  Observed brake power output uncorrected....  kW
PAUX.........  Declared total power absorbed by             kW
                auxiliaries fitted for the test.
PM...........  Maximum power measured at the test speed     kW
                under test conditions.
Pi...........  Pi = PM, i + PAUX, i
PB...........  Total barometric pressure (average of the    kPa
                pre-test and post-test values).
Pv...........  Saturation pressure at dew point             kPa
                temperature.
Ra...........  Relative humidity of the ambient air.......  %
S............  Dynamometer setting........................  kW
T............  Absolute temperature at air inlet..........  K
Tbe..........  Air temperature after the charge air cooler  K
                (if applicable) (average).
Tclout.......  Coolant temperature outlet (average).......  K
TDd..........  Absolute dewpoint temperature..............  K
Td, i........  Torque (average at the i'th mode during the  N-m
                cycle).
TSC..........  Temperature of the intercooled air.........  K
Tref.........  Reference temperature......................  K
VEXHD........  Exhaust gas volume flow rate on dry basis..  m3/h
VAIRW........  Intake air volume flow rate on wet basis...  m3/h
PB...........  Total barometric pressure..................  kPa
VEXHW........  Exhaust gas volume flow rate on wet basis..  m3/h
WF...........  Weighing factor
WFE..........  Effective weighing factor
------------------------------------------------------------------------


         Table 3--Measurement Accuracy and Calibration Frequency
------------------------------------------------------------------------
                                    Calibration          Calibration
No.             Item                 accuracy 1           frequency
------------------------------------------------------------------------
  1  Engine speed.............   2%.
  2  Torque...................  Larger of 
                                 2% of point or
                                  1% of engine
                                 maximum.
  3  Fuel consumption (raw       2% of engine
                                 maximum.
  4  Air consumption (raw        2% of engine
                                 maximum.
  5  Coolant temperature......  2[deg]K.
  6  Lubricant temperature....  2[deg]K.
  7  Exhaust backpressure.....   1.0% of engine
                                 maximum.
  8  Inlet depression.........  1.0% of engine       As required.
                                 maximum.
  9  Exhaust gas temperature..  15[deg]K.
 10  Air inlet temperature      2[deg]K.
 11  Atmospheric pressure.....   0.5%.
 12  Humidity (combustion air)   0.5.
 13  Fuel temperature.........  2[deg]K.
 14  Temperature with regard    2[deg]K.
 15  Dilution air humidity (g    0.5.
 16  HC analyzer..............   2%.              required.
 17  CO analyzer..............   2%.              as required.
 18  NOX analyzer.............   2%.              required.
 19  Methane analyzer.........   2%.              required.
 20  NOX converter efficiency   90%................  Monthly.
      check.
 21  CO2 analyzer.............   2%.              as required.
------------------------------------------------------------------------
\1\ All accuracy requirements pertain to the final recorded value which
  is inclusive of the data acquisition system.


                                    Table 4--Federal Test Fuel Specifications
----------------------------------------------------------------------------------------------------------------
               Item                                   Procedure (ASTM) \1\                     Value (type 2-D)
----------------------------------------------------------------------------------------------------------------
Cetane............................  D613-95.................................................  40-48
Distillation Range:
    IBP, [deg]C...................  D86-97..................................................  171-204
    10% point, [deg]C.............  86-97...................................................  204-238

[[Page 93]]

 
    50% point, [deg]C.............  86-97...................................................  243-282
    90% point, [deg]C.............  86-97...................................................  293-332
    EP, [deg]C....................  86-97...................................................  321-366
    Gravity, API..................  D287-92.................................................  32-37
Total Sulfur, %mass...............  D129-95 or D2622-98.....................................  0.03--0.40
Hydrocarbon composition:
    Aromatics, %vol...............  D1319-98 or D5186-96....................................  \2\ 10
Paraffins, Naphthenes, Olefins....  D1319-98................................................  (\3\)
Flashpoint, [deg]C (minimum)......  D93-97..................................................  54
Viscosity @ 38[deg]C, Centistokes.  D445-97.................................................  2.0-3.2
----------------------------------------------------------------------------------------------------------------
\1\ All ASTM procedures in this table have been incorporated by reference. See Sec. 89.6.
\2\ Minimum.
\3\ Remainder.


[63 FR 57013, Oct. 23, 1998]

[[Page 94]]

               Appendix B to Subpart D of Part 89--Figures
[GRAPHIC] [TIFF OMITTED] TC01MR92.000


[[Page 95]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.001



               Subpart E_Exhaust Emission Test Procedures



Sec. 89.401  Scope; applicability.

    (a) This subpart describes the procedures to follow in order to 
perform exhaust emission tests on new nonroad compression-ignition 
engines subject to the provisions of subpart B of this part.
    (b) Exhaust gases, either raw or dilute, are sampled while the test 
engine is operated using the appropriate test cycle on an engine 
dynamometer. The

[[Page 96]]

exhaust gases receive specific component analysis determining 
concentration of pollutant, exhaust volume, the fuel flow (raw 
analysis), and the power output during each mode. Emissions are reported 
as grams per kilowatt hour (g/kW-hr).
    (c) Requirements for emission test equipment and calibrating this 
equipment are found in subpart D of this part.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57015, Oct. 23, 1998]



Sec. 89.402  Definitions.

    The definitions in subpart A of this part apply to this subpart. For 
terms not defined in this part, the definitions in 40 CFR part 86, 
subparts A, D, I, and N, apply to this subpart.

[63 FR 57015, Oct. 23, 1998]



Sec. 89.403  Symbols/abbreviations.

    (a) The abbreviations in Sec. 86.094-3 or Sec. 89.3 of this 
chapter apply to this subpart.
    (b) The abbreviations in Table 1 in appendix A to subpart D also 
apply to this subpart. Some abbreviations from Sec. 89.3 have been 
included for the convenience of the reader.
    (c) The symbols in Table 2 in appendix A to subpart D apply to this 
subpart.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.404  Test procedure overview.

    (a) The test consists of prescribed sequences of engine operating 
conditions to be conducted on an engine dynamometer. The exhaust gases, 
generated raw or dilute during engine operation, are sampled for 
specific component analysis through the analytical train. The test is 
applicable to engines equipped with catalytic or direct-flame 
afterburners, induction system modifications, or other systems, or to 
uncontrolled engines.
    (b) The test is designed to determine the brake-specific emissions 
of hydrocarbons, carbon monoxide, oxides of nitrogen, and particulate 
matter. For more information on particulate matter sampling see Sec. 
89.112(c). The test cycles consist of various steady-state operating 
modes that include different combinations of engine speeds and loads. 
These procedures require the determination of the concentration of each 
pollutant, exhaust volume, the fuel flow (raw analysis), and the power 
output during each mode. The measured values are weighted and used to 
calculate the grams of each pollutant emitted per kilowatt hour (g/kW-
hr).
    (c)(1) When an engine is tested for exhaust emissions, the complete 
engine shall be tested with all emission control devices installed and 
functioning.
    (2) On air-cooled engines, the fan shall be installed.
    (3) Additional accessories (for example, oil cooler, alternators, or 
air compressors) may be installed but such accessory loading will be 
considered parasitic in nature and observed power shall be used in the 
emission calculation.
    (d) All emission control systems installed on or incorporated in the 
application must be functioning during all procedures in this subpart. 
In cases of component malfunction or failure, maintenance to correct 
component failure or malfunction must be authorized in accordance with 
Sec. 86.094-25 of this chapter.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57015, Oct. 23, 1998]



Sec. 89.405  Recorded information.

    (a) The information described in this section must be recorded, 
where applicable, for each test.
    (b) Engine description and specification. A copy of the information 
specified in this paragraph must accompany each engine sent to the 
Administrator for compliance testing. The manufacturer need not record 
the information specified in this paragraph for each test if the 
information, with the exception of paragraphs (b)(3) and (b)(9) of this 
section, is included in the manufacturer's application for 
certification.
    (1) Engine-system combination.
    (2) Engine identification numbers.
    (3) Number of hours of operation accumulated on engine.
    (4) Rated maximum horsepower and torque.
    (5) Maximum horsepower and torque speeds.
    (6) Engine displacement.
    (7) Governed speed.

[[Page 97]]

    (8) Idle rpm.
    (9) Fuel consumption at maximum power and torque.
    (10) Maximum air flow.
    (11) Air inlet restriction.
    (12) Exhaust pipe diameter(s).
    (13) Maximum exhaust system backpressure.
    (c) Test data; general.
    (1) Engine-system combination.
    (2) Engine identification number.
    (3) Instrument operator.
    (4) Engine operator.
    (5) Number of hours of operation accumulated on the engine prior to 
beginning the warm-up portion of the test.
    (6) Fuel identification.
    (7) Date of most recent analytical assembly calibration.
    (8) All pertinent instrument information such as tuning, gain, 
serial numbers, detector number, and calibration curve numbers. As long 
as this information is available for inspection by the Administrator, it 
may be summarized by system number or analyzer identification numbers.
    (d) Test data; pre-test.
    (1) Date and time of day.
    (2) Test number.
    (3) Intermediate speed and rated speed as defined in Sec. 89.2 and 
maximum observed torque for these speeds.
    (4) Recorder chart or equivalent. Identify the zero traces for each 
range used, and span traces for each range used.
    (5) Air temperature after and pressure drop across the charge air 
cooler (if applicable) at maximum observed torque and rated speed.
    (e) Test data; modal.
    (1) Recorder chart or equivalent. Identify for each test mode the 
emission concentration traces and the associated analyzer range(s). 
Identify the start and finish of each test.
    (2) Observed engine torque.
    (3) Observed engine rpm.
    (4) Record engine torque and engine rpm continuously during each 
mode with a chart recorder or equivalent recording device.
    (5) Intake air flow (for raw mass flow sampling method only) and 
depression for each mode.
    (6) Engine intake air temperature at the engine intake or 
turbocharger inlet for each mode.
    (7) Mass fuel flow (for raw sampling) for each mode.
    (8) Engine intake humidity.
    (9) Coolant temperature outlet.
    (10) Engine fuel inlet temperature at the pump inlet.
    (f) Test data; post-test.
    (1) Recorder chart or equivalent. Identify the zero traces for each 
range used and the span traces for each range used. Identify hangup 
check, if performed.
    (2) Total number of hours of operation accumulated on the engine.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57015, Oct. 23, 1998]



Sec. 89.406  Pre-test procedures.

    (a) Allow a minimum of 30 minutes warmup in the standby or operating 
mode prior to spanning the analyzers.
    (b) Replace or clean the filter elements and then vacuum leak check 
the system per Sec. 89.316(a). Allow the heated sample line, filters, 
and pumps to reach operating temperature.
    (c) Perform the following system checks:
    (1) Check the sample-line temperatures (see Sec. 89.309(a)(4)(ii) 
and (a)(5)(i)(A)).
    (2) Check that the system response time has been accounted for prior 
to sample collection data recording.
    (3) A hang-up check is permitted, but is optional.
    (d) Check analyzer zero and span at a minimum before and after each 
test. Further, check analyzer zero and span any time a range change is 
made or at the maximum demonstrated time span for stability for each 
analyzer used.
    (e) Check system flow rates and pressures.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56995, 
57015, Oct. 23, 1998]



Sec. 89.407  Engine dynamometer test run.

    (a) Measure and record the temperature of the air supplied to the 
engine, the fuel temperature, the intake air humidity, and the observed 
barometric pressure during the sampling for each mode. The fuel 
temperature shall be

[[Page 98]]

less than or equal to 43C during the sampling for each mode.
    (b) The governor and fuel system shall have been adjusted to provide 
engine performance at the levels reported in the application for 
certification required under Sec. 89.115.
    (c) The following steps are taken for each test:
    (1) Install instrumentation and sample probes as required.
    (2) Perform the pre-test procedure as specified in Sec. 89.406.
    (3) Read and record the general test data as specified in Sec. 
89.405(c).
    (4) Start cooling system.
    (5) Precondition (warm up) the engine in the following manner:
    (i) For variable-speed engines:
    (A) Operate the engine at idle for 2 to 3 minutes;
    (B) Operate the engine at approximately 50 percent power at the peak 
torque speed for 5 to 7 minutes;
    (C) Operate the engine at rated speed and maximum horsepower for 25 
to 30 minutes;
    (ii) For constant-speed engines:
    (A) Operate the engine at minimum load for 2 to 3 minutes;
    (B) Operate the engine at 50 percent load for 5 to 7 minutes;
    (C) Operate the engine at maximum load for 25 to 30 minutes;
    (iii) Optional. It is permitted to precondition the engine at rated 
speed and maximum horsepower until the oil and water temperatures are 
stabilized. The temperatures are defined as stabilized if they are 
maintained within 2 percent of point on an absolute basis for 2 minutes. 
The engine must be operated a minimum of 10 minutes for this option. 
This optional procedure may be substituted for the procedure in 
paragraph (c)(5)(i)or (c)(5)(ii) of this section;
    (iv) Optional. If the engine has been operating on service 
accumulation for a minimum of 40 minutes, the service accumulation may 
be substituted for the procedure in paragraphs (c)(5)(i) through (iii) 
of this section.
    (6) Read and record all pre-test data specified in Sec. 89.405(d).
    (7) Start the test cycle (see Sec. 89.410) within 20 minutes of the 
end of the warmup. (See paragraph (c)(13) of this section.) A mode 
begins when the speed and load requirements are stabilized to within the 
requirements of Sec. 89.410(b). A mode ends when valid emission 
sampling for that mode ends. For a mode to be valid, the speed and load 
requirements must be maintained continuously during the mode. Sampling 
in the mode may be repeated until a valid sample is obtained as long the 
speed and torque requirements are met.
    (8) Calculate the torque for any mode with operation at rated speed.
    (9) During the first mode with intermediate speed operation, if 
applicable, calculate the torque corresponding to 75 and 50 percent of 
the maximum observed torque for the intermediate speed.
    (10) Record all modal data specified in Sec. 89.405(e) during a 
minimum of the last 60 seconds of each mode.
    (11) Record the analyzer(s) response to the exhaust gas during the a 
minimum of the last 60 seconds of each mode.
    (12) Test modes may be repeated, as long as the engine is 
preconditioned by running the previous mode. In the case of the first 
mode of any cycle, precondition according to paragraph (c)(5) of this 
section.
    (13) If a delay of more than 20 minutes, but less than 4 hours, 
occurs between the end of one mode and the beginning of another mode, 
precondition the engine by running the previous mode. If the delay 
exceeds 4 hours, the test shall include preconditioning (begin at 
paragraph (c)(2) of this section).
    (14) The speed and load points for each mode are listed in Tables 1 
through 4 of Appendix B of this subpart. The engine speed and load shall 
be maintained as specified in Sec. 89.410(b).
    (15) If at any time during a test mode, the test equipment 
malfunctions or the specifications in paragraph (c)(14) of this section 
are not met, the test mode is void and may be aborted. The test mode may 
be restarted by preconditioning with the previous mode.
    (16) Fuel flow and air flow during the idle load condition may be 
determined just prior to or immediately following the dynamometer 
sequence, if longer times are required for accurate measurements.

[[Page 99]]

    (d) Exhaust gas measurements. (1) Measure HC, CO, CO2, 
and NOX concentration in the exhaust sample.
    (2) Each analyzer range that may be used during a test mode must 
have the zero and span responses recorded prior to the execution of the 
test. Only the zero and span for the range(s) used to measure the 
emissions during the test are required to be recorded after the 
completion of the test.
    (3) It is permissible to change filter elements between test modes.
    (4) A leak check is permitted between test segments.
    (5) A hangup check is permitted between test segments.
    (6) If, during the emission measurement portion of a test segment, 
the value of the gauges downstream of the NDIR analyzer(s) G3 or G4 (see 
Figure 1 in appendix B to subpart D) differs by more than 0.5 kPa from the pretest value, the test segment is 
void.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57015, Oct. 23, 1998]



Sec. 89.408  Post-test procedures.

    (a) A hangup check is recommended at the completion of the last test 
mode using the following procedure:
    (1) Within 30 seconds introduce a zero-grade gas or room air into 
the sample probe or valve V2 (see Figure 1 in appendix B to subpart D) 
to check the ``hangup zero'' response. Simultaneously start a time 
measurement.
    (2) Select the lowest HC range used during the test.
    (3) Within four minutes of beginning the time measurement in 
paragraph (a)(1) of this section, the difference between the span-zero 
response and the hangup zero response shall not be greater than 5.0 
percent of full scale or 10 ppmC whichever is greater.
    (b) Begin the analyzer span checks within 6 minutes after the 
completion of the last mode in the test. Record for each analyzer the 
zero and span response
    (c) If during the test, the filter element(s) were replaced or 
cleaned, a of Sec. 89.316(a), the test is void.
    (d) Record the post-test data specified in Sec. 89.405(f).
    (e) For a valid test, the zero and span checks performed before and 
after each test for each analyzer must meet the following requirements:
    (1) The span drift (defined as the change in the difference between 
the zero response and the span response) must not exceed 3 percent of 
full-scale chart deflection for each range used.
    (2) The zero response drift must not exceed 3 percent of full-scale 
chart deflection.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57016, Oct. 23, 1998]



Sec. 89.409  Data logging.

    (a) A computer or any other automatic data processing device(s) may 
be used as long as the system meets the requirements of this subpart.
    (b) Determine from the data collection records the analyzer 
responses corresponding to the end of each mode.
    (c) Record data at a minimum of once every 5 seconds.
    (d) Determine the final value for CO2, CO, HC, and 
NOX concentrations by averaging the concentration of each 
point taken during the sample period for each mode.
    (e) For purposes of this section, calibration data includes 
calibration curves, linearity curves, span-gas responses, and zero-gas 
responses.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.410  Engine test cycle.

    (a) Emissions shall be measured using one of the test cycles 
specified in Tables 1 through 4 of Appendix B of this subpart, subject 
to the provisions of paragraphs (a)(1) through (a)(4) of this section. 
These cycles shall be used to test engines on a dynamometer.
    (1) The 8-mode test cycle described in Table 1 of Appendix B of this 
subpart shall be used for all engines, except constant speed engines, 
engines rated under 19 kW, and propulsion marine diesel engines.
    (2) The 5-mode test cycle described in Table 2 of Appendix B of this 
subpart shall be used for constant-speed engines as defined in Sec. 
89.2. Any engine certified under this test cycle must meet the labeling 
requirements of Sec. 89.110(b)(11).
    (3) The 6-mode test cycle described in Table 3 of Appendix B of this 
subpart

[[Page 100]]

shall be used for variable speed engines rated under 19 kW.
    (4) Notwithstanding the provisions of paragraphs (a)(1) through 
(a)(3) of this section, the 4-mode test cycle described in Table 4 of 
Appendix B of this subpart shall be used for propulsion marine diesel 
engines.
    (5) Notwithstanding the provisions of paragraphs (a)(1) through 
(a)(4) of this section:
    (i) Manufacturers may use the 8-mode test cycle described in Table 1 
of Appendix B of this subpart for:
    (A) Constant speed engines, or variable speed engines rated under 19 
kW; or
    (B) Propulsion marine diesel engines, provided the propulsion marine 
diesel engines are certified in an engine family that includes primarily 
non-marine diesel engines, and the manufacturer obtains advance approval 
from the Administrator.
    (ii) The Administrator may use the 8-mode test cycle specified in 
Table 1 of Appendix B of this subpart during testing of any engine which 
was certified based on emission data collected from that test cycle.
    (b) During each non-idle mode, hold the specified load to within 2 
percent of the engine maximum value and speed to within 2 percent of point. During each idle mode, speed must be 
held within the manufacturer's specifications for the engine, and the 
throttle must be in the fully closed position and torque must not exceed 
5 percent of the peak torque value of mode 5.
    (c) For any mode except those involving either idle or full-load 
operation, if the operating conditions specified in paragraph (b) of 
this section cannot be maintained, the Administrator may authorize 
deviations from the specified load conditions. Such deviations shall not 
exceed 10 percent of the maximum torque at the test speed. The minimum 
deviations above and below the specified load necessary for stable 
operation shall be determined by the manufacturer and approved by the 
Administrator prior to the test run.
    (d) Power generated during the idle mode may not be included in the 
calculation of emission results.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57016, Oct. 23, 1998]



Sec. 89.411  Exhaust sample procedure--gaseous components.

    (a) Automatic data collection equipment requirements. The analyzer 
response may be read by automatic data collection (ADC) equipment such 
as computers, data loggers, and so forth. If ADC equipment is used, the 
following is required:
    (1) For bag sample analysis, the analyzer response must be stable at 
greater than 99 percent of the final reading for the dilute exhaust 
sample bag. A single value representing the average chart deflection 
over a 10-second stabilized period shall be stored.
    (2) For continuous analysis systems, a single value representing the 
average integrated concentration over a cycle shall be stored.
    (3) The chart deflections or average integrated concentrations 
required in paragraphs (a)(1) and (a)(2) of this section may be stored 
on long-term computer storage devices such as computer tapes, storage 
discs, punch cards, and so forth, or they may be printed in a listing 
for storage. In either case a chart recorder is not required and records 
from a chart recorder, if they exist, need not be stored.
    (4) If ADC equipment is used to interpret analyzer values, the ADC 
equipment is subject to the calibration specifications of the analyzer 
as if the ADC equipment is part of analyzer system.
    (b) Data records from any one or a combination of analyzers may be 
stored as chart recorder records.
    (c) Bag sample analysis. For bag sample analysis perform the 
following sequence:
    (1) Warm up and stabilize the analyzers; clean and/or replace filter 
elements, conditioning columns (if used), and so forth, as necessary.
    (2) Obtain a stable zero reading.
    (3) Zero and span the analyzers with zero and span gases. The span 
gases must have concentrations between 75 and 100 percent of full-scale 
chart deflection. The flow rates and system pressures during spanning 
shall be approximately the same as those encountered during sampling. A 
sample bag may be used to identify the required analyzer range.
    (4) Recheck zero response. If this zero response differs from the 
zero response

[[Page 101]]

recorded in paragraph (c)(3) of this section by more than 1 percent of 
full scale, then paragraphs (c)(2), (c)(3), and (c)(4) of this section 
must be repeated.
    (5) If a chart recorder is used, identify and record the most recent 
zero and span response as the pre-analysis values.
    (6) If ADC equipment is used, electronically record the most recent 
zero and span response as the pre-analysis values.
    (7) Measure HC, CO, CO2, and NOX background 
concentrations in the sample bag(s) with approximately the same flow 
rates and pressures used in paragraph (c)(3) of this section. 
(Constituents measured continuously do not require bag analysis.)
    (8) A post-analysis zero and span check of each range must be 
performed and the values recorded. The number of events that may occur 
between the pre- and post-analysis checks is not specified. However, the 
difference between pre-analysis zero and span values (recorded in 
paragraph (c)(5) or (c)(6) of this section) versus those recorded for 
the post-analysis check may not exceed the zero drift limit or the span 
drift limit of 2 percent of full-scale chart deflection for any range 
used. Otherwise the test is void.
    (d) Continuous sample analysis. For continuous sample analysis 
perform the following sequence:
    (1) Warm up and stabilize the analyzers; clean and/or replace filter 
elements, conditioning columns (if used), and so forth, as necessary.
    (2) Leak check portions of the sampling system that operate at 
negative gauge pressures when sampling, and allow heated sample lines, 
filters, pumps, and so forth to stabilize at operating temperature.
    (3) Optional: Perform a hangup check for the HFID sampling system:
    (i) Zero the analyzer using zero air introduced at the analyzer 
port.
    (ii) Flow zero air through the overflow sampling system. Check the 
analyzer response.
    (iii) If the overflow zero response exceeds the analyzer zero 
response by 2 percent or more of the HFID full-scale deflection, hangup 
is indicated and corrective action must be taken.
    (iv) The complete system hangup check specified in paragraph (e) of 
this section is recommended as a periodic check.
    (4) Obtain a stable zero reading.
    (5) Zero and span each range to be used on each analyzer operated 
prior to the beginning of the test cycle. The span gases shall have a 
concentration between 75 and 100 percent of full-scale chart deflection. 
The flow rates and system pressures shall be approximately the same as 
those encountered during sampling. The HFID analyzer shall be zeroed and 
spanned either through the overflow sampling system or through the 
analyzer port.
    (6) Re-check zero response. If this zero response differs from the 
zero response recorded in paragraph (d)(5) of this section by more than 
1 percent of full scale, then paragraphs (d)(4), (d)(5), and (d)(6) of 
this section must be repeated.
    (7) If a chart recorder is used, identify and record the most recent 
zero and span response as the pre-analysis values.
    (8) If ADC equipment is used, electronically record the most recent 
zero and span response as the pre-analysis values.
    (9) Collect background HC, CO, CO2, and NOX in 
a sample bag (for dilute exhaust sampling only, see Sec. 89.420).
    (10) Perform a post-analysis zero and span check for each range used 
at the conditions specified in paragraph (d)(5) of this section. Record 
these responses as the post-analysis values.
    (11) Neither the zero drift nor the span drift between the pre-
analysis and post-analysis checks on any range used may exceed 3 percent 
for HC, or 2 percent for NOX. CO, and CO2, of full 
scale chart deflection, or the test is void. (If the HC drift is greater 
than 3 percent of full-scale chart deflection, hydrocarbon hangup is 
likely.)
    (12) Determine background levels of NOX. CO, or 
CO2 (for dilute exhaust sampling only) by the bag sample 
technique outlined in paragraph (c) of this section.
    (e) Hydrocarbon hangup. If HC hangup is indicated, the following 
sequence may be performed:
    (1) Fill a clean sample bag with background air.

[[Page 102]]

    (2) Zero and span the HFID at the analyzer ports.
    (3) Analyze the background air sample bag through the analyzer 
ports.
    (4) Analyze the background air through the entire sample probe 
system.
    (5) If the difference between the readings obtained greater than or 
equal to 2 percent of full scale deflection, clean the sample probe and 
the sample line.
    (6) Reassemble the sample system, heat to specified temperature, and 
repeat the procedure in paragraphs (e)(1) through (e)(6) of this 
section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57016, Oct. 23, 1998]



Sec. 89.412  Raw gaseous exhaust sampling and analytical system 
description.

    (a) Schematic drawing. An example of a sampling and analytical 
system which may be used for testing under this subpart is shown in 
Figure 1 in appendix B to subpart D. All components or parts of 
components that are wetted by the sample or corrosive calibration gases 
shall be either chemically cleaned stainless steel or inert material, 
for example, polytetrafluoroethylene resin. The use of ``gauge savers'' 
or ``protectors'' with nonreactive diaphragms to reduce dead volumes is 
permitted.
    (b) Sample probe. (1) The sample probe shall be a straight, closed-
end, stainless steel, multi-hole probe. The inside diameter shall not be 
greater than the inside diameter of the sample line plus 0.03 cm. The 
wall thickness of the probe shall not be greater than 0.10 cm. The 
fitting that attaches the probe to the exhaust pipe shall be as small as 
practical in order to minimize heat loss from the probe.
    (2) The probe shall have a minimum of three holes. The spacing of 
the radial planes for each hole in the probe must be such that they 
cover approximately equal cross-sectional areas of the exhaust duct. See 
Figure 1 in appendix A to this subpart. The angular spacing of the holes 
must be approximately equal. The angular spacing of any two holes in one 
plane may not be 180[deg] 20[deg] (that is, 
section view C-C of Figure 1 in appendix A to this subpart). The holes 
should be sized such that each has approximately the same flow. If only 
three holes are used, they may not all be in the same radial plane.
    (3) The probe shall extend radially across the exhaust duct. The 
probe must pass through the approximate center and must extend across at 
least 80 percent of the diameter of the duct.
    (c) Sample transfer line. (1) The maximum inside diameter of the 
sample line shall not exceed 1.32 cm.
    (2) If valve V2 is used, the sample probe must connect directly to 
valve V2. The location of optional valve V2 may not be greater than 1.22 
m from the exhaust duct.
    (3) The location of optional valve V16 may not be greater than 61 cm 
from the sample pump.
    (d) Venting. All vents, including analyzer vents, bypass flow, and 
pressure relief vents of regulators, should be vented in such a manner 
to avoid endangering personnel in the immediate area.
    (e) Any variation from the specifications in this subpart including 
performance specifications and emission detection methods may be used 
only with prior approval by the Administrator.
    (f) Additional components, such as instruments, valves, solenoids, 
pumps, switches, and so forth, may be employed to provide additional 
information and coordinate the functions of the component systems.
    (g) The following requirements must be incorporated in each system 
used for raw testing under this subpart.
    (1) [Reserved]
    (2) The sample transport system from the engine exhaust pipe to the 
HC analyzer and the NOX analyzer must be heated as indicated 
in Figure 1 in appendix B of subpart D.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57016, Oct. 23, 1998]



Sec. 89.413  Raw sampling procedures.

    Follow these procedures when sampling for gaseous emissions.
    (a) The gaseous emission sampling probe must be installed at least 
0.5 m or 3 times the diameter of the exhaust pipe--whichever is the 
larger--upstream of the exit of the exhaust gas system.

[[Page 103]]

    (b) In the case of a multi-cylinder engine with a branched exhaust 
manifold, the inlet of the probe shall be located sufficiently far 
downstream so as to ensure that the sample is representative of the 
average exhaust emissions from all cylinders.
    (c) In multi-cylinder engines having distinct groups of manifolds, 
such as in a ``Vee'' engine configuration, it is permissible to:
    (1) Sample after all exhaust pipes have been connected together into 
a single exhaust pipe.
    (2) For each mode, sample from each exhaust pipe and average the 
gaseous concentrations to determine a value for each mode.
    (3) Sample from all exhaust pipes simultaneously with the sample 
lines connected to a common manifold prior to the analyzer. It must be 
demonstrated that the flow rate through each individual sample line is 
4 percent of the average flow rate through all the 
sample lines.
    (4) Use another method, if it has been approved in advance by the 
Administrator.
    (d) All gaseous heated sampling lines shall be fitted with a heated 
filter to extract solid particles from the flow of gas required for 
analysis. The sample line for CO and CO2 analysis may be 
heated or unheated.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57016, Oct. 23, 1998]



Sec. 89.414  Air flow measurement specifications.

    (a) The air flow measurement method used must have a range large 
enough to accurately measure the air flow over the engine operating 
range during the test. Overall measurement accuracy must be  2 percent of the maximum engine value for all modes. 
The Administrator must be advised of the method used prior to testing.
    (b) When an engine system incorporates devices that affect the air 
flow measurement (such as air bleeds) that result in understated exhaust 
emission results, corrections to the exhaust emission results shall be 
made to account for such effects.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57017, Oct. 23, 1998]



Sec. 89.415  Fuel flow measurement specifications.

    The fuel flow rate measurement instrument must have a minimum 
accuracy of 2 percent of the engine maximum fuel flow rate. The 
controlling parameters are the elapsed time measurement of the event and 
the weight or volume measurement.

[63 FR 57017, Oct. 23, 1998]



Sec. 89.416  Raw exhaust gas flow.

    The exhaust gas flow shall be determined by one of the methods 
described in this section and conform to the tolerances of Table 3 in 
appendix A to subpart D:
    (a) Measurement of the air flow and the fuel flow by suitable 
metering systems (for details see SAE J244. This procedure has been 
incorporated by reference. See Sec. 89.6.) and calculation of the 
exhaust gas flow as follows:

GEXHW = GAIRW + GFUEL (for wet exhaust 
    mass)

or

VEXHD = VAIRD + (-.767) x GFUEL (for 
    dry exhaust volume)


or

VEXHW = VAIRW + .749 x GFUEL (for wet 
    exhaust volume)

    (b) Exhaust mass calculation from fuel consumption (see Sec. 
89.415) and exhaust gas concentrations using the method found in Sec. 
89.418.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.417  Data evaluation for gaseous emissions.

    For the evaluation of the gaseous emission recording, the last 60 
seconds of each mode are recorded, and the average values for HC, CO, 
CO2, and NOX during each mode are determined from 
the average concentration readings determined from the corresponding 
calibration data.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

[[Page 104]]



Sec. 89.418  Raw emission sampling calculations.

    (a) The final test results shall be derived through the steps 
described in this section.
    (b) The exhaust gas flow rate GEXHW and VEXHW 
shall be determined for each mode.
    (1) For measurements using the mass flow method, see Sec. 
89.416(a).
    (2) For measurements using the fuel consumption and exhaust gas 
concentrations method, use the following equations:
[GRAPHIC] [TIFF OMITTED] TR23OC98.004


Where:
[GRAPHIC] [TIFF OMITTED] TR23OC98.005

[GRAPHIC] [TIFF OMITTED] TR23OC98.006

[GRAPHIC] [TIFF OMITTED] TR23OC98.007

[GRAPHIC] [TIFF OMITTED] TR23OC98.008


K = 3.5
    (3) Humidity values may be calculated from either one of the 
following equations:
[GRAPHIC] [TIFF OMITTED] TR23OC98.009


or

[[Page 105]]

[GRAPHIC] [TIFF OMITTED] TR23OC98.010

    (c) When applying GEXHW, the measured ``dry'' 
concentration shall be corrected to a wet basis, if not already measured 
on a wet basis. This section is applicable only for measurements made on 
raw exhaust gas. Correction to a wet basis shall be according to the 
following formula:

ConcWET = Kw x ConcDRY

Where:

KW is determined according to the equations in paragraph 
(c)(1) or (c)(2) of this section.

    (1) For measurements using the mass flow method (see Sec. 
89.416(a)):
[GRAPHIC] [TIFF OMITTED] TR23OC98.011

[GRAPHIC] [TIFF OMITTED] TR23OC98.012

[GRAPHIC] [TIFF OMITTED] TR23OC98.013

[alpha] = H/C mole ratio of the fuel.

    (2) For measurements using the fuel consumption and exhaust gas 
concentrations method (see Sec. 89.416(b)):
[GRAPHIC] [TIFF OMITTED] TR23OC98.014


Where:
[GRAPHIC] [TIFF OMITTED] TR23OC98.015

    (d) As the NOX emission depends on intake air conditions, 
the NOX concentration shall be corrected for intake air 
temperature and humidity with the factor Kh given in the 
following formula. For engines operating on alternative combustion 
cycles, other correction formulas may be used if they can be justified 
or validated. The formula follows:

[[Page 106]]

[GRAPHIC] [TIFF OMITTED] TR23OC98.016

    (e) The pollutant mass flow for each mode shall be calculated as 
follows:

Gas mass = u x Gas conc. x GEXHW
Gas mass = v x Gas conc. x VEXHD
Gas mass = w x Gas conc. x VEXHW
    The coefficients u (wet), v (dry), and w (wet) are to be used 
according to the following table:

----------------------------------------------------------------------------------------------------------------
                  Gas                           u               v               w                 conc.
----------------------------------------------------------------------------------------------------------------
NOX....................................        0.001587         0.00205        0.00205   ppm.
CO.....................................        0.000966         0.00125        0.00125   ppm.
HC.....................................        0.000478  ..............        0.000618  ppm.
CO2....................................       15.19            19.64          19.64      percent.
----------------------------------------------------------------------------------------------------------------
Note: The given coefficients u, v, and w are calculated for 273.15 [deg]K (0 [deg]C) and 101.3 kPa. In cases
  where the reference conditions vary from those stated, an error may occur in the calculations.

    (f) The following equations may be used to calculate the 
coefficients u, v, and w in paragraph (e) of this section for other 
conditions of temperature and pressure:
    (1) For the calculation of u, v, and w for NOX (as 
NO2), CO, HC (in paragraph (e) of this section as 
CH1.80), CO2, and O2:

Where:

w = 4.4615.10-5x M if conc. in ppm
w = 4.4615.10-1x M if conc. in percent
v = w
u = w/[rho]Air
M = Molecular weight
[rho]Air = Density of dry air at 273.15 [deg]K (0 [deg]C), 
101.3 kPa = 1.293 kg/m\3\
    (2) For real gases at 273.15 [deg]K (0 [deg]C) and 101.3 kPa: For 
the calculation of u, v, and w

w = gas x 10-6 if conc. in ppm
v = w
u = w/pAir
pGas = Density of measured gas at 0 [deg]C, 101.3 kPas in g/
m3

    (3) General formulas for the calculation of concentrations at 
temperature (designated as T) and pressure (designated as p):


--for ideal gases
[GRAPHIC] [TIFF OMITTED] TR17JN94.017

--for real gases
[GRAPHIC] [TIFF OMITTED] TR17JN94.018


with:

1% = 104 ppm
M = Molecular weight in g/Mo1
Mv = Molecular Volume = 22.414 x 10-3 
m3/Mol for ideal gases
T = reference temperature 273.15 K
p = reference pressure 101.3 kPa
T = Temperature in [deg]C
p = pressure in kPa
pGas = Density of the measured gas at 0 [deg]C, 101.3 kPa
Conc. = Gas concentration

    (g)(1) The emission shall be calculated for all individual 
components

[[Page 107]]

in the following way where power at idle is equal to zero:
[GRAPHIC] [TIFF OMITTED] TR23OC98.017

    (2) The weighting factors and the number of modes (n) used in the 
calculation in paragraph (g)(1) of this section are according to Sec. 
89.410.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57017, Oct. 23, 1998]



Sec. 89.419  Dilute gaseous exhaust sampling and analytical system 
description.

    (a) General. The exhaust gas sampling system described in this 
section is designed to measure the true mass of gaseous emissions in the 
exhaust of petroleum-fueled nonroad compression-ignition engines. This 
system utilizes the CVS concept (described in Sec. 86.1310-90 of this 
chapter) of measuring mass emissions of HC, CO, and CO2. A 
continuously integrated system is required for HC and NOX 
measurement and is allowed for all CO and CO2 measurements. 
The mass of gaseous emissions is determined from the sample 
concentration and total flow over the test period. As an option, the 
measurement of total fuel mass consumed over a cycle may be substituted 
for the exhaust measurement of CO2. General requirements are 
as follows:
    (1) This sampling system requires the use of a PDP-CVS and a heat 
exchanger or a CFV-CVS with either a heat exchanger or electronic flow 
compensation. Figure 2 in appendix A to this subpart is a schematic 
drawing of the PDP-CVS system. Figure 3 in appendix A to this subpart is 
a schematic drawing of the CFV-CVS system.
    (2) The HC analytical system for petroleum-fueled compression-
ignition engines requires a heated flame ionization detector (HFID) and 
heated sample system (191 11 [deg]C).
    (i) The HFID sample must be taken directly from the diluted exhaust 
stream through a heated probe and integrated continuously over the test 
cycle. Unless compensation for varying flow is made, the HFID must be 
used with a constant flow system to ensure a representative sample.
    (ii) The heated probe shall be located in the primary dilution 
tunnel and far enough downstream of the mixing chamber to ensure a 
uniform sample distribution across the CVS duct at the point of 
sampling.
    (3) The CO and CO2 analytical system requires:
    (i) Bag sampling (see Sec. 86.1309-90 of this chapter) and 
analytical capabilities (see Sec. 86.1311-90 of this chapter), as shown 
in Figure 2 and Figure 3 in appendix A to this subpart; or
    (ii) Continuously integrated measurement of diluted CO and 
CO2 meeting the minimum requirements and technical 
specifications contained in paragraph (b)(4) of this section. Unless 
compensation for varying flow is made, a constant flow system must be 
used to ensure a representative sample.
    (4) The NOX analytical system requires a continuously 
integrated measurement of diluted NOX meeting the minimum 
requirements and technical specifications contained in paragraph (b)(4) 
of this section. Unless compensation for varying flow is made, a 
constant flow system must be used to ensure a representative sample.
    (5) Since various configurations can produce equivalent results, 
exact conformance with these drawings is not required. Additional 
components such as instruments, valves, solenoids, pumps, and switches 
may be used to provide additional information and coordinate the 
functions of the component systems. Other components, such as snubbers, 
which are not needed to maintain

[[Page 108]]

accuracy on some systems, may be excluded if their exclusion is based 
upon good engineering judgment.
    (6) Other sampling and/or analytical systems may be used if shown to 
yield equivalent results and if approved in advance by the 
Administrator.
    (b) Component description. The components necessary for exhaust 
sampling shall meet the following requirements:
    (1) Exhaust dilution system. The PDP-CVS shall conform to all of the 
requirements listed for the exhaust gas PDP-CVS in Sec. 86.1309-90(b) 
of this chapter. The CFV-CVS shall conform to all of the requirements 
listed for the exhaust gas CFV-CVS in Sec. 86.1309-90(c) of this 
chapter. In addition, the CVS must conform to the following 
requirements:
    (i) The flow capacity of the CVS must be sufficient to maintain the 
diluted exhaust stream at or below the temperature required for the 
measurement of hydrocarbon emissions noted in the following paragraph 
and to prevent condensation of water at any point in the dilution 
tunnel.
    (ii) The flow capacity of the CVS must be sufficient to maintain the 
diluted exhaust stream in the primary dilution tunnel at a temperature 
of 191 [deg]C or less at the sampling zone for hydrocarbon measurement 
and as required to prevent condensation at any point in the dilution 
tunnel. Gaseous emission samples may be taken directly from this 
sampling point.
    (iii) For the CFV-CVS, either a heat exchanger or electronic flow 
compensation is required (see Figure 3 in appendix A to this subpart).
    (iv) For the CFV-CVS when a heat exchanger is used, the gas mixture 
temperature, measured at a point immediately ahead of the critical flow 
venturi, shall be within 11 [deg]C) of the average 
operating temperature observed during the test with the simultaneous 
requirement that condensation does not occur. The temperature measuring 
system (sensors and readout) shall have an accuracy and precision of 
2 [deg]C. For systems utilizing a flow compensator 
to maintain proportional flow, the requirement for maintaining constant 
temperature is not necessary.
    (v) The primary dilution air shall have a temperature of 25 [deg]C 
5 [deg]C.
    (2) Continuous HC measurement system. (i) The continuous HC sample 
system (as shown in Figure 2 or 3 in appendix A to this subpart) uses an 
``overflow'' zero and span system. In this type of system, excess zero 
or span gas spills out of the probe when zero and span checks of the 
analyzer are made. The ``overflow'' system may also be used to calibrate 
the HC analyzer per Sec. 86.1321-90(b) of this chapter, although this 
is not required.
    (ii) No other analyzers may draw a sample from the continuous HC 
sample probe, line or system, unless a common sample pump is used for 
all analyzers and the sample line system design reflects good 
engineering practice.
    (iii) The overflow gas flow rates into the sample line shall be at 
least 105 percent of the sample system flow rate.
    (iv) The overflow gases shall enter the heated sample line as close 
as practical to the outside surface of the CVS duct or dilution tunnel.
    (v) The continuous HC sampling system shall consist of a probe 
(which must raise the sample to the specified temperature) and, where 
used, a sample transfer system (which must maintain the specified 
temperature). The continuous hydrocarbon sampling system (exclusive of 
the probe) shall:
    (A) Maintain a wall temperature of 191 [deg]C 11 [deg]C as measured at every separately controlled 
heated component (that is, filters, heated line sections), using 
permanent thermocouples located at each of the separate components.
    (B) Have a wall temperature of 191 [deg]C 11 
[deg]C over its entire length. The temperature of the system shall be 
demonstrated by profiling the thermal characteristics of the system 
where possible at initial installation and after any major maintenance 
performed on the system. The profiling shall be accomplished using the 
insertion thermocouple probing technique. The system temperature will be 
monitored continuously during testing at the locations and temperature 
described in Sec. 86.1310-90(b)(3)(v).

[[Page 109]]

    (C) Maintain a gas temperature of 191 [deg]C 11 [deg]C immediately before the heated filter and HFID. 
These gas temperatures will be determined by a temperature sensor 
located immediately upstream of each component.
    (vi) The continuous hydrocarbon sampling probe shall:
    (A) Be defined as the first 25 cm to 76 cm of the continuous 
hydrocarbon sampling system.
    (B) Have a 0.48 cm minimum inside diameter.
    (C) Be installed in the primary dilution tunnel at a point where the 
dilution air and exhaust are well mixed (that is, approximately 10 
tunnel diameters downstream of the point where the exhaust enters the 
dilution tunnel).
    (D) Be sufficiently distant (radially) from other probes and the 
tunnel wall so as to be free from the influence of any wakes or eddies.
    (E) Increase the gas stream temperature to 191 [deg]C 11 [deg]C at the exit of the probe. The ability of the 
probe to accomplish this shall be demonstrated using the insertion 
thermocouple technique at initial installation and after any major 
maintenance. Compliance with the temperature specification shall be 
demonstrated by continuously recording during each test the temperature 
of either the gas stream or the wall of the sample probe at its 
terminus.
    (vii) The response time of the continuous measurement system shall 
be no greater than:
    (A) 1.5 seconds from an instantaneous step change at the port 
entrance to the analyzer to within 90 percent of the step change.
    (B) 20 seconds from an instantaneous step change at the entrance to 
the sample probe or overflow span gas port to within 90 percent of the 
step change. Analysis system response time shall be coordinated with CVS 
flow fluctuations and sampling time/test cycle offsets if necessary.
    (C) For the purpose of verification of response times, the step 
change shall be at least 60 percent of full-scale chart deflection.
    (3) Primary dilution tunnel. (i) The primary dilution tunnel shall 
be:
    (A) Small enough in diameter to cause turbulent flow (Reynolds 
Number greater than 4000) and of sufficient length to cause complete 
mixing of the exhaust and dilution air;
    (B) At least 46 cm in diameter; (engines below 110 kW may use a 
dilution tunnel that is 20 cm in diameter or larger)
    (C) Constructed of electrically conductive material which does not 
react with the exhaust components; and
    (D) Electrically grounded.
    (ii) The temperature of the diluted exhaust stream inside of the 
primary dilution tunnel shall be sufficient to prevent water 
condensation.
    (iii) The engine exhaust shall be directed downstream at the point 
where it is introduced into the primary dilution tunnel.
    (4) Continuously integrated NOX. CO, and CO2 
measurement systems. (i) The sample probe shall:
    (A) Be in the same plane as the continuous HC probe, but shall be 
sufficiently distant (radially) from other probes and the tunnel wall so 
as to be free from the influences of any wakes or eddies.
    (B) Heated and insulated over the entire length, to prevent water 
condensation, to a minimum temperature of 55 [deg]C. Sample gas 
temperature immediately before the first filter in the system shall be 
at least 55 [deg]C.
    (ii) The continuous NOX. CO, or CO2 sampling 
and analysis system shall conform to the specifications of part 86, 
subpart D of this chapter with the following exceptions and revisions:
    (A) The system components required to be heated by part 86, subpart 
D of this chapter need only be heated to prevent water condensation, the 
minimum component temperature shall be 55 [deg]C.
    (B) The system response shall be no greater than 20 seconds. 
Analysis system response time shall be coordinated with CVS flow 
fluctuations and sampling time/test cycle offsets, if necessary.
    (C) Alternative NOX measurement techniques outlined in 
Sec. 86.346-79 of this chapter are not permitted for NOX 
measurement in this subpart.
    (D) All analytical gases must conform to the specifications of Sec. 
89.312.
    (E) Any range on a linear analyzer below 155 ppm must have and use a

[[Page 110]]

calibration curve conforming to Sec. 89.310.
    (iii) The chart deflections or voltage output of analyzers with non-
linear calibration curves shall be converted to concentration values by 
the calibration curve(s) specified in Sec. 89.323 before flow 
correction (if used) and subsequent integration takes place.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.420  Background sample.

    (a) Background samples are produced by continuously drawing a sample 
of dilution air during the exhaust collection phase of each test cycle 
mode.
    (1) Individual background samples may be produced and analyzed for 
each mode. Hence, a unique background value will be used for the 
emission calculations for each mode.
    (2) Alternatively, a single background sample may be produced by 
drawing a sample during the collection phase of each of the test cycle 
modes. Hence, a single cumulative background value will be used for the 
emission calculations for each mode.
    (b) For analysis of the individual sample described in paragraph 
(a)(1) of this section, a single value representing the average chart 
deflection over a 10-second stabilized period is stored. All readings 
taken during the 10-second interval must be stable at the final value to 
within 1 percent of full scale.
    (c) Measure HC, CO, CO2, and NOX exhaust and 
background concentrations in the sample bag(s) with approximately the 
same flow rates and pressures used during calibration.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57018, Oct. 23, 1998]



Sec. 89.421  Exhaust gas analytical system; CVS bag sample.

    (a) Schematic drawings. Figure 4 in appendix A to this subpart is a 
schematic drawing of the exhaust gas analytical system used for 
analyzing CVS bag samples from compression- ignition engines. Since 
various configurations can produce accurate results, exact conformance 
with the drawing is not required. Additional components such as 
instruments, valves, solenoids, pumps and switches may be used to 
provide additional information and coordinate the functions of the 
component systems. Other components such as snubbers, which are not 
needed to maintain accuracy in some systems, may be excluded if their 
exclusion is based upon good engineering judgment.
    (b) Major component description. The analytical system, Figure 4 in 
appendix A to this subpart, consists of a flame ionization detector 
(FID) (heated for petroleum-fueled compression-ignition engines to 191 
[deg]C 6 [deg]C) for the measurement of 
hydrocarbons, nondispersive infrared analyzers (NDIR) for the 
measurement of carbon monoxide and carbon dioxide, and a 
chemiluminescence detector (CLD) (or HCLD) for the measurement of oxides 
of nitrogen. The exhaust gas analytical system shall conform to the 
following requirements:
    (1) The CLD (or HCLD) requires that the nitrogen dioxide present in 
the sample be converted to nitric oxide before analysis. Other types of 
analyzers may be used if shown to yield equivalent results and if 
approved in advance by the Administrator.
    (2) If CO instruments are used which are essentially free of 
CO2 and water vapor interference, the use of the conditioning 
column may be deleted. (See Sec. Sec. 86.1322-84 and 86.1342-90 of this 
chapter.)
    (3) A CO instrument will be considered to be essentially free of 
CO2 and water vapor interference if its response to a mixture 
of 3 percent CO2 in N2, which has been bubbled through water 
at room temperature, produces an equivalent CO response, as measured on 
the most sensitive CO range, which is less than 1 percent of full scale 
CO concentration on ranges above 300 ppm full scale or less than 3 ppm 
on ranges below 300 ppm full scale. (See Sec. 86.1322-84 of this 
chapter.)
    (c) Alternate analytical systems. Analysis systems meeting the 
specifications of part 86, subpart D of this chapter (with the exception 
of Sec. Sec. 86.346-79 and 86.347-79) may be used for the testing 
required under this subpart. Heated analyzers may be used in their 
heated configuration.
    (d) Other analyzers and equipment. Other types of analyzers and 
equipment may be used if shown to yield

[[Page 111]]

equivalent results and if approved in advance by the Administrator.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.422  Dilute sampling procedures--CVS calibration.

    (a) The CVS is calibrated using an accurate flowmeter and restrictor 
valve.
    (1) The flowmeter calibration must be traceable to NIST 
measurements, and will serve as the reference value (NIST ``true'' 
value) for the CVS calibration. (Note: In no case should an upstream 
screen or other restriction which can affect the flow be used ahead of 
the flowmeter unless calibrated throughout the flow range with such a 
device.)
    (2) The CVS calibration procedures are designed for use of a 
``metering venturi'' type flowmeter. Large radius or ASME flow nozzles 
are considered equivalent if traceable to NIST measurements. Other 
measurement systems may be used if shown to be equivalent under the test 
conditions in this section and traceable to NIST measurements.
    (3) Measurements of the various flowmeter parameters are recorded 
and related to flow through the CVS.
    (4) Procedures used by EPA for both PDP-CVS and CFV-CVS are outlined 
below. Other procedures yielding equivalent results may be used if 
approved in advance by the Administrator.
    (b) After the calibration curve has been obtained, verification of 
the entire system may be performed by injecting a known mass of gas into 
the system and comparing the mass indicated by the system to the true 
mass injected. An indicated error does not necessarily mean that the 
calibration is wrong, since other factors can influence the accuracy of 
the system (for example, analyzer calibration, leaks, or HC hangup). A 
verification procedure is found in paragraph (e) of this section.
    (c) PDP-CVS calibration. (1) The following calibration procedure 
outlines the equipment, the test configuration, and the various 
parameters which must be measured to establish the flow rate of the PDP-
CVS pump.
    (i) All the parameters related to the pump are simultaneously 
measured with the parameters related to a flowmeter which is connected 
in series with the pump.
    (ii) The calculated flow rate, in

(cm\3\/s), (at pump inlet absolute pressure and temperature) can then be 
plotted versus a correlation function which is the value of a specific 
combination of pump parameters.
    (iii) The linear equation which relates the pump flow and the 
correlation function is then determined.
    (iv) In the event that a CVS has a multiple speed drive, a 
calibration for each range used must be performed.
    (2) This calibration procedure is based on the measurement of the 
absolute values of the pump and flowmeter parameters that relate the 
flow rate at each point. Two conditions must be maintained to assure the 
accuracy and integrity of the calibration curve:
    (i) The temperature stability must be maintained during calibration. 
(Flowmeters are sensitive to inlet temperature oscillations; this can 
cause the data points to be scattered. Gradual changes in temperature 
are acceptable as long as they occur over a period of several minutes.)
    (ii) All connections and ducting between the flowmeter and the CVS 
pump must be absolutely void of leakage.
    (3) During an exhaust emission test the measurement of these same 
pump parameters enables the user to calculate the flow rate from the 
calibration equation.
    (4) Connect a system as shown in Figure 5 in appendix A to this 
subpart. Although particular types of equipment are shown, other 
configurations that yield equivalent results may be used if approved in 
advance by the Administrator. For the system indicated, the following 
measurements and accuracies are required:

                                          Calibration Data Measurements
----------------------------------------------------------------------------------------------------------------
             Parameter                     Symbol               Units              Sensor-readout tolerances
----------------------------------------------------------------------------------------------------------------
Barometric pressure (corrected)...  PB                   kPa................  .34 kPa

[[Page 112]]

 
Ambient temperature...............  TA                   [deg]C.............  .3 [deg]C
Air temperature into metering       ETI                  [deg]C.............  1.1 [deg]C
 venturi.
Pressure drop between the inlet     EDP                  kPa................  .01 kPa
 and throat of metering venturi.
Air flow..........................  QS                   m3/min.............  .5% of NIST
                                                                               value.
Air temperature at CVS pump inlet.  PTI                  [deg]C.............  1.1 [deg]C
Pressure depression at CVS pump     PPI                  kPa................  .055 kPa
 inlet.
Pressure head at CVS pump outlet..  PPO                  kPa................  .055 kPa
Air temperature at CVS pump outlet  PTO                  [deg]C.............  1.1 [deg]C
 (optional).
Pump revolutions during test        N                    Revs...............  1 Rev.
 period.
Elapsed time for test period......  t                    s..................  .5 s.
----------------------------------------------------------------------------------------------------------------

    (5) After the system has been connected as shown in Figure 5 in 
appendix A to this subpart, set the variable restrictor in the wide open 
position and run the CVS pump for 20 minutes. Record the calibration 
data.
    (6) Reset the restrictor valve to a more restricted condition in an 
increment of pump inlet depression that will yield a minimum of six data 
points for the total calibration. Allow the system to stabilize for 3 
minutes and repeat the data acquisition.
    (7) Data analysis:
    (i) The air flow rate, Qs, at each test point is 
calculated in standard cubic meters per minute (0 [deg]C, 101.3 kPa) 
from the flowmeter data using the manufacturer's prescribed method.
    (ii) The air flow rate is then converted to pump flow, 
Vo, in cubic meter per revolution at absolute pump inlet 
temperature and pressure:
[GRAPHIC] [TIFF OMITTED] TR17JN94.020

Where:

Vo = Pump flow, (m3/rev) at Tp, 
Pp.
Qs = Meter air flow rate in standard cubic meters per minute, 
standard conditions are 0 [deg]C, 101.3 kPa.
n=Pump speed in revolutions per minute.
Tp=Pump inlet temperature [deg]K=Pti+273 [deg]K, 
Pti=Pump inlet temp [deg]C
Pp=Absolute pump inlet pressure, (kPa)
    = PB - PPI
Where:

PB=barometric pressure, (kPa).
PPI=Pump inlet depression, (kPa).

    (iii) The correlation function at each test point is then calculated 
from the calibration data:
[GRAPHIC] [TIFF OMITTED] TR17JN94.021

Xo = correlation function.
[Delta]p = The pressure differential from pump inlet to pump outlet, 
(kPa).
    = Pe-Pp.
Pe = Absolute pump outlet pressure, (kPa)
    = PB+PPO
Where:

PPO=Pressure head at pump outlet, (kPa).

    (iv) A linear least squares fit is performed to generate the 
calibration equation which has the form:

Vo=Do-M(Xo)

Do and M are the intercept and slope constants, respectively, 
describing the regression line.

    (8) A CVS system that has multiple speeds must be calibrated on each 
speed used. The calibration curves generated for the ranges will be 
approximately parallel and the intercept values, Do, will 
increase as the pump flow range decreases.
    (9) If the calibration has been performed carefully, the calculated 
values from the equation will be within 0.50 
percent of the measured value of Vo. Values of M will vary 
from one pump to another, but values of Do for pumps of the 
same make, model, and range should agree within 3 
percent of each other. Calibrations should be performed at pump start-up 
and after major maintenance to assure the stability of the pump slip 
rate. Analysis of mass injection data will also reflect pump slip 
stability.
    (d) CFV-CVS calibration. (1) Calibration of the CFV is based upon 
the flow equation for a critical venturi. Gas

[[Page 113]]

flow is a function of inlet pressure and temperature:
[GRAPHIC] [TIFF OMITTED] TR17JN94.022

Where:

Qs = flow.
Kv = calibration coefficient.
P = absolute pressure.
T = absolute temperature.


The calibration procedure described in paragraph (d)(3) of this section 
establishes the value of the calibration coefficient at measured values 
of pressure, temperature, and air flow.
    (2) The manufacturer's recommended procedure shall be followed for 
calibrating electronic portions of the CFV.
    (3) Measurements necessary for flow calibration are as follows:

                                          Calibration Data Measurements
----------------------------------------------------------------------------------------------------------------
             Parameter                        Symbol                   Units                  Tolerances
----------------------------------------------------------------------------------------------------------------
Barometric pressure (corrected)....  PB                       kPa (Inches Hg).......  0.034 (0.01).
Air temperature, flowmeter.........  ETI                      deg.C (deg.F).........  0.14 (0.25).
Pressure depression upstream of LFE  EPI                      kPa(Inches H2O).......  0.012 (0.05).
Pressure drop across LFE matrix....  EDP                      kPa (Inches H2O)......  0.001 (0.005).
Air flow...........................  Qs                       m3/min. (Ft3/min).....  0.5 pct.
CFV inlet depression...............  PPI                      kPa (Inches Hg).......  0.055 (0.016).
CFV outlet pressure................  PPO                      kPa (Inches Hg).......  0.17 (0.05).
Temperature at venturi inlet.......  Tv                       deg.C (deg.F).........  0.28 (0.5)
Specific gravity of manometer fluid  Sp.Gr                    ......................  (1.75 oil).
----------------------------------------------------------------------------------------------------------------

    (4) Set up equipment as shown in Figure 6 in appendix A to subpart 
and eliminate leaks. (Leaks between the flow measuring devices and the 
critical flow venturi will seriously affect the accuracy of the 
calibration.)
    (5) Set the variable flow restrictor to the open position, start the 
blower, and allow the system to stabilize. Record data from all 
instruments.
    (6) Vary the flow restrictor and make at least eight readings across 
the critical flow range of the venturi.
    (7) Data analysis. The data recorded during the calibration are to 
be used in the following calculations:
    (i) The air flow rate (designated as Qs) at each test point is 
calculated in standard cubic feet per minute from the flow meter data 
using the manufacturer's prescribed method.
    (ii) Calculate values of the calibration coefficient for each test 
point:
[GRAPHIC] [TIFF OMITTED] TR17JN94.023

Where:

Qs = Flow rate in standard cubic meter per minute, at the standard 
conditions of 0 [deg]C, 101.3 kPa.
Tv = Temperature at venturi inlet, [deg]K.
Pv = PB - PPI (= Pressure at venturi inlet, kPA)
Where:

PPI = Venturi inlet pressure depression, (kPa).

    (iii) Plot Kv as a function of venturi inlet pressure. For choked 
flow, Kv will have a relatively constant value. As pressure decreases 
(vacuum increases), the venturi becomes unchoked and Kv decreases. (See 
Figure 7 in appendix A to this subpart.)
    (iv) For a minimum of eight points in the critical region calculate 
an average Kv and the standard deviation.
    (v) If the standard deviation exceeds 0.3 percent of the average Kv, 
take corrective action.
    (e) CVS system verification. The following ``gravimetric'' technique 
can be used to verify that the CVS and analytical instruments can 
accurately measure a mass of gas that has been injected into the system. 
(Verification can also be accomplished by constant flow metering using 
critical flow orifice devices.)
    (1) Obtain a small cylinder that has been charged with 99.5 percent 
or greater propane or carbon monoxide gas (Caution--carbon monoxide is 
poisonous).
    (2) Determine a reference cylinder weight to the nearest 0.01 grams.
    (3) Operate the CVS in the normal manner and release a quantity of 
pure propane into the system during the

[[Page 114]]

sampling period (approximately 5 minutes).
    (4) The calculations are performed in the normal way except in the 
case of propane. The density of propane (0.6109 kg/m\3\/carbon atom)) is 
used in place of the density of exhaust hydrocarbons.
    (5) The gravimetric mass is subtracted from the CVS measured mass 
and then divided by the gravimetric mass to determine the percent 
accuracy of the system.
    (6) Good engineering practice requires that the cause for any 
discrepancy greater than 2 percent must be found 
and corrected.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57018, Oct. 23, 1998]



Sec. 89.423  [Reserved]



Sec. 89.424  Dilute emission sampling calculations.

    (a) The final reported emission test results are computed by use of 
the following formula:
[GRAPHIC] [TIFF OMITTED] TR23OC98.018

Where:
Awm = Weighted mass emission level (HC, CO, CO2, 
PM, or NOX) in g/kW-hr.
gi = Mass flow in grams per hour, = grams measured during the 
mode divided by the sample time for the mode.
WFi = Effective weighing factor.
Pi = Power measured during each mode (Power set = zero for 
the idle mode).
    (b) The mass of each pollutant for each mode for bag measurements 
and diesel heat exchanger system measurements is determined from the 
following equations:
    (1) Hydrocarbon mass:

HCmass= Vmix x DensityHC x 
    (HCconc/106)

    (2) Oxides of nitrogen mass:

NOXmass = Vmix x DensityNO2 x KH x 
    (NOXconc/106)

    (3) Carbon monoxide mass:

COmass= Vmixx DensityCOx 
    (COconc/106)

    (4) Carbon dioxide mass:

CO2mass= Vmixx DensityCO2 x 
    (CO2conc/102)

    (c) The mass of each pollutant for the mode for flow compensated 
sample systems is determined from the following equations:
[GRAPHIC] [TIFF OMITTED] TR17JN94.025


[[Page 115]]


[GRAPHIC] [TIFF OMITTED] TR17JN94.026

    (d) Meaning of symbols:
    (1) For hydrocarbon equations:

HCmass= Hydrocarbon emissions, in grams per test mode.
DensityHC= Density of hydrocarbons is (.5800 kg/
m3) for 1 diesel, and (0.5746 kg/m3) for 
2 diesel, assuming an average carbon to hydrogen ratio of 
1:1.93 for 1 diesel, and 1:1.80 for 2 diesel at 20 
[deg]C and 101.3 kPa pressure.
HCconc= Hydrocarbon concentration of the dilute exhaust 
sample corrected for background, in ppm carbon equivalent (that is, 
equivalent propane times 3).
[GRAPHIC] [TIFF OMITTED] TR17JN94.027

Where:

HCe= Hydrocarbon concentration of the dilute exhaust bag 
sample or, for diesel heat exchanger systems, average hydrocarbon 
concentration of the dilute exhaust sample as calculated from the 
integrated HC traces, in ppm carbon equivalent. For flow compensated 
sample systems (HCe)i is the instantaneous 
concentration.
HCd= Hydrocarbon concentration of the dilution air as 
measured, in ppm carbon equivalent.

    (2) For oxides of nitrogen equations:

NOXmass = Oxides of nitrogen emissions, in grams per test 
mode.
Density NO2= Density of oxides of nitrogen is 1.913 kg/
m3, assuming they are in the form of nitrogen dioxide, at 20 
[deg]C and 101.3 kPa pressure.
NOXconc= Oxides of nitrogen concentration of the dilute 
exhaust sample corrected for background, in ppm:
[GRAPHIC] [TIFF OMITTED] TR17JN94.028

Where:

NOX.= Oxides of nitrogen concentration of the dilute exhaust 
bag sample as measured, in ppm. For flow compensated sample systems 
(NOX.)i is the instantaneous concentration.
NOX.= Oxides of nitrogen concentration of the dilute air as 
measured, in ppm.

    (3) For carbon monoxide equations:

COmass=Carbon monoxide emissions, grams per test mode. 
    DensityCO=Density of carbon monoxide (1.164 kg/
    m3 at 20 [deg]C and 101.3 kPa pressure).
COconc=Carbon monoxide concentration of the dilute exhaust 
    sample corrected for background, water vapor, and CO2 
    extraction, ppm.
    [GRAPHIC] [TIFF OMITTED] TR17JN94.029
    
Where:

COe=Carbon monoxide concentration of the dilute exhaust bag 
sample volume corrected for water vapor and carbon dioxide extraction, 
ppm. For flow compensated

[[Page 116]]

sample systems, (COe)i is the instantaneous 
concentration.

    The following calculation assumes the carbon to hydrogen ratio of 
the fuel is 1:1.85. As an option the measured actual carbon to hydrogen 
ratio may be used:

COe=[1-0.01925CO2.-0.000323R]COem

Where:

COem=Carbon monoxide concentration of the dilute exhaust 
sample as measured, ppm.
CO2.=Carbon dioxide concentration of the dilute exhaust bag 
sample, in percent, if measured. For flow compensated sample systems, 
(CO2.)i is the instantaneous concentration. For 
cases where exhaust sampling of CO2 is not performed, the 
following approximation is permitted:
[GRAPHIC] [TIFF OMITTED] TR17JN94.030

a=Average carbon to hydrogen ratio.
    M \1\ = Fuel mass consumed during the mode.
R=Relative humidity of the dilution air, percent.
COd=Carbon monoxide concentration of the dilution air 
corrected for water vapor extraction, ppm.
COd=(1-0.000323R)COdm
Where:

COdm=Carbon monoxide concentration of the dilution air sample 
as measured, ppm.

    Note: If a CO instrument which meets the criteria specified in Sec. 
86.1311-90 of this chapter is used and the conditioning column has been 
deleted, COem must be substituted directly for COe 
and COdm must be substituted directly for COd.

    (4) For carbon dioxide equation:

CO2mass=Carbon dioxide emissions, in grams per test mode.
Density CO2=Density of carbon dioxide is 1.830 kg/
m3, at 20 [deg]C and 760 mm Hg pressure.
CO2conc=Carbon dioxide concentration of the dilute exhaust 
sample corrected for background, in percent.
[GRAPHIC] [TIFF OMITTED] TR17JN94.031

Where:

CO2.=Carbon dioxide concentration of the dilution air as 
measured, in percent.
[GRAPHIC] [TIFF OMITTED] TR17JN94.032

    (6) Measured ``dry'' concentrations shall be corrected to a wet 
basis, if not already measured on a wet basis. This section is 
applicable only for measurements made on dilute exhaust gas. Correction 
to a wet basis shall be according to the following formula:

ConcWET = KW x ConcDRY
    Where: KW is determined according to the equation in 
paragraph (d)(6)(i) or (d)(6)(ii), of this section.

    (i) For wet CO2 measurement:
    [GRAPHIC] [TIFF OMITTED] TR23OC98.019
    
    (ii) For dry CO2 measurement:

[[Page 117]]

[GRAPHIC] [TIFF OMITTED] TR23OC98.020

    (iii) For the equations in paragraph (d)(6)(i) and (d)(6)(ii) of 
this section, the following equation applies:
[GRAPHIC] [TIFF OMITTED] TR23OC98.021

    Where: Ha and Hd are the grams of water per 
kilogram of dry air; as illustrated in the following equations:
[GRAPHIC] [TIFF OMITTED] TR23OC98.022

[GRAPHIC] [TIFF OMITTED] TR23OC98.023

    (e) The final modal reported brake-specific fuel consumption (bsfc) 
shall be computed by use of the following formula:
[GRAPHIC] [TIFF OMITTED] TR23OC98.024

Where:

bsfc = brake-specific fuel consumption for a mode in grams of fuel per 
kilowatt-hour (kW-hr).
M = mass of fuel in grams, used by the engine during a mode.
kW-hr = total kilowatts integrated with respect to time for a mode.
    (f) The mass of fuel for the mode is determined from mass fuel flow 
measurements made during the mode, or from the following equation:
[GRAPHIC] [TIFF OMITTED] TR17JN94.034

Where:

M=Mass of fuel, in grams, used by the engine during the mode.
Gs=Grams of carbon measured during the mode:

[[Page 118]]

[GRAPHIC] [TIFF OMITTED] TR17JN94.035

R2=Grams C in fuel per gram of fuel

Where:

HCmass=hydrocarbon emissions, in grams for the mode
CO2mass=carbon monoxide emissions, in grams for the mode
CO2mass=carbon dioxide emissions, in grams for the mode
[alpha]=The atomic hydrogen to carbon ratio of the fuel.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57018, Oct. 23, 1998]



Sec. 89.425  [Reserved]

[[Page 119]]

               Appendix A to Subpart E of Part 89--Figures
[GRAPHIC] [TIFF OMITTED] TC01MR92.002


[[Page 120]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.003


[[Page 121]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.004


[[Page 122]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.005


[[Page 123]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.006


[[Page 124]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.007


[[Page 125]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.008

               Appendix B to Subpart E of Part 89--Tables

                              Table 1--8-Mode Test Cycle for Variable-Speed Engines
----------------------------------------------------------------------------------------------------------------
                                                                             Observed
                                                                            torque \2\    Minimum
          Test segment                Mode number       Engine speed \1\   (percent of    time in     Weighting
                                                                               max.         mode       factors
                                                                            observed)    (minutes)
----------------------------------------------------------------------------------------------------------------
1...............................  1..................  Rated.............          100          5.0         0.15
1...............................  2..................  Rated.............           75          5.0         0.15
1...............................  3..................  Rated.............           50          5.0         0.15
1...............................  4..................  Rated.............           10          5.0         0.10
2...............................  5..................  Int...............          100          5.0         0.10
2...............................  6..................  Int...............           75          5.0         0.10
2...............................  7..................  Int...............           50          5.0         0.10
2...............................  8..................  Idle..............            0          5.0         0.15
----------------------------------------------------------------------------------------------------------------
\1\ Engine speed (non-idle):  2 percent of point. Engine speed (idle): Within
  manufacturer's specifications. Idle speed is specified by the manufacturer.
\2\ Torque (non-idle): Throttle fully open for 100 percent points. Other non-idle points: 
  2 percent of engine maximum value. Torque (idle): Throttle fully closed. Load less than 5 percent of peak
  torque.


                              Table 2--5-Mode Test Cycle for Constant-Speed Engines
----------------------------------------------------------------------------------------------------------------
                                                                             Observed
                                                                            torque \2\    Minimum
                Mode number                        Engine\1\ Speed         (percent of    time in     Weighting
                                                                               max.         mode       factors
                                                                            observed)    (minutes)
----------------------------------------------------------------------------------------------------------------
1.........................................  Rated........................          100          5.0         0.05
2.........................................  Rated........................           75          5.0         0.25
3.........................................  Rated........................           50          5.0         0.30

[[Page 126]]

 
4.........................................  Rated........................           25          5.0         0.30
5.........................................  Rated........................           10          5.0         0.10
----------------------------------------------------------------------------------------------------------------
\1\ Engine speed: 2 percent of point.
\2\ Torque: Throttle fully open for 100 percent point. Other points:  2 percent of engine
  maximum value.


                            Table 3--6-Mode Test Cycle for Engines Rated Under 19 kW
----------------------------------------------------------------------------------------------------------------
                                                                             Observed
                                                                            torque \2\    Minimum
                Mode number                        Engine speed \1\        (percent of    time in     Weighting
                                                                               max.         mode       factors
                                                                            observed)    (minutes)
----------------------------------------------------------------------------------------------------------------
1.........................................  Rated........................          100          5.0         0.09
2.........................................  Rated........................           75          5.0         0.20
3.........................................  Rated........................           50          5.0         0.29
4.........................................  Rated........................           25          5.0         0.30
5.........................................  Rated........................           10          5.0         0.07
6.........................................  Idle.........................            0          5.0         0.05
----------------------------------------------------------------------------------------------------------------
\1\ Engine speed (non-idle):  2 percent of point. Engine speed (idle): Within
  manufacturer's specifications. Idle speed is specified by the manufacturer.
\2\ Torque (non-idle): Throttle fully open for operation at 100 percent point. Other nonidle points:  2 percent of engine maximum value. Torque (idle): Throttle fully closed. Load less than 5
  percent of peak torque.


                         Table 4--4-Mode Test Cycle for Propulsion Marine Diesel Engines
----------------------------------------------------------------------------------------------------------------
                                                   Engine speed   Observed power
                                                   \1\ (percent    \2\ (percent    Minimum time      Weighting
                   Mode number                        of max.         of max.         in mode         factors
                                                     observed)       observed)       (minutes)
----------------------------------------------------------------------------------------------------------------
1...............................................             100             100             5.0            0.20
2...............................................              91              75             5.0            0.50
3...............................................              80              50             5.0            0.15
4...............................................              63              25             5.0            0.15
----------------------------------------------------------------------------------------------------------------
\1\ Engine speed:  2 percent of point.
\2\ Power: Throttle fully open for operation at 100 percent point. Other points:  2
  percent of engine maximum value.


[63 FR 57019, Oct. 23, 1998]



                Subpart F_Selective Enforcement Auditing



Sec. 89.501  Applicability.

    The requirements of subpart F are applicable to all nonroad engines 
subject to the provisions of subpart A of part 89.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.502  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart.
    Acceptable quality level (AQL) means the maximum percentage of 
failing engines that can be considered a satisfactory process average 
for sampling inspections.
    Configuration means any subclassification of an engine family which 
can be described on the basis of gross power, emission control system, 
governed speed, injector size, engine calibration, and other parameters 
as designated by the Administrator.
    Inspection criteria means the pass and fail numbers associated with 
a particular sampling plan.
    Test engine means an engine in a test sample.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

[[Page 127]]



Sec. 89.503  Test orders.

    (a) A test order addressed to the manufacturer is required for any 
testing under this subpart.
    (b) The test order is signed by the Assistant Administrator for Air 
and Radiation or his or her designee. The test order must be delivered 
in person by an EPA enforcement officer or EPA authorized representative 
to a company representative or sent by registered mail, return receipt 
requested, to the manufacturer's representative who signed the 
application for certification submitted by the manufacturer, pursuant to 
the requirements of the applicable section of subpart B of this part. 
Upon receipt of a test order, the manufacturer must comply with all of 
the provisions of this subpart and instructions in the test order.
    (c) Information included in test order. (1) The test order will 
specify the engine family to be selected for testing, the manufacturer's 
engine assembly plant or associated storage facility or port facility 
(for imported engines) from which the engines must be selected, the time 
and location at which engines must be selected, and the procedure by 
which engines of the specified family must be selected. The test order 
may specify the configuration to be audited and/or the number of engines 
to be selected per day. Engine manufacturers are required to select a 
minimum of four engines per day unless an alternate selection procedure 
is approved pursuant to Sec. 89.507(a), or unless total production of 
the specified configuration is less than four engines per day. If total 
production of the specified configuration is less than four engines per 
day, the manufacturer selects the actual number of engines produced per 
day.
    (2) The test order may include alternate families to be selected for 
testing at the Administrator's discretion in the event that engines of 
the specified family are not available for testing because those engines 
are not being manufactured during the specified time or are not being 
stored at the specified assembly plant, associated storage facilities, 
or port of entry.
    (3) If the specified family is not being manufactured at a rate of 
at least two engines per day in the case of manufacturers specified in 
Sec. 89.508(g)(1), or one engine per day in the case of manufacturers 
specified in Sec. 89.508(g)(2), over the expected duration of the 
audit, the Assistant Administrator or her or his designated 
representative may select engines of the alternate family for testing.
    (4) In addition, the test order may include other directions or 
information essential to the administration of the required testing.
    (d) A manufacturer may submit a list of engine families and the 
corresponding assembly plants, associated storage facilities, or (in the 
case of imported engines) port facilities from which the manufacturer 
prefers to have engines selected for testing in response to a test 
order. In order that a manufacturer's preferred location be considered 
for inclusion in a test order for a particular engine family, the list 
must be submitted prior to issuance of the test order. Notwithstanding 
the fact that a manufacturer has submitted the list, the Administrator 
may order selection at other than a preferred location.
    (e) Upon receipt of a test order, a manufacturer must proceed in 
accordance with the provisions of this subpart.
    (f)(1) During a given model year, the Administrator may not issue to 
a manufacturer more Selective Enforcement Auditing (SEA) test orders 
than an annual limit determined to be the larger of the following 
factors:
    (i) Production factor, determined by dividing the projected nonroad 
engine sales in the United States for that model year, as declared by 
the manufacturer under Sec. 89.505(c)(1), by 16,000 and rounding to the 
nearest whole number. If the projected sales are less than 8,000, this 
factor is one.
    (ii) Family factor, determined by dividing the manufacturer's total 
number of certified engine families by five and rounding to the nearest 
whole number.
    (2) If a manufacturer submits to EPA in writing prior to or during 
the model year a reliable sales projection update or adds engine 
families or deletes engine families from its production, that 
information is used for recalculating

[[Page 128]]

the manufacturer's annual limit of SEA test orders.
    (3) Any SEA test order for which the family fails under Sec. 89.510 
or for which testing is not completed is not counted against the annual 
limit.
    (4) When the annual limit has been met, the Administrator may issue 
additional test orders to test those families for which evidence exists 
indicating noncompliance. An SEA test order issued on this basis will 
include a statement as to the reason for its issuance.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.504  Testing by the Administrator.

    (a) The Administrator may require by test order under Sec. 89.503 
that engines of a specified family be selected in a manner consistent 
with the requirements of Sec. 89.507 and submitted to the Administrator 
at the place designated for the purpose of conducting emission tests. 
These tests will be conducted in accordance with Sec. 89.508 to 
determine whether engines manufactured by the manufacturer conform with 
the regulations with respect to which the certificate of conformity was 
issued.
    (b) Designating official data. (1) Whenever the Administrator 
conducts a test on a test engine or the Administrator and manufacturer 
each conduct a test on the same test engine, the results of the 
Administrator's test comprise the official data for that engine.
    (2) Whenever the manufacturer conducts all tests on a test engine, 
the manufacturer's test data is accepted as the official data, provided 
that if the Administrator makes a determination based on testing 
conducted under paragraph (a) of this section that there is a 
substantial lack of agreement between the manufacturer's test results 
and the Administrator's test results, no manufacturer's test data from 
the manufacturer's test facility will be accepted for purposes of this 
subpart.
    (c) If testing conducted under Sec. 89.503 is unacceptable under 
paragraph (b)(2) of this section, the Administrator must:
    (1) Notify the manufacturer in writing of the Administrator's 
determination that the test facility is inappropriate for conducting the 
tests required by this subpart and the reasons therefor; and
    (2) Reinstate any manufacturer's data upon a showing by the 
manufacturer that the data acquired under Sec. 89.503 was erroneous and 
the manufacturer's data was correct.
    (d) The manufacturer may request in writing that the Administrator 
reconsider the determination in paragraph (b)(2) of this section based 
on data or information which indicates that changes have been made to 
the test facility and these changes have resolved the reasons for 
disqualification.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.505  Maintenance of records; submittal of information.

    (a) The manufacturer of any new nonroad engine subject to any of the 
provisions of this subpart must establish, maintain, and retain the 
following adequately organized and indexed records:
    (1) General records. A description of all equipment used to test 
engines in accordance with Sec. 89.508 pursuant to a test order issued 
under this subpart, specifically, the equipment requirements specified 
in Sec. Sec. 86.884-8 and 86.884-9 of this chapter and the equipment 
requirements specified in Sec. Sec. 89.306, 89.308, 89.309, and 89.312.
    (2) Individual records. These records pertain to each audit 
conducted pursuant to this subpart and include:
    (i) The date, time, and location of each test;
    (ii) The number of hours of service accumulated on the engine when 
the test began and ended;
    (iii) The names of all supervisory personnel involved in the conduct 
of the audit;
    (iv) A record and description of any repairs performed prior to and/
or subsequent to approval by the Administrator, 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;
    (v) The date the engine was shipped from the assembly plant, 
associated storage facility or port facility, and date the engine was 
received at the testing facility;

[[Page 129]]

    (vi) A complete record of all emission tests performed pursuant to 
this subpart (except tests performed directly by EPA), including all 
individual worksheets and/or other documentation relating to each test, 
or exact copies thereof, to be in accordance with the record 
requirements specified in Sec. 89.404 or Sec. 86.884-10 of this 
chapter.
    (vii) A brief description of any significant audit events not 
described under paragraph (a)(2) of this section, commencing with the 
test engine selection process and including such extraordinary events as 
engine damage during shipment.
    (3) The manufacturer must record test equipment description, 
pursuant to paragraph (a)(1) of this section, for each test cell that 
can be used to perform emission testing under this subpart.
    (b) The manufacturer must retain all records required to be 
maintained under this subpart for a period of one year after completion 
of all testing in response to a test order. Records may be retained as 
hard copy or reduced to microfilm, floppy disc, and so forth, depending 
upon the manufacturer's record retention procedure; provided, that in 
every case, all the information contained in the hard copy is retained.
    (c) The manufacturer must, upon request by the Administrator, submit 
the following information with regard to engine production:
    (1) Projected production for each engine configuration within each 
engine family for which certification is requested;
    (2) Number of engines, by configuration and assembly plant, 
scheduled for production for the time period designated in the request;
    (3) Number of engines, by configuration and by assembly plant, 
storage facility or port facility, scheduled to be stored at facilities 
for the time period designated in the request; and
    (4) Number of engines, by configuration and assembly plant, produced 
during the time period designated in the request that are complete for 
introduction into commerce.
    (d) Nothing in this section limits the Administrator's discretion in 
requiring the manufacturer to retain additional records or submit 
information not specifically required by this section.
    (e) All reports, submissions, notifications, and requests for 
approvals made under this subpart are addressed to: Director, Engine 
Programs and Compliance Division (6405-J), U.S. Environmental Protection 
Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57020, Oct. 23, 1998]



Sec. 89.506  Right of entry and access.

    (a) To allow the Administrator to determine whether a manufacturer 
is complying with the provisions of this subpart and a test order issued 
thereunder, EPA enforcement officers or EPA authorized representatives 
may enter during operating hours and upon presentation of credentials 
any of the following places:
    (1) Any facility where any engine to be introduced into commerce, 
including ports of entry, or any emission-related component is 
manufactured, assembled, or stored;
    (2) Any facility where any tests conducted pursuant to a test order 
or any procedures or activities connected with these tests are or were 
performed;
    (3) Any facility where any engine which is being tested, was tested, 
or will be tested is present; and
    (4) Any facility where any record or other document relating to any 
of the above is located.
    (b) Upon admission to any facility referred to in paragraph (a) of 
this section, EPA enforcement officers or EPA authorized representatives 
are authorized to perform the following inspection-related activities:
    (1) To inspect and monitor any aspects of engine manufacture, 
assembly, storage, testing and other procedures, and the facilities in 
which these procedures are conducted;
    (2) To inspect and monitor any aspect of engine test procedures or 
activities, including, but not limited to, engine selection, 
preparation, service accumulation, emission test cycles, and maintenance 
and verification of test equipment calibration;
    (3) To inspect and make copies of any records or documents related 
to the assembly, storage, selection, and testing

[[Page 130]]

of an engine in compliance with a test order; and
    (4) To inspect and photograph any part or aspect of any engine and 
any component used in the assembly thereof that is reasonably related to 
the purpose of the entry.
    (c) EPA enforcement officers or EPA authorized representatives are 
authorized to obtain reasonable assistance without cost from those in 
charge of a facility to help the officers perform any function listed in 
this subpart and they are authorized to request the recipient of a test 
order to make arrangements with those in charge of a facility operated 
for the manufacturer's benefit to furnish reasonable assistance without 
cost to EPA whether or not the recipient controls the facility.
    (1) Reasonable assistance includes, but is not limited to, clerical, 
copying, interpretation and translation services; the making available 
on an EPA enforcement officer's or EPA authorized representative's 
request of personnel of the facility being inspected during their 
working hours to inform the EPA enforcement officer or EPA authorized 
representative of how the facility operates and to answer the officer's 
or representative's questions; and the performance on request of 
emission tests on any engine which is being, has been, or will be used 
for SEA testing.
    (2) A manufacturer may be compelled to cause the personal appearance 
of any employee at such a facility before an EPA enforcement officer or 
EPA authorized representative by written request for his appearance, 
signed by the Assistant Administrator for Air and Radiation, served on 
the manufacturer. Any such employee who has been instructed by the 
manufacturer to appear will be entitled to be accompanied, represented, 
and advised by counsel.
    (d) EPA enforcement officers or EPA authorized representatives are 
authorized to seek a warrant or court order authorizing the EPA 
enforcement officers or EPA authorized representatives to conduct 
activities related to entry and access as authorized in this section, as 
appropriate, to execute the functions specified in this section. EPA 
enforcement officers or authorized representatives may proceed ex parte 
to obtain a warrant whether or not the EPA enforcement officers or EPA 
authorized representatives first attempted to seek permission of the 
recipient of the test order or the party in charge of the facilities in 
question to conduct activities related to entry and access as authorized 
in this section.
    (e) A recipient of a test order must permit an EPA enforcement 
officer(s) or EPA authorized representative(s) who presents a warrant or 
court order to conduct activities related to entry and access as 
authorized in this section and as described in the warrant or court 
order. The recipient must also cause those in charge of its facility or 
a facility operated for its benefit to permit entry and access as 
authorized in this section pursuant to a warrant or court order whether 
or not the recipient controls the facility. In the absence of a warrant 
or court order, an EPA enforcement officer(s) or EPA authorized 
representative(s) may conduct activities related to entry and access as 
authorized in this section only upon the consent of the recipient of the 
test order or the party in charge of the facilities in question.
    (f) It is not a violation of this part or the Clean Air Act for any 
person to refuse to permit an EPA enforcement officer(s) or EPA 
authorized representative(s) to conduct activities related to entry and 
access as authorized in this section if the officer(s) or 
representative(s) appears without a warrant or court order.
    (g) A manufacturer is responsible for locating its foreign testing 
and manufacturing facilities in jurisdictions where local law does not 
prohibit an EPA enforcement officer(s) or EPA authorized 
representative(s) from conducting the entry and access activities 
specified in this section. EPA will not attempt to make any inspections 
which it has been informed that local foreign law prohibits.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57020, Oct. 23, 1998]



Sec. 89.507  Sample selection.

    (a) Engines comprising a test sample will be selected at the 
location and in the manner specified in the test order. If a 
manufacturer determines that the test engines cannot be selected in the 
manner specified in the test order, an

[[Page 131]]

alternative selection procedure may be employed, provided the 
manufacturer requests approval of the alternative procedure prior to the 
start of test sample selection, and the Administrator approves the 
procedure.
    (b) The manufacturer must assemble the test engines of the family 
selected for testing using its normal mass production process for 
engines to be distributed into commerce. If, between the time the 
manufacturer is notified of a test order and the time the manufacturer 
finishes selecting test engines, the manufacturer implements any 
change(s) in its production processes, including quality control, which 
may reasonably be expected to affect the emissions of the engines 
selected, then the manufacturer must, during the audit, inform the 
Administrator of such changes. If the test engines are selected at a 
location where they do not have their operational and emission control 
systems installed, the test order will specify the manner and location 
for selection of components to complete assembly of the engines. The 
manufacturer must assemble these components onto the test engines using 
normal assembly and quality control procedures as documented by the 
manufacturer.
    (c) No quality control, testing, or assembly procedures will be used 
on the test engine or any portion thereof, including parts and 
subassemblies, that have not been or will not be used during the 
production and assembly of all other engines of that family, unless the 
Administrator approves the modification in assembly procedures pursuant 
to paragraph (b) of this section.
    (d) The test order may specify that an EPA enforcement officer(s) or 
authorized representative(s), rather than the manufacturer, select the 
test engines according to the method specified in the test order.
    (e) The order in which test engines are selected determines the 
order in which test results are to be used in applying the sampling plan 
in accordance with Sec. 89.510.
    (f) The manufacturer must keep on hand all untested engines, if any, 
comprising the test sample until a pass or fail decision is reached in 
accordance with Sec. 89.510(e). The manufacturer may ship any tested 
engine which has not failed the requirements as set forth in Sec. 
89.510(b). However, once the manufacturer ships any test engine, it 
relinquishes the prerogative to conduct retests as provided in Sec. 
89.508(i).

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.508  Test procedures.

    (a)(1) For nonroad engines subject to the provisions of this 
subpart, the prescribed test procedures are the nonroad engine 8-mode 
test procedure as described in subpart E of this part, the federal smoke 
test as described in part 86, subpart I of this chapter, and the 
particulate test procedure as adopted in the California Regulations for 
New 1996 and Later Heavy-Duty Off-Road Diesel Cycle Engines. This 
procedure is incorporated by reference. See Sec. 89.6.
    (2) The Administrator may, on the basis of a written application by 
a manufacturer, prescribe test procedures other than those specified in 
paragraph (a)(1) of this section for any nonroad engine he or she 
determines is not susceptible to satisfactory testing using the 
procedures specified in paragraph (a)(1) of this section.
    (b)(1) The manufacturer may not adjust, repair, prepare, or modify 
the engines selected for testing and may not perform any emission tests 
on engines selected for testing pursuant to the test order unless this 
adjustment, repair, preparation, modification, and/or tests are 
documented in the manufacturer's engine assembly and inspection 
procedures and are actually performed or unless these adjustments and/or 
tests are required or permitted under this subpart or are approved in 
advance by the Administrator.
    (2) The Administrator may adjust or cause to be adjusted any engine 
parameter which the Administrator has determined to be subject to 
adjustment for certification and Selective Enforcement Audit testing in 
accordance with Sec. 89.108, to any setting within the physically 
adjustable range of that parameter, as determined by the Administrator 
in accordance with Sec. 89.108, prior to the performance of any tests. 
However, if the idle speed parameter is one which the Administrator has 
determined to be subject to adjustment, the

[[Page 132]]

Administrator may not adjust it to any setting which causes a lower 
engine idle speed than would have been possible within the physically 
adjustable range of the idle speed parameter if the manufacturer had 
accumulated 125 hours of service on the engine under paragraph (c) of 
this section, all other parameters being identically adjusted for the 
purpose of the comparison. The manufacturer may be requested to supply 
information needed to establish an alternate minimum idle speed. The 
Administrator, in making or specifying these adjustments, may consider 
the effect of the deviation from the manufacturer's recommended setting 
on emission performance characteristics as well as the likelihood that 
similar settings will occur on in-use engines. In determining 
likelihood, the Administrator may consider factors such as, but not 
limited to, the effect of the adjustment on engine performance 
characteristics and surveillance information from similar in-use 
engines.
    (c) Service Accumulation. Prior to performing exhaust emission 
testing on an SEA test engine, the manufacturer may accumulate on each 
engine a number of hours of service equal to the greater of 125 hours or 
the number of hours the manufacturer accumulated during certification on 
the emission data engine corresponding to the family specified in the 
test order.
    (1) Service accumulation must be performed in a manner using good 
engineering judgment to obtain emission results representative of normal 
production engines. This service accumulation must be consistent with 
the new engine break-in instructions contained in the applicable owner's 
manual.
    (2) The manufacturer must accumulate service at a minimum rate of 16 
hours per engine during each 24-hour period, unless otherwise approved 
by the Administrator.
    (i) The first 24-hour period for service begins as soon as 
authorized checks, inspections, and preparations are completed on each 
engine.
    (ii) The minimum service or mileage accumulation rate does not apply 
on weekends or holidays.
    (iii) If the manufacturer's service or target is less than the 
minimum rate specified (16 hours per day), then the minimum daily 
accumulation rate is equal to the manufacturer's service target.
    (3) Service accumulation must be completed on a sufficient number of 
test engines during consecutive 24-hour periods to assure that the 
number of engines tested per day fulfills the requirements of paragraphs 
(g)(1) and (g)(2) of this section.
    (d) The manufacturer may not perform any maintenance on test engines 
after selection for testing, nor may the Administrator allow deletion of 
any engine from the test sequence, unless requested by the manufacturer 
and approved by the Administrator before any engine maintenance or 
deletion.
    (e) The manufacturer must expeditiously ship test engines from the 
point of selection to the test facility. If the test facility is not 
located at or in close proximity to the point of selection, the 
manufacturer must assure that test engines arrive at the test facility 
within 24 hours of selection. The Administrator may approve more time 
for shipment based upon a request by the manufacturer accompanied by a 
satisfactory justification.
    (f) If an engine cannot complete the service accumulation or an 
emission test because of a malfunction, the manufacturer may request 
that the Administrator authorize either the repair of that engine or its 
deletion from the test sequence.
    (g) Whenever a manufacturer conducts testing pursuant to a test 
order issued under this subpart, the manufacturer must notify the 
Administrator within one working day of receipt of the test order as to 
which test facility will be used to comply with the test order. If no 
test cells are available at a desired facility, the manufacturer must 
provide alternate testing capability satisfactory to the Administrator.
    (1) A manufacturer with projected nonroad engine sales for the 
United States market for the applicable year of 7,500 or greater must 
complete emission testing at a minimum rate of two engines per 24-hour 
period, including each voided test and each smoke test.
    (2) A manufacturer with projected nonroad engine sales for the 
United States market for the applicable year

[[Page 133]]

of less than 7,500 must complete emission testing at a minimum rate of 
one engine per 24-hour period, including each voided test and each smoke 
test.
    (3) The Administrator may approve a lower daily rate of emission 
testing based upon a request by a manufacturer accompanied by a 
satisfactory justification.
    (h) The manufacturer must perform test engine selection, shipping, 
preparation, service accumulation, and testing in such a manner as to 
assure that the audit is performed in an expeditious manner.
    (i) Retesting. (1) The manufacturer may retest any engines tested 
during a Selective Enforcement Audit once a fail decision for the audit 
has been reached in accordance with Sec. 89.510(e).
    (2) The Administrator may approve retesting at other times based 
upon a request by the manufacturer accompanied by a satisfactory 
justification.
    (3) The manufacturer may retest each engine a total of three times. 
The manufacturer must test each engine or vehicle the same number of 
times. The manufacturer may accumulate additional service before 
conducting a retest, subject to the provisions of paragraph (c) of this 
section.
    (j) A manufacturer must test engines with the test procedure 
specified in subpart E of this part to demonstrate compliance with the 
exhaust emission standard (or applicable FEL) for oxides of nitrogen. If 
alternate procedures were used in certification pursuant to Sec. 
89.114, then those alternate procedures must be used.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.509  Calculation and reporting of test results.

    (a) Initial test results are calculated following the applicable 
test procedure specified in Sec. 89.508(a). The manufacturer rounds 
these results, in accordance with ASTM E29-93a, to the number of decimal 
places contained in the applicable emission standard expressed to one 
additional significant figure. This procedure has been incorporated by 
reference. See Sec. 89.6.
    (b) Final test results are calculated by summing the initial test 
results derived in paragraph (a) of this section for each test engine, 
dividing by the number of tests conducted on the engine, and rounding in 
accordance with the procedure specified in paragraph (a) of this section 
to the same number of decimal places contained in the applicable 
standard expressed to one additional significant figure.
    (c) Within five working days after completion of testing of all 
engines pursuant to a test order, the manufacturer must submit to the 
Administrator a report which includes the following information:
    (1) The location and description of the manufacturer's exhaust 
emission test facilities which were utilized to conduct testing reported 
pursuant to this section;
    (2) The applicable standards and/or FEL against which the engines 
were tested;
    (3) A description of the engine and its associated emission-related 
component selection method used;
    (4) For each test conducted;
    (i) Test engine description, including:
    (A) Configuration and engine family identification;
    (B) Year, make, and build date;
    (C) Engine identification number; and
    (D) Number of hours of service accumulated on engine prior to 
testing;
    (ii) Location where service accumulation was conducted and 
description of accumulation procedure and schedule;
    (iii) Test number, date, test procedure used, initial test results 
before and after rounding, and final test results for all exhaust 
emission tests, whether valid or invalid, and the reason for 
invalidation, if applicable;
    (iv) A complete description of any modification, repair, 
preparation, maintenance, and/or testing which was performed on the test 
engine and has not been reported pursuant to any other paragraph of this 
subpart and will not be performed on all other production engines;
    (v) Where an engine was deleted from the test sequence by 
authorization of the Administrator, the reason for the deletion;
    (vi) Any other information the Administrator may request relevant to 
the determination as to whether the new engines being manufactured by 
the

[[Page 134]]

manufacturer do in fact conform with the regulations with respect to 
which the certificate of conformity was issued; and
    (5) The following statement and endorsement:

    This report is submitted pursuant to sections 213 and 208 of the 
Clean Air Act. This Selective Enforcement Audit was conducted in 
complete conformance with all applicable regulations under 40 CFR part 
89 et seq. and the conditions of the test order. No emission-related 
changes to production processes or quality control procedures for the 
engine family tested have been made between receipt of the test order 
and conclusion of the audit. All data and information reported herein 
is, to the best of (Company Name) knowledge, true and accurate. I am 
aware of the penalties associated with violations of the Clean Air Act 
and the regulations thereunder. (Authorized Company Representative.)

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57020, Oct. 23, 1998]



Sec. 89.510  Compliance with acceptable quality level and passing and 
failing criteria for selective enforcement audits.

    (a) The prescribed acceptable quality level is 40 percent.
    (b) A failed engine is one whose final test results pursuant to 
Sec. 89.509(b), for one or more of the applicable pollutants, exceed 
the applicable emission standard or family emission level.
    (c) The manufacturer must test engines comprising the test sample 
until a pass decision is reached for all pollutants or a fail decision 
is reached for one pollutant. A pass decision is reached when the 
cumulative number of failed engines, as defined in paragraph (b) of this 
section, for each pollutant is less than or equal to the pass decision 
number, as defined in paragraph (d) of this section, appropriate to the 
cumulative number of engines tested. A fail decision is reached when the 
cumulative number of failed engines for one or more pollutants is 
greater than or equal to the fail decision number, as defined in 
paragraph (d) of this section, appropriate to the cumulative number of 
engines tested.
    (d) The pass and fail decision numbers associated with the 
cumulative number of engines tested are determined by using the tables 
in appendix A to this subpart, ``Sampling Plans for Selective 
Enforcement Auditing of Nonroad Engines,'' appropriate to the projected 
sales as made by the manufacturer in its report to EPA under Sec. 
89.505(c)(1). In the tables in appendix A to this subpart, sampling plan 
``stage'' refers to the cumulative number of engines tested. Once a pass 
or fail decision has been made for a particular pollutant, the number of 
engines with final test results exceeding the emission standard for that 
pollutant shall not be considered any further for the purposes of the 
audit.
    (e) Passing or failing of an SEA occurs when the decision is made on 
the last engine required to make a decision under paragraph (c) of this 
section.
    (f) The Administrator may terminate testing earlier than required in 
paragraph (c) of this section.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.511  Suspension and revocation of certificates of conformity.

    (a) The certificate of conformity is suspended with respect to any 
engine failing pursuant to paragraph (b) of Sec. 89.510 effective from 
the time that testing of that engine is completed.
    (b) The Administrator may suspend the certificate of conformity for 
a family which does not pass an SEA, pursuant to paragraph Sec. 
89.510(c), based on the first test or all tests conducted on each 
engine. This suspension will not occur before ten days after failure of 
the audit, unless the manufacturer requests an earlier suspension.
    (c) If the results of testing pursuant to these regulations indicate 
that engines of a particular family produced at one plant of a 
manufacturer do not conform to the regulations with respect to which the 
certificate of conformity was issued, the Administrator may suspend the 
certificate of conformity with respect to that family for engines 
manufactured by the manufacturer at all other plants.
    (d) Notwithstanding the fact that engines described in the 
application may be covered by a certificate of conformity, the 
Administrator may suspend such certificate immediately in whole or in 
part if the Administrator finds any one of the following infractions to 
be substantial:

[[Page 135]]

    (1) The manufacturer refuses to comply with the provisions of a test 
order issued by the Administrator under Sec. 89.503.
    (2) The manufacturer refuses to comply with any of the requirements 
of this subpart.
    (3) The manufacturer submits false or incomplete information in any 
report or information provided to the Administrator under this subpart.
    (4) The manufacturer renders inaccurate any test data submitted 
under this subpart.
    (5) An EPA enforcement officer(s) or EPA authorized 
representative(s) is denied the opportunity to conduct activities 
related to entry and access as authorized in this subpart and a warrant 
or court order is presented to the manufacturer or the party in charge 
of a facility in question.
    (6) An EPA enforcement officer(s) or EPA authorized 
representative(s) is unable to conduct activities related to entry and 
access as authorized in Sec. 89.506 because a manufacturer has located 
a facility in a foreign jurisdiction where local law prohibits those 
activities.
    (e) The Administrator must notify the manufacturer in writing of any 
suspension or revocation of a certificate of conformity in whole or in 
part; a suspension or revocation is effective upon receipt of the 
notification or ten days, except that the certificate is immediately 
suspended with respect to any failed engines as provided for in 
paragraph (a) of this section.
    (f) The Administrator may revoke a certificate of conformity for a 
family when the certificate has been suspended pursuant to paragraph (b) 
or (c) of this section if the proposed remedy for the nonconformity, as 
reported by the manufacturer to the Administrator, is one requiring a 
design change or changes to the engine and/or emission control system as 
described in the application for certification of the affected family.
    (g) Once a certificate has been suspended for a failed engine, as 
provided for in paragraph (a) of this section, the manufacturer must 
take the following actions before the certificate is reinstated for that 
failed engine:
    (1) Remedy the nonconformity.
    (2) Demonstrate that the engine conforms to applicable standards or 
family emission levels by retesting the engine in accordance with these 
regulations.
    (3) Submit a written report to the Administrator, after successful 
completion of testing on the failed engine, which contains a description 
of the remedy and test results for each engine in addition to other 
information that may be required by this part.
    (h) Once a certificate for a failed family has been suspended 
pursuant to paragraph (b) or (c) of this section, the manufacturer must 
take the following actions before the Administrator will consider 
reinstating the certificate:
    (1) Submit a written report to the Administrator which identifies 
the reason for the noncompliance of the engines, describes the proposed 
remedy, including a description of any proposed quality control and/or 
quality assurance measures to be taken by the manufacturer to prevent 
future occurrences of the problem, and states the date on which the 
remedies will be implemented.
    (2) Demonstrate that the engine family for which the certificate of 
conformity has been suspended does in fact comply with these regulations 
by testing engines selected from normal production runs of that engine 
family, at the plant(s), port facility(ies) or associated storage 
facility(ies) specified by the Administrator, in accordance with the 
conditions specified in the initial test order. If the manufacturer 
elects to continue testing individual engines after suspension of a 
certificate, the certificate is reinstated for an engine actually 
determined to be in conformance with the applicable standards or family 
emission levels through testing in accordance with the applicable test 
procedures, provided that the Administrator has not revoked the 
certificate pursuant to paragraph (f) of this section.
    (i) Once the certificate for a family has been revoked under 
paragraph (f) of this section and the manufacturer desires to continue 
introduction into commerce of a modified version of that family, the 
following actions must be taken before the Administrator may consider 
issuing a certificate for that modified family:

[[Page 136]]

    (1) If the Administrator determines that the proposed change(s) in 
engine design may have an effect on emission performance deterioration, 
the Administrator will notify the manufacturer, within five working days 
after receipt of the report in paragraph (g) of this section, whether 
subsequent testing under this subpart is sufficient to evaluate the 
proposed change or changes or whether additional testing is required; 
and
    (2) After implementing the change or changes intended to remedy the 
nonconformity, the manufacturer must demonstrate that the modified 
engine family does in fact conform with these regulations by testing 
engines selected from normal production runs of that modified engine 
family in accordance with the conditions specified in the initial test 
order. If the subsequent audit results in passing of the audit, the 
Administrator will reissue the certificate or issue a new certificate, 
as the case may be, to include that family, provided that the 
manufacturer has satisfied the testing requirements of paragraph (i)(1) 
of this section. If the subsequent audit is failed, the revocation 
remains in effect. Any design change approvals under this subpart are 
limited to the family affected by the test order.
    (j) At any time subsequent to an initial suspension of a certificate 
of conformity for a test engine pursuant to paragraph (a) of this 
section, but not later than 15 days (or such other period as may be 
allowed by the Administrator) after notification of the Administrator's 
decision to suspend or revoke a certificate of conformity in whole or in 
part pursuant to paragraph (b), (c), or (f) of this section, a 
manufacturer may request a hearing as to whether the tests have been 
properly conducted or any sampling methods have been properly applied.
    (k) Any suspension of a certificate of conformity under paragraph 
(d) of this section:
    (1) will be in writing and will include the offer of an opportunity 
for a hearing conducted in accordance with Sec. Sec. 89.512, 89.513, 
and 89.514 and
    (2) need not apply to engines no longer in the hands of the 
manufacturer.
    (l) After the Administrator suspends or revokes a certificate of 
conformity pursuant to this section and prior to the commencement of a 
hearing under Sec. 89.512, if the manufacturer demonstrates to the 
Administrator's satisfaction that the decision to suspend, revoke, or 
void the certificate was based on erroneous information, the 
Administrator will reinstate the certificate.
    (m) To permit a manufacturer to avoid storing non-test engines when 
conducting an audit of a family subsequent to a failure of an SEA and 
while reauditing of the failed family, it may request that the 
Administrator conditionally reinstate the certificate for that family. 
The Administrator may reinstate the certificate subject to the condition 
that the manufacturer consents to recall all engines of that family 
produced from the time the certificate is conditionally reinstated if 
the family fails the subsequent audit at the level of the standard and 
to remedy any nonconformity at no expense to the owner.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.512  Request for public hearing.

    (a) If the manufacturer disagrees with the Administrator's decision 
under Sec. 89.511 (b), (c), (d), or (f) to suspend or revoke a 
certificate or disputes the basis for an automatic suspension pursuant 
to Sec. 89.511 (a), the manufacturer may request a public hearing.
    (b) The manufacturer's request must be filed with the Administrator 
not later than 15 days after the Administrator's notification of the 
decision to suspend or revoke, unless otherwise specified by the 
Administrator. The manufacturer must simultaneously serve two copies of 
this request upon the Director of the Engine Programs and Compliance 
Division and file two copies with the Hearing Clerk of the Agency. 
Failure of the manufacturer to request a hearing within the time 
provided constitutes a waiver of the right to a hearing. Subsequent to 
the expiration of the period for requesting a hearing as of right, the 
Administrator may, at her or his discretion and for good cause shown, 
grant the manufacturer a

[[Page 137]]

hearing to contest the suspension or revocation.
    (c) The manufacturer's request for a public hearing must include:
    (1) A statement as to which engine configuration(s) within a family 
is to be the subject of the hearing;
    (2) A concise statement of the issues to be raised by the 
manufacturer at the hearing, except that in the case of the hearing 
requested under Sec. 89.511(j), the hearing is restricted to the 
following issues:
    (i) Whether tests have been properly conducted, specifically, 
whether the tests were conducted in accordance with applicable 
regulations under this part and whether test equipment was properly 
calibrated and functioning;
    (ii) Whether sampling plans have been properly applied, 
specifically, whether sampling procedures specified in appendix A of 
this subpart were followed and whether there exists a basis for 
distinguishing engines produced at plants other than the one from which 
engines were selected for testing which would invalidate the 
Administrator's decision under Sec. 89.511(c);
    (3) A statement specifying reasons why the manufacturer believes it 
will prevail on the merits of each of the issues raised; and
    (4) A summary of the evidence which supports the manufacturer's 
position on each of the issues raised.
    (d) A copy of all requests for public hearings will be kept on file 
in the Office of the Hearing Clerk and will be made available to the 
public during Agency business hours.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57020, Oct. 23, 1998]



Sec. 89.513  Administrative procedures for public hearing.

    (a) The Presiding Officer is an Administrative Law Judge appointed 
pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930 as amended).
    (b) The Judicial Officer is an officer or employee of the Agency 
appointed as a Judicial Officer by the Administrator, pursuant to this 
section, who meets the qualifications and performs functions as follows:
    (1) Qualifications. A Judicial Officer may be a permanent or 
temporary employee of the Agency who performs other duties for the 
Agency. The Judicial Officer may not be employed by the Office of 
Enforcement or have any connection with the preparation or presentation 
of evidence for a hearing held pursuant to this subpart. The Judicial 
Officer must be a graduate of an accredited law school and a member in 
good standing of a recognized Bar Association of any state or the 
District of Columbia.
    (2) Functions. The Administrator may consult with the Judicial 
Officer or delegate all or part of the Administrator's authority to act 
in a given case under this section to a Judicial Officer, provided that 
this delegation does not preclude the Judicial Officer from referring 
any motion or case to the Administrator when the Judicial Officer 
determines such referral to be appropriate.
    (c) For the purposes of this section, one or more Judicial Officers 
may be designated. As work requires, a Judicial Officer may be 
designated to act for the purposes of a particular case.
    (d) Summary decision. (1) In the case of a hearing requested under 
Sec. 89.511(j), when it clearly appears from the data and other 
information contained in the request for a hearing that no genuine and 
substantial question of fact or law exists with respect to the issues 
specified in Sec. 89.512(c)(2), the Administrator may enter an order 
denying the request for a hearing and reaffirming the original decision 
to suspend or revoke a certificate of conformity.
    (2) In the case of a hearing requested under Sec. 89.512 to 
challenge a suspension of a certificate of conformity for the reasons 
specified in Sec. 89.511(d), when it clearly appears from the data and 
other information contained in the request for the hearing that no 
genuine and substantial question of fact or law exists with respect to 
the issue of whether the refusal to comply with the provisions of a test 
order or any other requirement of Sec. 89.503 was caused by conditions 
and circumstances outside the control of the manufacturer, the 
Administrator may enter an order denying the request for a hearing and 
suspending the certificate of conformity.
    (3) Any order issued under paragraph (d)(1) or (d)(2) of this 
section has the

[[Page 138]]

force and effect of a final decision of the Administrator, as issued 
pursuant to Sec. 89.515.
    (4) If the Administrator determines that a genuine and substantial 
question of fact or law does exist with respect to any of the issues 
referred to in paragraphs (d)(1) and (d)(2) of this section, the 
Administrator will grant the request for a hearing and publish a notice 
of public hearing in the Federal Register or by such other means as the 
Administrator finds appropriate to provide notice to the public.
    (e) Filing and service. (1) An original and two copies of all 
documents or papers required or permitted to be filed pursuant to this 
section and Sec. 89.512(c) must be filed with the Hearing Clerk of the 
Agency. Filing is considered timely if mailed, as determined by the 
postmark, to the Hearing Clerk within the time allowed by this section 
and Sec. 89.512(b). If filing is to be accomplished by mailing, the 
documents must be sent to the address set forth in the notice of public 
hearing referred to in paragraph (d)(4) of this section.
    (2) To the maximum extent possible, testimony will be presented in 
written form. Copies of written testimony will be served upon all 
parties as soon as practicable prior to the start of the hearing. A 
certificate of service will be provided on or accompany each document or 
paper filed with the Hearing Clerk. Documents to be served upon the 
Director of the Engine Programs and Compliance Division must be sent by 
registered mail to: Director, Engine Programs and Compliance Division 
(6405-J), U.S. Environmental Protection Agency, 1200 Pennsylvania Ave., 
NW., Washington, DC 20460. Service by registered mail is complete upon 
mailing.
    (f) Computation of time. (1) In computing any period of time 
prescribed or allowed by this section, except as otherwise provided, the 
day of the act or event from which the designated period of time begins 
to run is not included. Saturdays, Sundays, and federal legal holidays 
are included in computing the period allowed for the filing of any 
document or paper, except that when the period expires on a Saturday, 
Sunday, or federal legal holiday, the period is extended to include the 
next following business day.
    (2) A prescribed period of time within which a party is required or 
permitted to do an act is computed from the time of service, except that 
when service is accomplished by mail, three days will be added to the 
prescribed period.
    (g) Consolidation. The Administrator or the Presiding Officer in his 
discretion may consolidate two or more proceedings to be held under this 
section for the purpose of resolving one or more issues whenever it 
appears that consolidation will expedite or simplify consideration of 
these issues. Consolidation does not affect the right of any party to 
raise issues that could have been raised if consolidation had not 
occurred.
    (h) Hearing date. To the extent possible hearings under Sec. 89.512 
will be scheduled to commence within 14 days of receipt of the 
application in Sec. 89.512.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57020, Oct. 23, 1998]



Sec. 89.514  Hearing procedures.

    The procedures provided in Sec. 86.1014-84 (i) to (s) apply for 
hearings requested pursuant to Sec. 89.512, suspension, revocation, or 
voiding of a certificate of conformity.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.515  Appeal of hearing decision.

    The procedures provided in Sec. 86.1014-84 (t) to (aa) apply for 
appeals filed with respect to hearings held pursuant to Sec. 89.514.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.516  Treatment of confidential information.

    The provisions for treatment of confidential information as 
described in Sec. 89.7 apply.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]

[[Page 139]]

    Appendix A to Subpart F of Part 89--Sampling Plans for Selective 
                 Enforcement Auditing of Nonroad Engines

                   Table 1--Sampling Plan Code Letter
------------------------------------------------------------------------
         Annual engine family sales                   Code letter
------------------------------------------------------------------------
20-50.......................................  AA1
20-99.......................................  A
100-299.....................................  B
300-299.....................................  C
500 or greater..............................  D
------------------------------------------------------------------------
\1\ A manufacturer may optionally use either the sampling plan for code
  letter ``AA'' or sampling plan for code letter ``A'' for Selective
  Enforcement Audits of engine families with annual sales between 20 and
  50 engines. Additionally, the manufacturer may switch between these
  plans during the audit.


              Table 2--Sampling Plan for Code Letter ``AA''
                      [Sample inspection criteria]
------------------------------------------------------------------------
                     Stage                        Pass No.     Fail No.
------------------------------------------------------------------------
1.............................................        (\1\)        (\2\)
2.............................................        (\1\)        (\2\)
3.............................................            0        (\2\)
4.............................................            0        (\2\)
5.............................................            1            5
6.............................................            1            6
7.............................................            2            6
8.............................................            2            7
9.............................................            3            7
10............................................            3            8
11............................................            4            8
12............................................            4            9
13............................................            5            9
14............................................            5           10
15............................................            6           10
16............................................            6           10
17............................................            7           10
18............................................            8           10
19............................................            8           10
20............................................            9           10
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 3--Sampling Plan for Code Letter ``A''
                      [Sample inspection criteria]
------------------------------------------------------------------------
                     Stage                        Pass No.     Fail No.
------------------------------------------------------------------------
1.............................................        (\1\)        (\2\)
2.............................................        (\1\)        (\2\)
3.............................................        (\1\)        (\2\)
4.............................................            0        (\2\)
5.............................................            0        (\2\)
6.............................................            1            6
7.............................................            1            7
8.............................................            2            7
9.............................................            2            8
10............................................            3            8
11............................................            3            8
12............................................            4            9
13............................................            5           10
14............................................            5           10
15............................................            6           11
16............................................            6           11
17............................................            7           12
18............................................            7           12
19............................................            8           13
20............................................            8           13
21............................................            9           14
22............................................           10           14
23............................................           10           15
24............................................           11           15
25............................................           11           16
26............................................           12           16
27............................................           12           17
28............................................           13           17
29............................................           14           17
30............................................           16           17
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 4--Sampling Plan for Code Letter ``B''
                      [Sample Inspection Criteria]
------------------------------------------------------------------------
                     Stage                        Pass No.     Fail No.
------------------------------------------------------------------------
1.............................................        (\1\)        (\2\)
2.............................................        (\1\)        (\2\)
3.............................................        (\1\)        (\2\)
4.............................................        (\1\)        (\2\)
5.............................................            0        (\2\)
6.............................................            1            6
7.............................................            1            7
8.............................................            2            7
9.............................................            2            8
10............................................            3            8
11............................................            3            9
12............................................            4            9
13............................................            4           10
14............................................            5           10
15............................................            5           11
16............................................            6           12
17............................................            6           12
18............................................            7           13
19............................................            8           13
20............................................            8           14
21............................................            9           14
22............................................            9           15
23............................................           10           15
24............................................           10           16
25............................................           11           16
26............................................           11           17
27............................................           12           17
28............................................           12           18
29............................................           13           18
30............................................           13           19
31............................................           14           19
32............................................           14           20
33............................................           15           20
34............................................           16           21
35............................................           16           21
36............................................           17           22
37............................................           17           22
38............................................           18           22
39............................................           18           22
40............................................           21          22
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


[[Page 140]]


              Table 5--Sampling Plan for Code Letter ``C''
                      [Sample Inspection Criteria]
------------------------------------------------------------------------
                     Stage                        Pass No.     Fail No.
------------------------------------------------------------------------
1.............................................        (\1\)        (\2\)
2.............................................        (\1\)        (\2\)
3.............................................        (\1\)        (\2\)
4.............................................        (\1\)        (\2\)
5.............................................            0        (\2\)
6.............................................            0            6
7.............................................            1            7
8.............................................            2            7
9.............................................            2            8
10............................................            3            9
11............................................            3            9
12............................................            4           10
13............................................            4           10
14............................................            5           11
15............................................            5           11
16............................................            6           12
17............................................            6           12
18............................................            7           13
19............................................            7           13
20............................................            8           14
21............................................            8           14
22............................................            9           15
23............................................           10           15
24............................................           10           16
25............................................           11           16
26............................................           11           17
27............................................           12           17
28............................................           12           18
29............................................           13           18
30............................................           13           19
31............................................           14           19
32............................................           14           20
33............................................           15           20
34............................................           15           21
35............................................           16           21
36............................................           16           22
37............................................           17           22
38............................................           18           23
39............................................           18           23
40............................................           19           24
41............................................           19           24
42............................................           20           25
43............................................           20           25
44............................................           21           26
45............................................           21           27
46............................................           22           27
47............................................           22           27
48............................................           23           27
49............................................           23           27
50............................................           26          27
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 6--Sampling Plan for Code Letter ``D''
                      [Sample Inspection Criteria]
------------------------------------------------------------------------
                     Stage                        Pass No.     Fail No.
------------------------------------------------------------------------
1.............................................        (\1\)        (\2\)
2.............................................        (\1\)        (\2\)
3.............................................        (\1\)        (\2\)
4.............................................        (\1\)        (\2\)
5.............................................            0        (\2\)
6.............................................            0            6
7.............................................            1            7
8.............................................            2            8
9.............................................            2            8
10............................................            3            9
11............................................            3            9
12............................................            4           10
13............................................            4           10
14............................................            5           11
15............................................            5           11
16............................................            6           12
17............................................            6           12
18............................................            7           13
19............................................            7           13
20............................................            8           14
21............................................            8           14
22............................................            9           15
23............................................            9           15
24............................................           10           16
25............................................           11           16
26............................................           11           17
27............................................           12           17
28............................................           12           18
29............................................           13           19
30............................................           13           19
31............................................           14           20
32............................................           14           20
33............................................           15           21
34............................................           15           21
35............................................           16           22
36............................................           16           22
37............................................           17           23
38............................................           17           23
39............................................           18           24
40............................................           18           24
41............................................           19           25
42............................................           19           26
43............................................           20           26
44............................................           21           27
45............................................           21           27
46............................................           22           28
47............................................           22           28
48............................................           23           29
49............................................           23           29
50............................................           24           30
51............................................           24           30
52............................................           25           31
53............................................           25           31
54............................................           26           32
55............................................           26           32
56............................................           27           33
57............................................           27           33
58............................................           28           33
59............................................           28           33
60............................................           32          33
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.



         Subpart G_Importation of Nonconforming Nonroad Engines



Sec. 89.601  Applicability.

    (a) Except where otherwise indicated, this subpart is applicable to 
nonroad engines for which the Administrator has promulgated regulations 
under this part prescribing emission standards and nonroad vehicles and 
equipment containing such nonroad engines that

[[Page 141]]

are offered for importation or imported into the United States, but 
which engines, at the time of conditional importation, are not covered 
by certificates of conformity issued under section 213 and section 
206(a) of the Clean Air Act as amended (that is, which are nonconforming 
nonroad engines as defined in Sec. 89.602), and this part. Compliance 
with regulations under this subpart does not relieve any person or 
entity from compliance with other applicable provisions of the Clean Air 
Act.
    (b) Regulations prescribing further procedures for the importation 
of nonroad engines and nonroad vehicles and equipment into the customs 
territory of the United States, as defined in 19 U.S.C. 1202, are set 
forth in U.S. Bureau of Customs regulations.
    (c) For the purposes of this subpart, the term ``nonroad engine'' 
includes all nonroad engines incorporated into nonroad equipment or 
nonroad vehicles at the time they are imported or offered for import 
into the United States.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.602  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart.
    Certificate of conformity. The document issued by the Administrator 
under section 213 and section 206(a) of the Act.
    Currently valid certificate of conformity. A certificate of 
conformity for which the current date is within the effective period as 
specified on the certificate of conformity, and which has not been 
withdrawn, superseded, voided, suspended, revoked, or otherwise rendered 
invalid.
    Fifteen working day hold period. The period of time between a 
request for final admission and the automatic granting of final 
admission (unless EPA intervenes) for a nonconforming nonroad engine 
conditionally imported pursuant to Sec. 89.605 or Sec. 89.609. Day one 
of the hold period is the first working day (see definition for 
``working day'' in this section) after the Engine Programs and 
Compliance Division of EPA receives a complete and valid application for 
final admission.
    Independent commercial importer (ICI). An importer who is not an 
original engine manufacturer (OEM) (see definition below), but is the 
entity in whose name a certificate of conformity for a class of nonroad 
engines has been issued.
    Model year for imported engines. The manufacturer's annual 
production period (as determined by the Administrator) which includes 
January 1 of the calendar year; provided, that if the manufacturer has 
no annual production period, the term ``model year'' means the calendar 
year in which a nonroad engine is modified. An independent commercial 
importer (ICI) is deemed to have produced a nonroad engine when the ICI 
has modified (including labeling) the nonconforming nonroad engine to 
meet applicable emission requirements.
    Nonconforming nonroad engine. A nonroad engine which is not covered 
by a certificate of conformity prior to final or conditional admission 
(or for which such coverage has not been adequately demonstrated to EPA) 
and which has not been finally admitted into the United States under the 
provisions of Sec. 89.605 or Sec. 89.609.
    Original engine manufacturer (OEM). The entity which originally 
manufactured the nonroad engine.
    Original production (OP) year. The calendar year in which the 
nonroad engine was originally produced by the OEM.
    Original production (OP) years old. The age of a nonroad engine as 
determined by subtracting the original production year of the nonroad 
engine from the calendar year of importation.
    Production changes. Those changes in nonroad engine configuration, 
equipment, or calibration which are made by an OEM or ICI in the course 
of nonroad engine production and required to be reported under Sec. 
89.123.
    United States. United States includes the customs territory of the 
United States as defined in 19 U.S.C. 1202, and the Virgin Islands, 
Guam, American Samoa, and the Commonwealth of the Northern Mariana 
Islands.
    Useful life. A period of time as specified in subpart B of this part 
which for a nonconforming nonroad engine begins at the time of resale 
(for a nonroad engine owned by the ICI at the

[[Page 142]]

time of importation) or release to the owner (for a nonroad engine not 
owned by the ICI at the time of importation) of the nonroad engine by 
the ICI after modification and/or testing pursuant to Sec. 89.605 or 
Sec. 89.609.
    Working day. Any day on which federal government offices are open 
for normal business. Saturdays, Sundays, and official federal holidays 
are not working days.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57021, Oct. 23, 1998]



Sec. 89.603  General requirements for importation of nonconforming 
nonroad engines.

    (a) A nonconforming nonroad engine offered for importation into the 
United States is to be imported only by an Independent Commercial 
Importer (ICI) who is a holder of a currently valid certificate of 
conformity unless an exemption or exclusion is granted by the 
Administrator under Sec. 89.611 of this subpart. For a nonroad engine 
imported pursuant to Sec. 89.605, the ICI must hold a currently valid 
certificate of conformity for that specific nonroad engine model.
    (b) Any nonroad engine imported into the United States must have a 
legible unique engine identification number permanently affixed to or 
engraved on the engine.
    (c) Final admission may not be granted unless:
    (1) The nonroad engine is covered by a certificate of conformity 
issued under subpart B of this part in the name of the ICI and the ICI 
has complied with all requirements of Sec. 89.605; or
    (2) The nonroad engine is modified and emission tested in accordance 
with the provisions of Sec. 89.609 and the ICI has complied with all 
other requirements of Sec. 89.609; or
    (3) The nonroad engine is exempted or excluded under Sec. 89.611.
    (d) The ICI must submit to the Engine Programs and Compliance 
Division of EPA a copy of all approved applications for certification 
used to obtain certificates of conformity for the purpose of importing 
nonconforming nonroad engines pursuant to Sec. 89.605 or Sec. 89.609. 
In addition, the ICI must submit to the Engine Programs and Compliance 
Division a copy of all approved production changes implemented pursuant 
to Sec. 89.605 or subpart B of this part. Documentation submitted 
pursuant to this paragraph (d) must be provided to the Engine Programs 
and Compliance Division within 10 working days of approval of the 
certification application (or production change) by EPA.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57021, Oct. 23, 1998]



Sec. 89.604  Conditional admission.

    (a) A nonroad engine offered for importation under Sec. 89.605 or 
Sec. 89.609 may be conditionally admitted into the United States. These 
engines are refused final admission, unless at the time of conditional 
admission the importer has submitted to the Administrator a written 
report that the subject nonroad engine has been permitted conditional 
admission pending EPA approval of its application for final admission 
under Sec. 89.605 or Sec. 89.609. This written report is to contain 
the following:
    (1) Identification of the importer of the nonroad engine and the 
importer's address, telephone number, and taxpayer identification 
number;
    (2) Identification of the nonroad engine owner, the owner's address, 
telephone number, and taxpayer identification number;
    (3) Identification of the nonroad engine including make, model, 
identification number, and original production year;
    (4) Information indicating under what provision of these regulations 
the nonroad engine is to be imported;
    (5) Identification of the place where the subject nonroad engine is 
to be stored until EPA approval of the importer's application to the 
Administrator for final admission;
    (6) Authorization for EPA enforcement officers to conduct 
inspections or testing otherwise permitted by the Act or regulations 
thereunder;
    (7) Identification of the Independent Commercial Importer's (ICI) 
certificate of conformity that permits the ICI to import that nonroad 
engine (for importation under Sec. 89.605 or Sec. 89.609); and

[[Page 143]]

    (8) Such other information as is deemed necessary by the 
Administrator.
    (b) EPA will not require a U.S. Customs Service bond for a 
nonconforming nonroad engine which is imported under Sec. 89.605 or 
Sec. 89.609. The period of conditional admission may not exceed 120 
days. Nonroad engines imported under Sec. 89.605 or Sec. 89.609 may 
not be operated during the period of conditional admission except for 
that operation necessary to comply with the requirements of this 
subpart. During the period of conditional admission applicable to Sec. 
89.605 or Sec. 89.609, the importer must store the nonroad engine at a 
location where the Administrator has reasonable access to the nonroad 
engine for inspection.
    (c) During the period of conditional admission under Sec. 89.605 or 
Sec. 89.609, an ICI may transfer responsibility of a nonroad engine to 
another qualified ICI for the purposes of complying with this subpart.
    (1) The transferee ICI must be a holder of a currently valid 
certificate of conformity for the specific nonroad engine being 
transferred or be authorized to import the nonroad engine pursuant to 
Sec. 89.609 as of the transfer date. The transferee ICI must comply 
with all the requirements of Sec. 89.603, Sec. 89.604, and either 
Sec. 89.605 or Sec. 89.609, as applicable.
    (2) For the purpose of this subpart, the transferee ICI has 
``imported'' the nonroad engine as of the transfer date as designated in 
a written record that is signed by both ICIs.
    (3) The ICI that originally imported the nonroad engine is 
responsible for all requirements of this subpart from the actual date of 
importation until the date of transfer as designated in the written 
record. The transferee ICI is responsible for all requirements of this 
subpart beginning on the date of transfer.
    (4) A copy of the written record is to be submitted to the Engine 
Programs and Compliance Division of EPA within five working days of the 
transfer date.
    (d) Notwithstanding any other requirement of this subpart or U.S. 
Customs Service regulations, an ICI may also assume responsibility for 
the modification and testing of a nonconforming nonroad engine which was 
previously imported by another party. The ICI must be a holder of a 
currently valid certificate of conformity for that specific nonroad 
engine or authorized to import it pursuant to Sec. 89.609 at the time 
of assuming such responsibility. The ICI must comply with all the 
requirements of Sec. 89.603, Sec. 89.604, and either Sec. 89.605 or 
Sec. 89.609, as applicable. For the purposes of this subpart, the ICI 
has ``imported'' the nonroad engine as of the date the ICI assumes 
responsibility for the modification and testing of the nonroad engine. 
The ICI must submit written notification to the Engine Programs and 
Compliance Division of EPA within 10 working days of the assumption of 
that responsibility.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57021, Oct. 23, 1998]



Sec. 89.605  Final admission of certified nonroad engines.

    (a) A nonroad engine may be finally admitted into the United States 
upon approval of the ICI's application to the Administrator. The 
application is made by completing EPA forms in accordance with EPA 
instructions. The application contains:
    (1) The information required in Sec. 89.604(a);
    (2) Information demonstrating that the nonroad engine has been 
modified in accordance with a valid certificate of conformity. 
Demonstration is made in one of the following ways:
    (i) The ICI attests that the nonroad engine has been modified in 
accordance with the provisions of the ICI's certificate of conformity; 
presents to EPA a statement written by the applicable Original Engine 
Manufacturer that the Original Engine Manufacturer must provide to the 
ICI, and to EPA, information concerning production changes to the class 
of nonroad engines described in the ICI's application for certification; 
delivers to the Engine Programs and Compliance Division of EPA 
notification by the ICI of any production changes already implemented by 
the Original Engine Manufacturer at the time of application and their 
effect on emissions; and obtains from EPA written approval to use this 
demonstration option; or
    (ii) The ICI attests that the nonroad engine has been modified in 
accordance

[[Page 144]]

with the provisions of the ICI's certificate of conformity. The ICI also 
attests that it has conducted, within 120 days of entry, an applicable 
and valid emission test on every third nonroad engine imported under 
that certificate of conformity to demonstrate compliance with Federal 
emission requirements. The test is to be conducted at a laboratory 
located within the United States. Sequencing of the tests is determined 
by the date of importation of each nonroad engine beginning with the 
prototype nonroad engine used to obtain the applicable certificate of 
conformity. Should the ICI exceed a threshold of 300 nonroad engines 
imported under the certificate of conformity without adjustments or 
other changes in accordance with paragraph (a)(3) of this section, the 
amount of required testing is reduced to every fifth nonroad engine.
    (3) The results of every emission test which the ICI conducted on 
the nonroad engine pursuant to paragraph (a)(2)(ii) of this section. 
Should a subject nonroad engine fail an emission test at any time, the 
following procedures are applicable:
    (i) The ICI may either:
    (A) Conduct one retest that involves no adjustment of the nonroad 
engine from the previous test (for example, adjusting the RPM, timing, 
air-to-fuel ratio, and so forth) other than adjustments to adjustable 
parameters that, upon inspection, were found to be out of tolerance. 
When such an allowable adjustment is made, the parameter may be reset 
only to the specified (that is, nominal) value (and not any other value 
within the tolerance band); or
    (B) Initiate a change in production (production change) under the 
provisions of subpart B of this part that causes the nonroad engine to 
meet federal emission requirements.
    (ii) If the ICI chooses to retest in accordance with paragraph 
(a)(3)(i)(A) of this section:
    (A) The retests are to be completed no later than five working days 
subsequent to the first emission test;
    (B) Should the subject nonroad engine fail the second emission test, 
then the ICI must initiate a change in production (a production change) 
under the provisions of subpart B of this part that causes the nonroad 
engine to meet federal emission requirements.
    (iii) If the ICI chooses to initiate a change in production (a 
production change) under the provisions of subpart B of this part that 
causes the nonroad engine to meet federal requirements, a change 
involving adjustments of adjustable nonroad engine parameters (for 
example, adjusting the RPM, timing, air/fuel ratio) represents a change 
in the specified (that is, nominal) value to be deemed acceptable by 
EPA.
    (iv) A production change made in accordance with this section is to 
be implemented on all subsequent nonroad engines imported under the 
certificate of conformity after the date of importation of the nonroad 
engine which gave rise to the production change.
    (v) Commencing with the first nonroad engine receiving the 
production change, every third nonroad engine imported under the 
certificate of conformity is to be emission tested to demonstrate 
compliance with federal emission requirements until, as in paragraph 
(a)(2)(ii) of this section, a threshold of 300 nonroad engines imported 
under the certificate of conformity is exceeded without adjustments or 
other changes in accordance with paragraph (a)(3)(i)(A) of this section, 
at which time the amount of required emission testing is reduced to 
every fifth nonroad engine.
    (vi) A report concerning these production changes is to be made to 
the Engine Programs and Compliance Division of EPA within ten working 
days of initiation of the production change. The cause of any failure of 
an emission test is to be identified, if known;
    (4) The applicable deterioration factor, if any;
    (5) The emission test results adjusted by the deterioration factor;
    (6) Other information that may be specified by applicable 
regulations or on the certificate of conformity under which the nonroad 
engine has been modified in order to assure compliance with requirements 
of the Act;
    (7) All information required under Sec. 89.610 related to 
maintenance, warranties, and labeling;

[[Page 145]]

    (8) An attestation by the ICI that the ICI is responsible for the 
nonroad engine's compliance with federal emission requirements, 
regardless of whether the ICI owns the nonroad engine imported under 
this section;
    (9) The name, address, and telephone number of the person who the 
ICI prefers to receive EPA notification under Sec. 89.605(c);
    (10) An attestation by the ICI that all requirements of Sec. 89.607 
and Sec. 89.610 have been met; and
    (11) Other information as is deemed necessary by the Administrator.
    (b) EPA approval for final admission of a nonroad engine under this 
section is to be presumed not to have been granted if a requirement of 
this subpart has not been met. This includes, but is not limited to, 
properly modifying the nonroad engine to be in conformity in all 
material respects with the description in the application for 
certification or not complying with the provisions of Sec. 89.605(a)(2) 
or if the final emission test results, adjusted by the deterioration 
factor, if applicable, do not comply with applicable emission standards.
    (c) Except as provided in paragraph (b) of this section, EPA 
approval for final admission of a nonroad engine under this section is 
presumed to have been granted if the ICI does not receive oral or 
written notice from EPA to the contrary within 15 working days of the 
date that the Engine Programs and Compliance Division of EPA receives 
the ICI's application under paragraph (a) of this section. EPA notice of 
nonapproval may be made to any employee of the ICI. It is the 
responsibility of the ICI to ensure that the Engine Programs and 
Compliance Division of EPA receives the application and to confirm the 
date of receipt. During this 15 working day hold period, the nonroad 
engine is to be stored at a location where the Administrator has 
reasonable access to the nonroad engine for the Administrator's 
inspection. The storage is to be within 50 miles of the ICI's testing 
facility to allow the Administrator reasonable access for inspection and 
testing. A storage facility not meeting this criterion must be approved 
in writing by the Administrator prior to the submittal of the ICI's 
application under paragraph (a) of this section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57021, Oct. 23, 1998]



Sec. 89.606  Inspection and testing of imported nonroad engines.

    (a) In order to allow the Administrator to determine whether an 
ICI's production nonroad engines comply with applicable emission 
requirements or requirements of this subpart, an EPA enforcement officer 
or authorized representative is authorized to conduct inspections and/or 
tests of nonroad engines imported by the ICI. The ICI must admit an EPA 
enforcement officer or authorized representative during operating hours 
to any of the following places upon demand and upon presentation of 
credentials:
    (1) Any facility where any nonroad engine imported by the ICI under 
this subpart was or is being modified, tested, or stored and
    (2) Any facility where any record or other document relating to 
modification, testing, or storage of the nonroad engine, or required to 
be kept by Sec. 89.607, is located. EPA may require inspection or 
testing of nonroad engines at the test facility used by the ICI or at an 
EPA-designated testing facility, with transportation and/or testing 
costs to be borne by the ICI.
    (b) Upon admission to any facility referred to in paragraph (a) of 
this section, an EPA enforcement officer or authorized representative is 
allowed during operating hours:
    (1) To inspect and monitor any part or aspect of activities relating 
to the ICI's modification, testing, and/or storage of nonroad engines 
imported under this subpart;
    (2) To inspect and make copies of record(s) or document(s) related 
to modification, testing, and storage of a nonroad engine, or required 
by Sec. 89.607; and
    (3) To inspect and photograph any part or aspect of the nonroad 
engine and any component used in the assembly thereof.
    (c) An EPA enforcement officer or authorized representative is to be 
furnished, by those in charge of a facility being inspected, with such 
reasonable

[[Page 146]]

assistance as the officer or representative may request to help 
discharge any function listed in this subpart. An ICI must make 
arrangements with those in charge of a facility operated for its benefit 
to furnish such reasonable assistance without charge to EPA. Reasonable 
assistance includes, but is not limited to, clerical, copying, 
interpretation and translation services, and the making available on 
request of personnel of the facility being inspected during their 
working hours to inform the EPA enforcement officer or authorized 
representative of how the facility operates and to answer any questions.
    (d) The requirements of paragraphs (a), (b), and (c) of this section 
apply whether or not the ICI owns or controls the facility in question. 
It is the ICI's responsibility to make such arrangements as may be 
necessary to assure compliance with paragraphs (a), (b), and (c) of this 
section. Failure to do so, or other failure to comply with paragraphs 
(a), (b), or (c), may result in sanctions as provided for in the Act or 
Sec. 89.612(e).
    (e) Duly designated enforcement officers are authorized to proceed 
ex parte to seek warrants authorizing the inspection or testing of the 
nonroad engines described in paragraph (a) of this section whether or 
not the enforcement officers first attempted to seek permission from the 
ICI or facility owner to inspect such nonroad engines.
    (f) The results of the Administrator's test under this section 
comprise the official test data for the nonroad engine for purposes of 
determining whether the nonroad engine should be permitted final entry 
under Sec. 89.605 or Sec. 89.609.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.607  Maintenance of independent commercial importer's records.

    (a) The Independent Commercial Importer (ICI) subject to any of the 
provisions of this subpart must establish and maintain adequately 
organized and indexed records, correspondence and other applicable 
documents relating to the certification, modification, test, purchase, 
sale, storage, registration, and importation of that nonroad engine. The 
ICI must retain such records for 8 years from the date of final 
admission or exportation of a nonconforming nonroad engine imported by 
the ICI. These records include, but are not limited to:
    (1) The declaration required by U.S. Bureau of Customs regulations.
    (2) Any documents or other written information required by a federal 
government agency to be submitted or retained in conjunction with the 
certification, importation or emission testing (if applicable) of 
nonroad engines;
    (3) All bills of sale, invoices, purchase agreements, purchase 
orders, principal or agent agreements, and correspondence between the 
ICI and the ultimate purchaser of each nonroad engine and between any 
agents of the above parties;
    (4) For nonroad engines imported by an ICI pursuant to Sec. 89.605 
or Sec. 89.609, documents providing parts identification data 
(including calibration changes and part numbers and location of such 
parts on each nonroad engine) associated with the emission control 
system installed on each nonroad engine demonstrating that such emission 
control system was properly installed on such nonroad engine;
    (5) For nonroad engines imported by an ICI pursuant to Sec. 89.605 
or Sec. 89.609, documents demonstrating that, where applicable, each 
nonroad engine was emission tested in accordance with subpart E of this 
part and part 86, subpart I of this chapter;
    (6) Documents providing evidence that the requirements of Sec. 
89.610 have been met;
    (7) Documents providing evidence of compliance with all relevant 
requirements of the Clean Air Act;
    (8) Documents providing evidence of the initiation of the 15 working 
day hold period (that is, evidence that the application submitted 
pursuant to Sec. 89.605(a) or Sec. 89.609(b) was received by EPA) for 
each nonroad engine imported pursuant to Sec. 89.605 or Sec. 89.609;
    (9) For nonroad engines owned by the ICI at the time of importation, 
documents providing evidence of the date of sale and date of delivery to 
the ultimate purchaser, together with the name, address, and telephone 
number of the ultimate purchaser for each

[[Page 147]]

nonroad engine imported pursuant to Sec. 89.605 or Sec. 89.609;
    (10) For nonroad engines not owned by the ICI at the time of 
importation, documents providing evidence and date of release to the 
owner (including owner's name, address, and telephone number) for each 
nonroad engine imported pursuant to Sec. 89.605 or Sec. 89.609;
    (11) Documents providing evidence of the date of original 
manufacture of the nonroad engine. The importer may substitute an 
alternate date in lieu of the date of original manufacture, provided 
that the substitution of such alternate date is approved in advance by 
the Administrator.
    (b) The ICI is responsible for ensuring the maintenance of records 
required by this section, regardless of whether or not facilities used 
by the ICI to comply with requirements of this subpart are under the 
control of the ICI.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.608  ``In Use'' inspections and recall requirements.

    (a) Nonroad engines which have been imported by an Independent 
Commercial Importer (ICI) pursuant to Sec. 89.605 or Sec. 89.609 and 
finally admitted by EPA may be inspected and emission tested by EPA for 
the recall period specified in Sec. 89.104(b).
    (b) ICIs must maintain for eight years, and provide to EPA upon 
request, a list of owners or ultimate purchasers of all nonroad engines 
imported by the ICI under this subpart.
    (c) The Administrator must notify the ICI whenever the Administrator 
has determined that a substantial number of a class or category of the 
ICI's nonroad engines, although properly maintained and used, do not 
conform to the regulations prescribed under section 213 of the Act when 
in actual use throughout their useful lives. After such notification, 
the recall regulations at subpart H of this part govern the ICI's 
responsibilities. References to a manufacturer in the recall regulations 
apply to the ICI.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.609  Final admission of modification nonroad engines and test 
nonroad engines.

    (a) A nonroad engine may be imported under this section by an 
Independent Commercial Importer (ICI) possessing a currently valid 
certificate of conformity only if:
    (1) The nonroad engine is six original production years old or 
older; and
    (2) The ICI's name has not been placed on a currently effective EPA 
list of ICIs ineligible to import such modification/test nonroad 
engines, as described in paragraph (e) of this section; and
    (3) The ICI has a currently valid certificate of conformity for the 
same nonroad engine class and fuel type as the nonroad engine being 
imported.
    (b) A nonroad engine conditionally imported under this section may 
be finally admitted into the United States upon approval of the ICI's 
application by the Administrator. The application is to be made by 
completing EPA forms, in accordance with EPA instructions. The ICI 
includes in the application:
    (1) The identification information required in Sec. 89.604;
    (2) An attestation by the ICI that the nonroad engine has been 
modified and tested in accordance with the applicable emission tests as 
specified in Subpart B Sec. 89.119(a) of this part at a laboratory 
within the United States;
    (3) The results of all emission tests;
    (4) The applicable deterioration factor assigned by EPA, if any;
    (5) The emission test results adjusted by the applicable 
deterioration factor;
    (6) All information required under Sec. 89.610 related to 
maintenance, warranties, and labeling;
    (7) An attestation by the ICI that the ICI is responsible for the 
nonroad engine's compliance with federal emission requirements, 
regardless of whether the ICI owns the nonroad engine imported under 
this section;
    (8) The applicable address and telephone number of the ICI, or the 
name, address, and telephone number of the person who the ICI prefers to 
receive EPA notification under Sec. 89.609(d);
    (9) An attestation by the ICI that all requirements of Sec. 89.607-
95 and Sec. 89.610 have been met; and

[[Page 148]]

    (10) Such other information as is deemed necessary by the 
Administrator.
    (c) EPA approval for final admission of a nonroad engine under this 
section is presumed not to have been granted if any requirement of this 
subpart has not been met.
    (d) Except as provided in paragraph (c) of this section, EPA 
approval for final admission of a nonroad engine under this section is 
presumed to have been granted if the ICI does not receive oral or 
written notice from EPA to the contrary within 15 working days of the 
date that the Engine Programs and Compliance Division of EPA receives 
the ICI's application under paragraph (b) of this section. Such EPA 
notice of nonapproval may be made to any employee of the ICI. It is the 
responsibility of the ICI to ensure that the Engine Programs and 
Compliance Division of EPA receives the application and to confirm the 
date of receipt. During this 15 working day hold period, the nonroad 
engine is stored at a location where the Administrator has reasonable 
access to the nonroad engine for the Administrator's inspection. The 
storage is to be within 50 miles of the ICI's testing facility to allow 
the Administrator reasonable access for inspection and testing. A 
storage facility not meeting this criterion must be approved in writing 
by the Administrator prior to the submittal of the ICI's application 
under paragraph (b) of this section.
    (e) EPA list of ICIs ineligible to import nonroad engines for 
modification/test. EPA maintains a current list of ICIs who have been 
determined to be ineligible to import nonroad engines under this 
section. The determination of ineligibility is made in accordance with 
the criteria and procedures in Sec. 89.612(e) of this subpart.
    (f) Inspections. Prior to final admission, a nonroad engine imported 
under this section is subject to special inspections as described in 
Sec. 89.606 with these additional provisions:
    (1) If, in the judgment of the Administrator, a significant number 
of nonroad engines imported by an ICI fail to comply with emission 
requirements upon inspection or retest or if the ICI fails to comply 
with a provision of these regulations that pertain to nonroad engines 
imported pursuant to Sec. 89.609, the ICI may be placed on the EPA list 
of ICIs ineligible to import nonroad engines under this section as 
specified in paragraph (e) of this section and Sec. 89.612(e).
    (2) An individual nonroad engine which fails a retest or inspection 
is to be repaired and retested, as applicable, to demonstrate compliance 
with emission requirements before final admission is granted by EPA.
    (3) Unless otherwise specified by EPA, the ICI bears the costs of 
all retesting under this subsection, including transportation.
    (g) In-use inspection and testing. A nonroad engine imported under 
this section may be tested or inspected by EPA at any time during the 
recall period specified in Sec. 89.104(b), in accordance with Sec. 
89.608(a). If, in the judgment of the Administrator, a significant 
number of properly maintained and used nonroad engines imported by the 
ICI pursuant to this section fail to meet emission requirements, the 
name of the ICI may be placed on the EPA list of ICIs ineligible to 
import nonroad engines under the modification/test provision as 
specified in paragraph (e) of this section and Sec. 89.612(e).

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57021, Oct. 23, 1998]



Sec. 89.610  Maintenance instructions, warranties, emission labeling.

    The provisions of this section are applicable to all nonroad engines 
imported under the provisions of Sec. 89.605 or Sec. 89.609.
    (a) Maintenance instructions. (1) The Independent Commercial 
Importer (ICI) must furnish to the purchaser, or to the owner of each 
nonroad engine imported under Sec. 89.605 or Sec. 89.609 of this 
subpart, written instructions for the maintenance and use of the nonroad 
engine by the purchaser or owner. Each application for final admission 
of a nonroad engine is to provide an attestation that such instructions 
have been or will be (if the ultimate purchaser is unknown) furnished to 
the purchaser or owner of such nonroad engine at the time of sale or 
delivery. The ICI must maintain a record of having furnished such 
instructions.

[[Page 149]]

    (2) For each nonroad engine imported under Sec. 89.609, a copy of 
the maintenance and use instructions is to be maintained in a file 
containing the records for that nonroad engine.
    (3) The maintenance and use instructions are not to contain 
requirements more restrictive than those set forth in Sec. 89.109 
(Maintenance Instructions) and are to be in sufficient detail and 
clarity that a mechanic of average training and ability can maintain or 
repair the nonroad engine.
    (4) For each nonroad engine imported pursuant to Sec. 89.605 or 
Sec. 89.609, ICIs must furnish with each nonroad engine a list of the 
emission control parts, emission-related parts added by the ICI, and the 
emission control and emission-related parts furnished by the Original 
Engine Manufacturer (OEM).
    (5) The information required in this section to be furnished to the 
ultimate purchaser or owner is to be copied and maintained in a file 
containing the records for that nonroad engine prior to submitting each 
application for final admission pursuant to Sec. 89.605(a) or Sec. 
89.609(b).
    (b) Warranties. (1) ICIs must submit to the Engine Programs and 
Compliance Division of EPA sample copies (including revisions) of any 
warranty documents required by this section prior to importing nonroad 
engines under this subpart.
    (2) ICIs must provide to nonroad engine owners emission warranties 
identical to those required by sections 207(a) of the Act. The warranty 
period for each nonroad engine is to commence on the date the nonroad 
engine is delivered by the ICI to the ultimate purchaser or owner.
    (3) ICIs must provide warranty insurance coverage by a prepaid 
mandatory service insurance policy underwritten by an independent 
insurance company. The policy is to:
    (i) Be subject to the approval of the Administrator if the insurance 
coverage is less than the required warranty;
    (ii) At a minimum, provide coverage for emission-related components 
installed or modified by the ICI and, to the maximum extent possible, 
the emission-related components installed by the OEM;
    (iii) Be transferable to each successive owner for the periods 
specified in Sec. 89.104(c); and
    (iv) Provide that in the absence of an ICI's facility being 
reasonably available (that is, within 50 miles) for performance of 
warranty repairs, the warranty repairs may be performed anywhere.
    (4) ICIs must attest in each application for final admission that 
the warranty requirements have been met, that the mandatory insurance 
has been paid and is in effect, and that certificates and statements of 
the warranties have been or will be provided to the owner or ultimate 
purchaser. A copy of the warranties and evidence that the warranties are 
paid and in effect is to be maintained in a file containing the records 
for each nonroad engine prior to submitting each application for final 
admission pursuant to Sec. 89.605(a) or Sec. 89.609(b).
    (c) Emission labeling. (1) For each nonroad engine imported pursuant 
to Sec. 89.605 or Sec. 89.609, the ICI must affix a permanent legible 
label which identifies each nonroad engine and also satisfies the 
following:
    (i) The label meets all the requirements of Sec. 89.110 and 
contains the following statement ``This nonroad engine was originally 
produced in (month and year of original production). It has been 
imported and modified by (ICI's name, address, and telephone number) to 
conform to United States emission regulations applicable to the (year) 
model year.''
    (ii) If the nonroad engine is owned by the ICI at the time of 
importation, the label also states ``This nonroad engine is warranted 
for five years or 3000 hours of operation from the date of purchase, 
whichever first occurs.''
    (iii) If the nonroad engine is not owned by the ICI at the time of 
importation, the label states ``This nonroad engine is warranted for 
five years or 3000 hours of operation from the date of release to the 
owner, whichever first occurs.''
    (iv) For nonroad engines imported under Sec. 89.609, the label 
clearly states in bold letters that ``This nonroad engine has not been 
manufactured under

[[Page 150]]

a certificate of conformity but conforms to United States emission 
regulations under a modification/test program.'' For all nonroad engines 
imported pursuant to Sec. 89.605 or Sec. 89.609, the label contains 
the vacuum hose routing diagram applicable to the nonroad engines.
    (2) As part of the application to the Administrator for final 
admission of each individual nonroad engine under Sec. 89.609, the ICI 
must maintain a copy of the labels for each nonroad engine in a file 
containing the records for that nonroad engine prior to submitting each 
application for final admission. ICIs importing under Sec. 89.605 or 
Sec. 89.609 must attest to compliance with the preceding labeling 
requirements of this section in each application for final admission.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57021, Oct. 23, 1998]



Sec. 89.611  Exemptions and exclusions.

    (a) Individuals, as well as ICIs, are eligible for importing nonroad 
engines into the United States under the provisions of this section, 
unless otherwise specified.
    (b) Notwithstanding other requirements of this subpart, a nonroad 
engine entitled to one of the temporary exemptions of this paragraph may 
be conditionally admitted into the United States if prior written 
approval for the conditional admission is obtained from the 
Administrator. Conditional admission is to be under bond. The 
Administrator may request that the U.S. Customs Service require a 
specific bond amount to ensure compliance with the requirements of the 
Act and this subpart. A written request for approval from the 
Administrator is to contain the identification required in Sec. 
89.604(a) (except for Sec. 89.604(a)(5)) and information that 
demonstrates that the importer is entitled to the exemption. 
Noncompliance with provisions of this section may result in the 
forfeiture of the total amount of the bond or exportation of the nonroad 
engine. The following temporary exemptions are permitted by this 
paragraph:
    (1) Exemption for repairs or alterations. Upon written approval by 
EPA, an owner of nonroad engines may conditionally import under bond 
such nonroad engines solely for purpose of repair(s) or alteration(s). 
The nonroad engines may not be operated in the United States other than 
for the sole purpose of repair or alteration. They may not be sold or 
leased in the United States and are to be exported upon completion of 
the repair(s) or alteration(s).
    (2) Testing exemption. A test nonroad engine may be conditionally 
imported by a person subject to the requirements of Sec. 89.905. A test 
nonroad engine may be operated in the United States provided that the 
operation is an integral part of the test. This exemption is limited to 
a period not exceeding one year from the date of importation unless a 
request is made by the appropriate importer concerning the nonroad 
engine in accordance with Sec. 89.905(f) for a subsequent one-year 
period.
    (3) Precertification exemption. A prototype nonroad engine for use 
in applying to EPA for certification pursuant to this subpart may be 
conditionally imported subject to applicable provisions of Sec. 89.906 
and the following requirements:
    (i) No more than one prototype nonroad engine for each engine family 
for which an importer is seeking certification is to be imported.
    (ii) The granting of precertification exemptions by the 
Administrator is discretionary. Normally, no more than three outstanding 
precertification exemptions are allowed for each importer. No 
precertification exemption is allowed if the importer requesting the 
exemption is in noncompliance with any requirement of this subpart until 
the noncompliance is corrected.
    (iii) Unless a certificate of conformity is issued for the prototype 
nonroad engine and the nonroad engine is finally admitted pursuant to 
the requirements of Sec. 89.605 within 180 days from the date of entry, 
the total amount of the bond is to be forfeited or the nonroad engine 
exported unless an extension is granted by the Administrator. A request 
for an extension is to be in writing and received by the Administrator 
prior to the date that the precertification exemption expires.
    (iv) Such precertification nonroad engine may not be operated in the

[[Page 151]]

United States other than for the sole purpose of the precertification 
exemption.
    (4) Display exemptions. (i) A nonroad engine intended solely for 
display may be conditionally imported subject to the requirements of 
Sec. 89.907.
    (ii) A display nonroad engine may be imported by any person for 
purposes related to a business or the public interest. Such purposes do 
not include collections normally inaccessible or unavailable to the 
public on a daily basis, display of a nonroad engine at a dealership, 
private use, or other purpose that the Administrator determines is not 
appropriate for display exemptions. A display nonroad engine may not be 
sold in the United States and may not be operated in the United States 
except for the operation incident and necessary to the display purpose.
    (iii) A temporary display exemption is granted for 12 months or for 
the duration of the display purpose, whichever is shorter. Two 
extensions of up to 12 months each are available upon approval by the 
Administrator. In no circumstances, however, may the total period of 
exemption exceed 36 months. The U.S. Customs Service bonds a temporary 
display exemption.
    (c) Notwithstanding any other requirement of this subpart, a nonroad 
engine may be finally admitted into the United States under this 
paragraph if prior written approval for such final admission is obtained 
from the Administrator. Conditional admission of these nonroad engines 
under this subpart is not permitted for the purpose of obtaining such 
written approval from the Administrator. A request for approval is to 
contain the identification information required in Sec. 89.604(a) 
(except for Sec. 89.604(a)(5)) and information that demonstrates that 
the importer is entitled to the exemption or exclusion. The following 
exemptions or exclusions are permitted by this paragraph:
    (1) National security exemption. A nonroad engine may be imported 
under the national security exemption found at Sec. 89.908.
    (2) Hardship exemption. The Administrator may exempt on a case-by-
case basis a nonroad engine from federal emission requirements to 
accommodate unforeseen cases of extreme hardship or extraordinary 
circumstances.
    (3) Exemption for nonroad engines identical to United States 
certified versions.
    (i) A person (including businesses) is eligible for importing a 
nonroad engine into the United States under the provisions of this 
paragraph. An exemption will be granted if the nonroad engine:
    (A) is owned by the importer;
    (B) is not offered for importation for the purpose of resale; and
    (C) is proven to be identical, in all material respects, to a 
nonroad engine certified by the Original Engine Manufacturer (OEM) for 
sale in the United States or is proven to have been modified to be 
identical, in all material respects, to a nonroad engine certified by 
the OEM for sale in the United States according to complete written 
instructions provided by the OEM's United States representative, or his/
her designee.
    (ii) Proof of conformity. (A) Documentation submitted pursuant to 
this section for the purpose of proving conformity of individual nonroad 
engines is to contain sufficiently organized data or evidence 
demonstrating that the nonroad engine identified pursuant to Sec. 
89.604(a) is identical, in all material respects, to a nonroad engine 
identified in an OEM's application for certification.
    (B) If the documentation does not contain all the information 
required by this part, or is not sufficiently organized, EPA notifies 
the importer of any areas of inadequacy, and that the documentation does 
not receive further consideration until the required information or 
organization is provided.
    (C) If EPA determines that the documentation does not clearly or 
sufficiently demonstrate that a nonroad engine is eligible for 
importation, EPA notifies the importer in writing.
    (D) If EPA determines that the documentation clearly and 
sufficiently demonstrates that a nonroad engine is eligible for 
importation, EPA grants approval for importation and notifies the 
importer in writing. Notwithstanding any other requirement of this 
subpart, the notice constitutes approval for final admission into the 
United States.

[[Page 152]]

    (d) Foreign diplomatic and military personnel may import a 
nonconforming nonroad engine without bond. At the time of admission, the 
importer must submit to the Administrator the written report required in 
Sec. 89.604(a) (except for information required by Sec. 89.604(a)(5)) 
and a statement from the U.S. Department of State confirming 
qualification for this exemption. The nonroad engine may not be sold in 
the United States and must be exported if the individual's diplomatic 
status is no longer applicable, as determined by the Department of 
State, unless subsequently brought into conformity in accordance with 
Sec. Sec. 89.605, 89.609, or 89.611(c)(3).
    (e) Competition exclusion. A nonconforming engine may be imported by 
any person provided the importer demonstrates to the Administrator that 
the engine is used to propel a vehicle used solely for competition and 
obtains prior written approval from the Administrator. A nonconforming 
engine imported pursuant to this paragraph may not be operated in the 
United States except for that operation incident and necessary for the 
competition purpose, unless subsequently brought into conformity with 
United States emission requirements in accordance with Sec. Sec. 
89.605, 89.609, or 89.611(c)(3).
    (f) Exclusions/exemptions based on date of original manufacture. (1) 
Notwithstanding any other requirements of this subpart, the following 
nonroad engines are excluded, as determined by the engine's gross power 
output, from the requirements of the Act in accordance with section 213 
of the Act and may be imported by any person:
    (i) All nonroad engines greater than or equal to 37 kW but less than 
75 kW originally manufactured prior to January 1, 1998.
    (ii) All nonroad engines greater than or equal to 75 kW but less 
than 130 kW originally manufactured prior to January 1, 1997.
    (iii) All nonroad engines greater than or equal to 130 kW but less 
than or equal to 560 kW originally manufactured prior to January 1, 
1996.
    (iv) All nonroad engines greater than 560 kW originally manufactured 
prior to January 1, 2000.
    (2) Notwithstanding other requirements of this subpart, a nonroad 
engine not subject to an exclusion under Sec. 89.611(f)(1) but greater 
than 20 original production (OP) years old is entitled to an exemption 
from the requirements of the Act, provided that it has not been modified 
in those 20 OP years and it is imported into the United States by an 
ICI. At the time of admission, the ICI must submit to the Administrator 
the written report required in Sec. 89.604(a) (except for information 
required by Sec. 89.604(a)(5)).
    (g) An application for exemption and exclusion provided for in 
paragraphs (b), (c), and (e) of this section is to be mailed to: U.S. 
Environmental Protection Agency, Office of Mobile Sources, Engine 
Programs and Compliance Division (6405-J), 1200 Pennsylvania Ave., NW., 
Washington, DC 20460, Attention: Imports.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR 56996, 
57022, Oct. 23, 1998]



Sec. 89.612  Prohibited acts; penalties.

    (a) The importation of a nonroad engine, including a nonroad engine 
incorporated into a nonroad vehicle or nonroad equipment, which is not 
covered by a certificate of conformity other than in accordance with 
this subpart and the entry regulations of the U.S. Customs Service is 
prohibited. Failure to comply with this section is a violation of 
section 213(d) and section 203 of the Act.
    (b) Unless otherwise permitted by this subpart, during a period of 
conditional admission, the importer of a nonroad engine may not:
    (1) Register, license, or operate the nonroad engine in the United 
States;
    (2) Sell or offer the nonroad engine for sale;
    (3) Store the nonroad engine on the premises of a dealer (unless 
approved by the Administrator), owner, or purchaser;
    (4) Relinquish control of the nonroad engine to the owner or 
purchaser; or
    (5) Cause a nonroad engine to be altered in any manner subsequent to 
modification and testing, if applicable, for which an application for 
final admission is based and submitted to the Administrator, unless 
approved in advance by the Administrator.

[[Page 153]]

    (c) A nonroad engine conditionally admitted pursuant to Sec. 89.604 
and not granted final admission within 120 days of such conditional 
admission, or within such additional time as the Administrator and the 
U.S. Customs Service may allow, is deemed to be unlawfully imported into 
the United States in violation of section 213(d) and section 203 of the 
Act, unless the nonroad engine has been delivered to the U.S. Customs 
Service for export or other disposition under applicable Customs laws 
and regulations. A nonroad engine not so delivered is subject to seizure 
by the U.S. Customs Service.
    (d) An importer who violates section 213(d) and section 203 of the 
Act is subject to the provisions of section 209 of the Act and is also 
subject to a civil penalty under section 205 of the Act of not more than 
$25,000 for each nonroad engine subject to the violation. In addition to 
the penalty provided in the Act, where applicable, a person or entity 
who imports an engine under the exemption provisions of Sec. 89.611(b) 
and, who fails to deliver the nonroad engine to the U.S. Customs Service 
is liable for liquidated damages in the amount of the bond required by 
applicable Customs laws and regulations.
    (e)(1) An ICI whose nonroad engines imported under Sec. 89.605 or 
Sec. 89.609 fail to conform to federal emission requirements after 
modification and/or testing or who fails to comply with applicable 
provisions of this subpart, may, in addition to any other applicable 
sanctions and penalties, be subject to any, or all, of the following 
sanctions:
    (i) The ICI's currently held certificates of conformity may be 
revoked or suspended;
    (ii) The ICI may be deemed ineligible to apply for new certificates 
of conformity for up to three years; and
    (iii) The ICI may be deemed ineligible to import nonroad engines 
under Sec. 89.609 in the future and be placed on a list of ICIs 
ineligible to import nonroad engines under the provisions of Sec. 
89.609.
    (2) Grounds for the actions described in paragraph (e)(1) of this 
section include, but are not limited to, the following:
    (i) Action or inaction by the ICI or the laboratory performing the 
emission test on behalf of the ICI, which results in fraudulent, 
deceitful, or grossly inaccurate representation of any fact or condition 
which affects a nonroad engine's eligibility for admission to the United 
States under this subpart;
    (ii) Failure of a significant number of imported nonroad engines to 
comply with federal emission requirements upon EPA inspection or retest; 
or
    (iii) Failure by an ICI to comply with requirements of this subpart.
    (3) The following procedures govern any decision to suspend, revoke, 
or refuse to issue certificates of conformity under this subpart:
    (i) When grounds appear to exist for the actions described in 
paragraph (e)(1) of this section, the Administrator must notify the ICI 
in writing of any intended suspension or revocation of a certificate of 
conformity, proposed ineligibility to apply for new certificates of 
conformity, or intended suspension of eligibility to conduct 
modification/testing under Sec. 89.609, and the grounds for such 
action.
    (ii) Except as provided by paragraph (e)(3)(iv), the ICI must take 
the following actions before the Administrator will consider withdrawing 
notice of intent to suspend or revoke the ICI's certificate of 
conformity or to deem the ICI ineligible to apply for new certification 
or to deem the ICI ineligible to perform modification/testing under 
Sec. 89.609:
    (A) Submit a written report to the Administrator which identifies 
the reason for the noncompliance of the nonroad engine, describes the 
proposed remedy, including a description of any proposed quality control 
and/or quality assurance measures to be taken by the ICI to prevent the 
future occurrence of the problem, and states the date on which the 
remedies are to be implemented or
    (B) Demonstrate that the nonroad engine does in fact comply with 
applicable regulations in this chapter by retesting, if applicable, the 
nonroad engine in accordance with the applicable emission test specified 
in subpart E of this part.
    (iii) An ICI may request, within 15 calendar days of the 
Administrator's notice of intent to suspend or revoke the ICI's 
certificate of conformity or to deem the ICI ineligible to apply for

[[Page 154]]

new certificates or to deem the ICI ineligible to perform modification/
testing under Sec. 89.609, that the Administrator grant such ICI a 
hearing:
    (A) As to whether the tests, if applicable, have been properly 
conducted,
    (B) As to any substantial factual issue raised by the 
Administrator's proposed action.
    (iv) If, after the Administrator notifies an ICI of the intent to 
suspend or revoke the ICI's certificate of conformity or to deem the ICI 
ineligible to apply for new certificates or to deem the ICI ineligible 
to perform modification/testing under Sec. 89.609 and prior to any 
final suspension or revocation, the ICI demonstrates to the 
Administrator's satisfaction that the decision to initiate suspension or 
revocation of the certificate of conformity or eligibility to perform 
modification/testing under Sec. 89.609 was based on erroneous 
information, the Administrator will withdraw the notice of intent.
    (4) Hearings on suspensions and revocations of certificates of 
conformity or of eligibility to apply for new certificates or of 
eligibility to perform modification/testing under Sec. 89.609 will be 
held in accordance with the following:
    (i) The procedures prescribed by this section will apply whenever an 
ICI requests a hearing pursuant to paragraph (e)(3)(iii) of this 
section.
    (ii) Hearings under paragraph (e)(3)(iii) will be held in accordance 
with the procedures outlined in Sec. 86.614 of this chapter, where 
applicable, provided that where Sec. 86.612 is referred to in Sec. 
86.614: Sec. 86.612(a) is replaced by Sec. 89.612(e)(2); and Sec. 
86.612(i) is replaced by Sec. 89.612(e)(3)(iii).
    (5) When a hearing is requested under this section and it clearly 
appears from the data or other information contained in the request for 
a hearing, or submitted at the hearing, that no genuine and substantial 
question of fact exists with respect to the issue of whether the ICI 
failed to comply with this subpart, the Administrator will enter an 
order denying the request for a hearing, or terminating the hearing, and 
suspending or revoking the certificate of conformity and/or deeming the 
ICI ineligible to apply for new certificates or to perform modification/
testing under Sec. 89.609.
    (6) In lieu of requesting a hearing under paragraph (e)(3)(iii) of 
this section, an ICI may respond in writing to EPA's charges in the 
notice of intent to suspend or revoke. An ICI's written response must be 
received by EPA within 30 days of the date of EPA's notice of intent. No 
final decision to suspend or revoke will be made before that time.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



Sec. 89.613  Treatment of confidential information.

    The provisions for treatment of confidential information as 
described in Sec. 89.7 apply.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct. 23, 1998]



                      Subpart H_Recall Regulations



Sec. 89.701  Applicability.

    The requirements of subpart H are applicable to all nonroad engines 
subject to the provisions of subpart A of part 89.



Sec. 89.702  Definitions.

    The definitions in subpart A of this part apply to this subpart.



Sec. 89.703  Applicability of part 85, subpart S.

    (a) Nonroad engines subject to provisions of subpart B of this part 
are subject to recall regulations specified in part 85, subpart S of 
this title, except for the items set forth in this section.
    (b) Reference to section 214 of the Clean Air Act in Sec. 85.1801 
is replaced by reference to section 216 of the Clean Air Act.
    (c) Reference to section 202 of the Act in Sec. 85.1802(a) is 
replaced by reference to section 213 of the Act.
    (d) Reference to ``family particulate emission limits as defined in 
Part 86 promulgated under section 202 of the Act'' in Sec. 85.1803(a) 
and Sec. 85.1805(a)(1) is replaced by reference to family emission 
limits as defined in part 89 promulgated under section 213 of the Act.

[[Page 155]]

    (e) Reference to ``vehicles or engines'' throughout the subpart is 
replaced by reference to ``engines.''



            Subpart I_Emission Defect Reporting Requirements



Sec. 89.801  Applicability.

    The requirements of subpart I are applicable to all nonroad engines 
subject to the provisions of subpart A of part 89. The requirement to 
report emission-related defects affecting a given class or category of 
engines remains applicable for five years from the end of the model year 
in which such engines were manufactured.



Sec. 89.802  Definitions.

    The definitions in subpart A of this part apply to this subpart.



Sec. 89.803  Applicability of part 85, subpart T.

    (a) Nonroad engines subject to provisions of subpart B of this part 
are subject to emission defect reporting requirements specified in part 
85, subpart T of this chapter, except for the items set forth in this 
section.
    (b) Section 85.1901 is replaced by Sec. 89.801.
    (c) Reference to the Clean Air Act, 42 U.S.C. 1857 in Sec. 
85.1902(a) is replaced by reference to the Clean Air Act, 42 U.S.C. 
7401.
    (d) Reference to the ``approved Application for Certification 
required by 40 CFR 86.077-22 and like provisions of Part 85 and Part 86 
of Title 40 of the Code of Federal Regulations'' in Sec. 85.1902(b) is 
replaced by reference to the approved application for certification 
required by Sec. 89.115 and like provisions of part 89 of this chapter.
    (e) Reference to section 202(d) of the Act in Sec. 85.1902(c) is 
replaced by reference to section 202(d) and section 213 of the Act.
    (f) Reference to section 214 of the Act in Sec. 85.1902 (e) and (f) 
is replaced by reference to section 216 of the Act.
    (g) Reference to ``vehicles or engines'' throughout the subpart is 
replaced by reference to ``engines.''



                     Subpart J_Exemption Provisions



Sec. 89.901  Applicability.

    The requirements of subpart J are applicable to all nonroad engines 
subject to the provisions of subpart A of part 89.



Sec. 89.902  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart.
    Exemption means exemption from the prohibitions of Sec. 89.1006.
    Export exemption means an exemption granted under Sec. 89.1004(b) 
for the purpose of exporting new nonroad engines.
    National security exemption means an exemption which may be granted 
under Sec. 89.1004(b) for the purpose of national security.
    Manufacturer-owned nonroad engine means an uncertified nonroad 
engine owned and controlled by a nonroad engine manufacturer and used in 
a manner not involving lease or sale by itself or in a vehicle or piece 
of equipment employed from year to year in the ordinary course of 
business for product development, production method assessment, and 
market promotion purposes.
    Testing exemption means an exemption which may be granted under 
Sec. 89.1004(b) for the purpose of research investigations, studies, 
demonstrations or training, but not including national security.



Sec. 89.903  Application of section 216(10) of the Act.

    (a) For the purpose of determining the applicability of section 
216(10) of the Act, an internal combustion engine (including the fuel 
system) that is not used in a motor vehicle is deemed a nonroad engine 
if it meets the definition in subpart A of this part.
    (b) EPA will maintain a list of nonroad engines that have been 
determined to be excluded because they are used solely for competition. 
This list will be available to the public and may be obtained by writing 
to the following address: Chief, Selective Enforcement Auditing Section, 
Engine Programs and Compliance Division (6405-J), Environmental 
Protection Agency, 1200

[[Page 156]]

Pennsylvania Ave., NW., Washington, DC 20460.
    (c) Upon written request, EPA will make written determinations as to 
whether certain engines are or are not nonroad engines. Engines that are 
determined not to be nonroad engines are excluded from regulations under 
this part.

[59 FR 31335, June 17, 1994, as amended at 63 FR 57022, Oct. 23, 1998]



Sec. 89.904  Who may request an exemption.

    (a) Any person may request a testing exemption under Sec. 89.905.
    (b) Any nonroad engine manufacturer may request a national security 
exemption under Sec. 89.908.
    (c) For nonroad engine manufacturers, nonroad engines manufactured 
for export purposes are exempt without application, subject to the 
provisions of Sec. 89.909.
    (d) For eligible manufacturers, as determined by Sec. 89.906, 
manufacturer-owned nonroad engines are exempt without application, 
subject to the provisions of Sec. 89.906.
    (e) For any person, display nonroad engines are exempt without 
application, subject to the provisions of Sec. 89.907.



Sec. 89.905  Testing exemption.

    (a) Any person requesting a testing exemption must demonstrate the 
following:
    (1) That the proposed test program has a purpose which constitutes 
an appropriate basis for an exemption in accordance with this section;
    (2) That the proposed test program necessitates the granting of an 
exemption;
    (3) That the proposed test program exhibits reasonableness in scope; 
and
    (4) That the proposed test program exhibits a degree of control 
consonant with the purpose of the test program and EPA's monitoring 
requirements.
    (5) Paragraphs (b), (c), (d), and (e) of this section describe what 
constitutes a sufficient demonstration for each of the four identified 
elements.
    (b) With respect to the purpose of the proposed test program, an 
appropriate purpose would be research, investigations, studies, 
demonstrations, or training, but not national security. A concise 
statement of purpose is a required item of information.
    (c) With respect to the necessity that an exemption be granted, 
necessity arises from an inability to achieve the stated purpose in a 
practicable manner without performing or causing to be performed one or 
more of the prohibited acts under Sec. 89.1003. In appropriate 
circumstances, time constraints may be a sufficient basis for necessity, 
but the cost of certification alone, in the absence of extraordinary 
circumstances, is not a basis for necessity.
    (d) With respect to reasonableness, a test program must exhibit a 
duration of reasonable length and affect a reasonable number of engines. 
In this regard, required items of information include:
    (1) An estimate of the program's duration, and
    (2) The maximum number of nonroad engines involved.
    (e) With respect to control, the test program must incorporate 
procedures consistent with the purpose of the test and be capable of 
affording EPA monitoring capability. As a minimum, required items of 
information include:
    (1) The technical nature of the test;
    (2) The site of the test;
    (3) The time or mileage duration of the test;
    (4) The ownership arrangement with regard to the engines involved in 
the test;
    (5) The intended final disposition of the engines;
    (6) The manner in which the engine identification numbers will be 
identified, recorded, and made available; and
    (7) The means or procedure whereby test results will be recorded.
    (f) A manufacturer of new nonroad engines may request a testing 
exemption to cover nonroad engines intended for use in test programs 
planned or anticipated over the course of a subsequent one-year period. 
Unless otherwise required by the Director, Engine Programs and 
Compliance Division, a manufacturer requesting such an exemption need 
only furnish the information required by paragraphs (a)(1) and (d)(2) of 
this section along with a description of the record-keeping and

[[Page 157]]

control procedures that will be employed to assure that the engines are 
used for purposes consistent with paragraph (a) of this section.

[59 FR 31335, June 17, 1994, as amended at 63 FR 57022, Oct. 23, 1998]



Sec. 89.906  Manufacturer-owned exemption and precertification exemption.

    (a) Except as provided in paragraph (b) of this section, any 
manufacturer-owned nonroad engine, as defined by Sec. 89.902, is exempt 
from Sec. 89.1003, without application, if the manufacturer complies 
with the following terms and conditions:
    (1) The manufacturer must establish, maintain, and retain the 
following adequately organized and indexed information on each exempted 
engine:
    (i) Engine identification number,
    (ii) Use of the engine on exempt status and
    (iii) Final disposition of any engine removed from exempt status; 
and
    (2) The manufacturer must provide right of entry and access to these 
records to EPA authorized representatives as outlined in Sec. 89.506.
    (3) Unless the requirement is waived or an alternate procedure is 
approved by the Director, Engine Programs and Compliance Division, the 
manufacturer must permanently affix a label to each nonroad engine on 
exempt status. This label should:
    (i) Be affixed in a readily visible portion of the engine,
    (ii) Be attached in such a manner that cannot be removed without 
destruction or defacement,
    (iii) State in the English language and in block letters and 
numerals of a color that contrasts with the background of the label, the 
following information:
    (A) The label heading ``Emission Control Information;''
    (B) Full corporate name and trademark of manufacturer;
    (C) Engine displacement, engine family identification, and model 
year of engine; or person of office to be contacted for further 
information about the engine;
    (D) The statement ``This nonroad engine is exempt from the 
prohibitions of 40 CFR 89.1003.''
    (4) No provision of paragraph (a)(3) of this section prevents a 
manufacturer from including any other information it desires on the 
label.
    (b) Any independent commercial importer that desires a 
precertification exemption pursuant to Sec. 89.611(b)(3) and is in the 
business of importing, modifying, or testing uncertified nonroad engines 
for resale under the provisions of subpart G of this part, must apply to 
the Director, Engine Programs and Compliance Division. The Director may 
require such independent commercial importer to submit information 
regarding the general nature of the fleet activities, the number of 
nonroad engines involved, and a demonstration that adequate record-
keeping procedures for control purposes will be employed.

[59 FR 31335, June 17, 1994, as amended at 63 FR 57022, Oct. 23, 1998]



Sec. 89.907  Display exemption.

    Where an uncertified nonroad engine is a display engine to be used 
solely for display purposes, will only be operated incident and 
necessary to the display purpose, and will not be sold unless an 
applicable certificate of conformity has been received or the engine has 
been finally admitted pursuant to subpart G of this part, no request for 
exemption of the engine is necessary.



Sec. 89.908  National security exemption.

    (a)(1) Any nonroad engine, otherwise subject to this part, which is 
used in a vehicle that exhibits substantial features ordinarily 
associated with military combat such as armor and/or permanently affixed 
weaponry and which will be owned and/or used by an agency of the federal 
government with responsibility for national defense, will be considered 
exempt from these regulations for purposes of national security. No 
request for exemption is necessary.
    (2) Manufacturers may request a national security exemption for any 
nonroad engine, otherwise subject to this part, which does not meet the 
conditions described in paragraph (a)(1) of this section. A manufacturer 
requesting a national security exemption must state the purpose for 
which the exemption is required and the request must be endorsed by an 
agency of the federal

[[Page 158]]

government charged with responsibility for national defense.
    (b) EPA will maintain a list of models of nonroad engines (and the 
vehicles which use them) that have been granted a national security 
exemption under paragraph (a)(2) of this section. This list will be 
available to the public and may be obtained by writing to the following 
address: Group Manager, Engine Compliance Programs Group, Engine 
Programs and Compliance Division (6403J) Environmental Protection 
Agency, 1200 Pennsylvania Ave., NW., Washington, DC 20460.
    (c) Manufacturers must add a legible label, written in block letters 
in English, to each engine exempted under this section. The label must 
be permanently secured to a readily visible part of the engine needed 
for normal operation and not normally requiring replacement, such as the 
engine block. This label must include at least the following items:
    (1) The label heading ``EMISSION CONTROL INFORMATION''.
    (2) Your corporate name and trademark.
    (3) Engine displacement, engine family identification (as 
applicable), and model year of the engine or whom to contact for further 
information.
    (4) The statement ``THIS ENGINE HAS AN EXEMPTION FOR NATIONAL 
SECURITY UNDER 40 CFR 89.908.''.

[61 FR 52102, Oct. 4, 1996, as amended at 69 FR 39213, June 29, 2004]



Sec. 89.909  Export exemptions.

    (a) A new nonroad engine intended solely for export, and so labeled 
or tagged on the outside of the container and on the engine itself, is 
subject to the provisions of Sec. 89.1003, unless the importing country 
has new nonroad engine emission standards which differ from EPA 
standards.
    (b) For the purpose of paragraph (a) of this section, a country 
having no standards, whatsoever, is deemed to be a country having 
emission standards which differ from EPA standards.
    (c) EPA will maintain a list of foreign countries that have in force 
nonroad emission standards identical to EPA standards and have so 
notified EPA. This list may be obtained by writing to the following 
address: Chief, Selective Enforcement Auditing Section, Manufacturers 
Operations Division (6405-J), Environmental Protection Agency, 1200 
Pennsylvania Ave., NW., Washington, DC 20460. New nonroad engines 
exported to such countries must comply with EPA certification 
regulations.
    (d) It is a condition of any exemption for the purpose of export 
under paragraph (a) of this section, that such exemption is void ab 
initio with respect to a new nonroad engine intended solely for export, 
where such nonroad engine is sold, or offered for sale, to an ultimate 
purchaser or otherwise distributed or introduced into commerce in the 
United States for purposes other than export.



Sec. 89.910  Granting of exemptions.

    (a) If upon completion of the review of an exemption request made 
pursuant to Sec. 89.905 or Sec. 89.908, EPA determines it is 
appropriate to grant such an exemption, a memorandum of exemption is to 
be prepared and submitted to the person requesting the exemption. The 
memorandum is to set forth the basis for the exemption, its scope, and 
such terms and conditions as are deemed necessary. Such terms and 
conditions generally include, but are not limited to, agreements by the 
applicant to conduct the exempt activity in the manner described to EPA, 
create and maintain adequate records accessible to EPA at reasonable 
times, employ labels for the exempt engines setting forth the nature of 
the exemption, take appropriate measures to assure that the terms of the 
exemption are met, and advise EPA of the termination of the activity and 
the ultimate disposition of the engines.
    (b) Any exemption granted pursuant to paragraph (a) of this section 
is deemed to cover any subject engine only to the extent that the 
specified terms and conditions are complied with. A breach of any term 
or condition causes the exemption to be void ab initio with respect to 
any engine. Consequently, the causing or the performing of an act 
prohibited under Sec. 89.1003( a)(1) or (a)(3), other than in strict 
conformity with all terms and conditions of this exemption, renders the 
person to whom the exemption is

[[Page 159]]

granted, and any other person to whom the provisions of Sec. 89.1003(a) 
are applicable, liable to suit under sections 204 and 205 of the Act.
    (c) Manufacturers may ask EPA to apply the provisions of 40 CFR 
1068.201(i) to engines exempted or excluded under this subpart.

[59 FR 31335, June 17, 1994, as amended at 69 FR 39213, June 29, 2004]



Sec. 89.911  Submission of exemption requests.

    Requests for exemption or further information concerning exemptions 
and/or the exemption request review procedure should be addressed to: 
Chief, Selective Enforcement Auditing Section, Engine Programs and 
Compliance Division (6405-J), Environmental Protection Agency, 1200 
Pennsylvania Ave., NW., Washington, DC 20460.

[63 FR 57022, Oct. 23, 1998]



Sec. 89.912  Treatment of confidential information.

    The provisions for treatment of confidential information as 
described in Sec. 89.7 apply.



      Subpart K_General Enforcement Provisions and Prohibited Acts



Sec. 89.1001  Applicability.

    The requirements of subpart K are applicable to all nonroad engines 
subject to the provisions of subpart A of part 89, and to all nonroad 
vehicles and equipment that contain such nonroad engines.



Sec. 89.1002  Definitions.

    The definitions in subpart A of this part apply to this subpart.



Sec. 89.1003  Prohibited acts.

    (a) The following acts and the causing thereof are prohibited:
    (1)(i) In the case of a manufacturer of new nonroad engines, 
vehicles, or equipment for distribution in commerce, the sale, or the 
offering for sale, or the introduction, or delivery for introduction, 
into commerce, of any new nonroad engine manufactured after the 
applicable effective date under this part, or any nonroad vehicle or 
equipment containing such engine, unless such engine is covered by a 
certificate of conformity issued (and in effect) under regulations found 
in this part.
    (ii) In the case of any person, except as provided in subpart G of 
this part, the importation into the United States of any new nonroad 
engine manufactured after the applicable effective date under this part, 
or any nonroad vehicle or equipment containing such engine, unless such 
engine is covered by a certificate of conformity issued (and in effect) 
under regulations found in this part.
    (2)(i) For a person to fail or refuse to permit access to or copying 
of records or to fail to make reports or provide information required 
under Sec. 89.1004.
    (ii) For a person to fail or refuse to permit entry, testing, or 
inspection authorized under Sec. Sec. 89.129, 89.506 or 89.1004.
    (iii) For a person to fail or refuse to perform tests, or to have 
tests performed as required under Sec. Sec. 89.119 or 89.1004.
    (iv) For a person to fail to establish or maintain records as 
required under Sec. 89.1004.
    (3)(i) For a person to remove or render inoperative a device or 
element of design installed on or in a nonroad engine, vehicle or 
equipment in compliance with regulations under this part prior to its 
sale and delivery to the ultimate purchaser, or for a person knowingly 
to remove or render inoperative such a device or element of design after 
the sale and delivery to the ultimate purchaser; or
    (ii) For a person to manufacture, sell or offer to sell, or install, 
a part or component intended for use with, or as part of, a nonroad 
engine, vehicle or equipment, where a principal effect of the part or 
component is to bypass, defeat, or render inoperative a device or 
element of design installed on or in a nonroad engine in compliance with 
regulations issued under this part, and where the person knows or should 
know that the part or component is being offered for sale or installed 
for this use or put to such use; or
    (iii) For a person to deviate from the provisions of Sec. 89.130 
when rebuilding an engine (or rebuilding a portion of an engine or 
engine system).

[[Page 160]]

    (4) For a manufacturer of a new nonroad engine subject to standards 
prescribed under this part:
    (i) To sell, offer for sale, or introduce or deliver into commerce, 
a nonroad engine unless the manufacturer has complied with the 
requirements of Sec. 89.1007.
    (ii) To sell, offer for sale, or introduce or deliver into commerce, 
a nonroad engine unless a label or tag is affixed to the engine in 
accordance with Sec. 89.110.
    (iii) To fail or refuse to comply with the requirements of Sec. 
89.1008.
    (iv) Except as provided in Sec. 89.109, to provide directly or 
indirectly in any communication to the ultimate purchaser or a 
subsequent purchaser that the coverage of a warranty under the Act is 
conditioned upon use of a part, component, or system manufactured by the 
manufacturer or a person acting for the manufacturer or under its 
control, or conditioned upon service performed by such persons.
    (v) To fail or refuse to comply with the terms and conditions of the 
warranty under Sec. 89.1007.
    (5) For a person to circumvent or attempt to circumvent the 
residence time requirements of paragraph (2)(iii) of the nonroad engine 
definition in Sec. 89.2.
    (6) For a manufacturer of nonroad vehicles or equipment to 
distribute in commerce, sell, offer for sale, or introduce into commerce 
a nonroad vehicle or piece of equipment which contains an engine not 
covered by a certificate of conformity, except as otherwise allowed by 
this part.
    (b) For the purposes of enforcement of this part, the following 
apply:
    (1) Nothing in paragraph (a)(3) of this section is to be construed 
to require the use of manufacturer parts in maintaining or repairing a 
nonroad engine.
    (2) Actions for the purpose of repair or replacement of a device or 
element of design or any other item are not considered prohibited acts 
under Sec. 89.1003(a) if the action is a necessary and temporary 
procedure, the device or element is replaced upon completion of the 
procedure, and the action results in the proper functioning of the 
device or element of design.
    (3) Actions for the purpose of a conversion of a nonroad engine for 
use of a clean alternative fuel (as defined in Title II of the Act) are 
not considered prohibited acts under Sec. 89.1003(a) if:
    (i) the vehicle complies with the applicable standard when operating 
on the alternative fuel, and the device or element is replaced upon 
completion of the conversion procedure, and
    (ii) in the case of engines converted to dual fuel or flexible use, 
the action results in proper functioning of the device or element when 
the nonroad engine operates on conventional fuel.
    (4) Certified nonroad engines shall be used in all vehicles and 
equipment manufactured on or after the applicable model years in Sec. 
89.112 that are self-propelled, portable, transportable, or are intended 
to be propelled while performing their function, unless the manufacturer 
of the vehicle or equipment can prove that the vehicle or equipment will 
be used in a manner consistent with paragraph (2) of the definition of 
nonroad engine in Sec. 89.2. After the date on which a new standard 
takes effect, nonroad vehicle and equipment manufacturers may continue 
to use nonroad engines built prior to this date that are not certified 
to the standard until inventories of those engines are depleted; 
however, stockpiling of such nonroad engines will be considered a 
violation of this section.
    (5) A manufacturer of nonroad vehicles may install an engine 
certified to the motor vehicle requirements of 40 CFR part 86 in a 
nonroad vehicle or equipment where:
    (i) The subject nonroad vehicle or equipment is designed for travel 
on public streets and highways to get from one job site to another; and
    (ii) The engine serves to propel the vehicle or equipment when it is 
operated on public roads; and
    (iii) There is no adjustment outside of the manufacturer's 
specifications or removal or rendering inoperative of devices or 
elements of design installed on or in the engine by the original engine 
manufacturer for purposes of emission control or any other action that 
may be considered tampering under section 203 of the Clean Air Act or 
paragraph (a)(3) of this section; and

[[Page 161]]

    (iv) A certified nonroad engine is not available with appropriate 
physical or performance characteristics; or
    (v) A state requires the use of an on-highway engine pursuant to a 
waiver granted by EPA under section 209(e) of the Clean Air Act.
    (6) A manufacturer that produces nonroad vehicles or equipment by 
performing modifications to complete or incomplete motor vehicles may 
retain the motor vehicle engine in such vehicle or equipment provided 
that:
    (i) The engine is certified to the motor vehicle requirements of 40 
CFR part 86; and
    (ii) The on-highway vehicle is not available from its manufacturer 
with a certified nonroad engine having appropriate performance 
characteristics; and
    (iii) There is no adjustment outside of the manufacturer's 
specifications or removal or rendering inoperative of devices or 
elements of design installed on or in the engine or vehicle by the 
original engine or vehicle manufacturer for purposes of emission 
control, or any other action that may be considered tampering under 
section 203 of the Clean Air Act or paragraph (a)(3) of this section.
    (7) A new nonroad engine intended solely to replace a nonroad engine 
in a piece of nonroad equipment, where the engine requiring replacement 
is not certified or is certified to emission standards that are less 
stringent than those in effect when the replacement engine is built, 
shall not be subject to the prohibitions of paragraph (a)(1) of this 
section or to the requirements of Sec. 89.105 and paragraph (b)(4) of 
this section, provided that:
    (i) The engine manufacturer has ascertained that no engine produced 
by itself or by the manufacturer of the engine that is being replaced, 
if different, and certified to the requirements of this subpart, is 
available with the appropriate physical or performance characteristics 
to repower the equipment; and
    (ii) The engine manufacturer or its agent takes ownership and 
possession of the engine being replaced in partial exchange for the 
replacement engine; and
    (iii) The replacement engine is clearly labeled with the following 
language, or similar alternate language approved by the Administrator: 
THIS ENGINE DOES NOT COMPLY WITH FEDERAL NONROAD OR ON-HIGHWAY EMISSION 
REQUIREMENTS. SALE OR INSTALLATION OF THIS ENGINE FOR ANY PURPOSE OTHER 
THAN AS A REPLACEMENT ENGINE FOR AN ENGINE MANUFACTURED PRIOR TO JANUARY 
1 [INSERT APPROPRIATE YEAR] IS A VIOLATION OF FEDERAL LAW SUBJECT TO 
CIVIL PENALTY; and
    (iv) In cases where an engine is to be imported for replacement 
purposes under the provisions of this paragraph (b)(7), the term 
``engine manufacturer'' shall not apply to an individual or other entity 
that does not possess a current Certificate of Conformity issued by EPA 
under this part; and
    (v) Where the replacement engine is intended to replace an engine 
that is certified to emission standards that are less stringent than 
those in effect when the replacement engine is built, the replacement 
engine shall be identical in all material respects to a certified 
configuration of the same or later model year as the engine being 
replaced; and
    (vi) Engines sold pursuant to the provisions of this paragraph 
(b)(7) will neither generate nor use emission credits and will not be 
part of any accounting under the averaging, banking and trading program.

[59 FR 31335, June 17, 1994, as amended at 61 FR 58106, Nov. 12, 1996; 
63 FR 57022, Oct. 23, 1998]



Sec. 89.1004  General enforcement provisions.

    (a) Information collection provisions. (1) Every manufacturer of new 
nonroad engines and other persons subject to the requirements of this 
part must establish and maintain records, perform tests where such 
testing is not otherwise reasonably available under this part, make 
reports and provide information the Administrator may reasonably require 
to determine whether the manufacturer or other person has acted or is 
acting in compliance with this part or to otherwise carry out the 
provisions of this part, and must, upon request of an officer or 
employee duly

[[Page 162]]

designated by the Administrator, permit the officer or employee at 
reasonable times to have access to and copy such records. The 
manufacturer shall comply in all respects with the requirements of 
subpart I of this part.
    (2) For purposes of enforcement of this part, an officer or employee 
duly designated by the Administrator, upon presenting appropriate 
credentials, is authorized:
    (i) To enter, at reasonable times, any establishment of the 
manufacturer, or of any person whom the manufacturer engaged to perform 
any activity required under paragraph (a) (1) of this section, for the 
purposes of inspecting or observing any activity conducted pursuant to 
paragraph (a)(1) of this section, and
    (ii) To inspect records, files, papers, processes, controls, and 
facilities used in performing an activity required by paragraph (a)(1) 
of this section, by the manufacturer or by a person whom the 
manufacturer engaged to perform the activity.
    (b) Exemption provision. The Administrator may exempt a new nonroad 
engine from Sec. 89.1003 upon such terms and conditions as the 
Administrator may find necessary for the purpose of export, research, 
investigations, studies, demonstrations, or training, or for reasons of 
national security.
    (c) Importation provision. (1) A new nonroad engine, vehicle, or 
equipment offered for importation or imported by a person in violation 
of Sec. 89.1003 is to be refused admission into the United States, but 
the Secretary of the Treasury and the Administrator may, by joint 
regulation, provide for deferring a final determination as to admission 
and authorizing the delivery of such a nonroad engine offered for import 
to the owner or consignee thereof upon such terms and conditions 
(including the furnishing of a bond) as may appear to them appropriate 
to insure that the nonroad engine will be brought into conformity with 
the standards, requirements, and limitations applicable to it under this 
part.
    (2) If a nonroad engine is finally refused admission under this 
paragraph, the Secretary of the Treasury shall cause disposition thereof 
in accordance with the customs laws unless it is exported, under 
regulations prescribed by the Secretary, within 90 days of the date of 
notice of the refusal or additional time as may be permitted pursuant to 
the regulations.
    (3) Disposition in accordance with the customs laws may not be made 
in such manner as may result, directly or indirectly, in the sale, to 
the ultimate consumer, of a new nonroad engine that fails to comply with 
applicable standards of the Administrator under this part.
    (d) Export provision. A new nonroad engine intended solely for 
export, and so labeled or tagged on the outside of the container and on 
the engine itself, shall be subject to the provisions of Sec. 89.1003, 
except that if the country that is to receive the engine has emission 
standards that differ from the standards prescribed under subpart B of 
this part, then the engine must comply with the standards of the country 
that is to receive the engine.



Sec. 89.1005  Injunction proceedings for prohibited acts.

    (a) The district courts of the United States have jurisdiction to 
restrain violations of Sec. 89.1003(a).
    (b) Actions to restrain violations of Sec. 89.1003(a) must be 
brought by and in the name of the United States. In an action, subpoenas 
for witnesses who are required to attend a district court in any 
district may run into any other district.



Sec. 89.1006  Penalties.

    (a) Violations. A violation of the requirements of this subpart is a 
violation of the applicable provisions of the Act, including sections 
213(d) and 203, and is subject to the penalty provisions thereunder.
    (1) A person who violates Sec. 89.1003(a)(1), (a)(4), or (a)(6), or 
a manufacturer or dealer who violates Sec. 89.1003(a)(3)(i), is subject 
to a civil penalty of not more than $25,000 for each violation.
    (2) A person other than a manufacturer or dealer who violates Sec. 
89.1003(a)(3)(i) or any person who violates Sec. 89.1003(a)(3)(ii) is 
subject to a civil penalty of not more than $2,500 for each violation.

[[Page 163]]

    (3) A violation with respect to Sec. 89.1003 (a)(1), (a)(3)(i), 
(a)(4), or (a)(6) constitutes a separate offense with respect to each 
nonroad engine.
    (4) A violation with respect to Sec. 89.1003(a)(3)(ii) constitutes 
a separate offense with respect to each part or component. Each day of a 
violation with respect to Sec. 89.1003(a)(5) constitutes a separate 
offense.
    (5) A person who violates Sec. 89.1003(a)(2) or (a)(5) is subject 
to a civil penalty of not more than $25,000 per day of violation.
    (b) Civil actions. The Administrator may commence a civil action to 
assess and recover any civil penalty under paragraph (a) of this 
section.
    (1) An action under this paragraph may be brought in the district 
court of the United States for the district in which the defendant 
resides or has the Administrator's principal place of business, and the 
court has jurisdiction to assess a civil penalty.
    (2) In determining the amount of a civil penalty to be assessed 
under this paragraph, the court is to take into account the gravity of 
the violation, the economic benefit or savings (if any) resulting from 
the violation, the size of the violator's business, the violator's 
history of compliance with Title II of the Act, action taken to remedy 
the violation, the effect of the penalty on the violator's ability to 
continue in business, and such other matters as justice may require.
    (3) In any such action, subpoenas for witnesses who are required to 
attend a district court in any district may run into any other district.
    (c) Administrative assessment of certain penalties--(1) 
Administrative penalty authority. In lieu of commencing a civil action 
under paragraph (b) of this section, the Administrator may assess any 
civil penalty prescribed in paragraph (a) of this section, except that 
the maximum amount of penalty sought against each violator in a penalty 
assessment proceeding shall not exceed $200,000, unless the 
Administrator and the Attorney General jointly determine that a matter 
involving a larger penalty amount is appropriate for administrative 
penalty assessment. Any such determination by the Administrator and the 
Attorney General is not subject to judicial review. Assessment of a 
civil penalty shall be by an order made on the record after opportunity 
for a hearing held in accordance with the procedures found at part 22 of 
this chapter. The Administrator may compromise, or remit, with or 
without conditions, any administrative penalty which may be imposed 
under this section.
    (2) Determining amount. In determining the amount of any civil 
penalty assessed under this paragraph, the Administrator shall take into 
account the gravity of the violation, the economic benefit or savings 
(if any) resulting from the violation, the size of the violator's 
business, the violator's history of compliance with Title II of the Act, 
action taken to remedy the violation, the effect of the penalty on the 
violator's ability to continue in business, and such other matters as 
justice may require.
    (3) Effect of administrator's action. (i) Action by the 
Administrator under this paragraph does not affect or limit the 
Administrator's authority to enforce any provisions of the Act; except 
that any violation with respect to which the Administrator has commenced 
and is diligently prosecuting an action under this paragraph, or for 
which the Administrator has issued a final order not subject to further 
judicial review and for which the violator has paid a penalty assessment 
under this paragraph shall not be the subject of a civil penalty action 
under paragraph (b) of this section.
    (ii) No action by the Administrator under this paragraph shall 
affect a person's obligation to comply with a section of this part.
    (4) Finality of order. An order issued under this subsection is to 
become final 30 days after its issuance unless a petition for judicial 
review is filed under paragraph (c)(5) of this section.
    (5) Judicial review. A person against whom a civil penalty is 
assessed in accordance with this subsection may seek review of the 
assessment in the United States District Court for the District of 
Columbia or for the district in which the violation is alleged to have 
occurred, in which such person resides, or where the person's principal 
place of business is located, within the

[[Page 164]]

30-day period beginning on the date a civil penalty order is issued. The 
person shall simultaneously send a copy of the filing by certified mail 
to the Administrator and the Attorney General. The Administrator shall 
file in the court within 30 days a certified copy, or certified index, 
as appropriate, of the record on which the order was issued. The court 
is not to set aside or remand any order issued in accordance with the 
requirements of this paragraph unless substantial evidence does not 
exist in the record, taken as a whole, to support the finding of a 
violation or unless the Administrator's assessment of the penalty 
constitutes an abuse of discretion, and the court is not to impose 
additional civil penalties unless the Administrator's assessment of the 
penalty constitutes an abuse of discretion. In any proceedings, the 
United States may seek to recover civil penalties assessed under this 
section.
    (6) Collection. (i) If any person fails to pay an assessment of a 
civil penalty imposed by the Administrator as provided in this part 
after the order making the assessment has become final or after a court 
in an action brought under paragraph (c)(5) of this section has entered 
a final judgment in favor of the Administrator, the Administrator shall 
request that the Attorney General bring a civil action in an appropriate 
district court to recover the amount assessed (plus interest at rates 
established pursuant to section 6621(a)(2) of the Internal Revenue Code 
of 1986 from the date of the final order or the date of final judgment, 
as the case may be). In such an action, the validity, amount, and 
appropriateness of the penalty is not subject to review.
    (ii) A person who fails to pay on a timely basis the amount of an 
assessment of a civil penalty as described in paragraph (c)(6)(i) of 
this section shall be required to pay, in addition to that amount and 
interest, the United States' enforcement expenses, including attorney's 
fees and costs for collection proceedings, and a quarterly nonpayment 
penalty for each quarter during which the failure to pay persists. The 
nonpayment penalty is an amount equal to ten percent of the aggregate 
amount of that person's penalties and nonpayment penalties which are 
unpaid as of the beginning of such quarter.



Sec. 89.1007  Warranty provisions.

    (a) The manufacturer of each nonroad engine must warrant to the 
ultimate purchaser and each subsequent purchaser that the engine is 
designed, built, and equipped so as to conform at the time of sale with 
applicable regulations under section 213 of the Act, and is free from 
defects in materials and workmanship which cause such engine to fail to 
conform with applicable regulations for its warranty period (as 
determined under Sec. 89.104).
    (b) In the case of a nonroad engine part, the manufacturer or 
rebuilder of the part may certify according to Sec. 85.2112 that use of 
the part will not result in a failure of the engine to comply with 
emission standards promulgated in this part.
    (c) For the purposes of this section, the owner of any nonroad 
engine warranted under this part is responsible for the proper 
maintenance of the engine. Proper maintenance includes replacement and 
service, at the owner's expense at a service establishment or facility 
of the owner's choosing, of all parts, items, or devices related to 
emission control (but not designed for emission control) under the terms 
of the last sentence of section 207(a)(3) of the Act, unless such part, 
item, or device is covered by any warranty not mandated by this Act.

[59 FR 31335, June 17, 1994, as amended at 63 FR 57023, Oct. 23, 1998]



Sec. 89.1008  In-use compliance provisions.

    (a) Effective with respect to nonroad vehicles, equipment, and 
engines manufactured during model years 1996 and after:
    (1) If the Administrator determines that a substantial number of any 
class or category of engines, although properly maintained and used, do 
not conform to the regulations prescribed under section 213 of the Act 
when in actual use throughout their recall period (as defined under 
Sec. 89.104(b)), the Administrator shall immediately notify the 
manufacturer of such nonconformity and require the manufacturer to 
submit a plan for remedying the

[[Page 165]]

nonconformity of the engines with respect to which such notification is 
given.
    (i) The manufacturer's plan shall provide that the nonconformity of 
any such engines which are properly used and maintained will be remedied 
at the expense of the manufacturer.
    (ii) If the manufacturer disagrees with such determination of 
nonconformity and so advises the Administrator, the Administrator shall 
afford the manufacturer and other interested persons an opportunity to 
present their views and evidence in support thereof at a public hearing. 
Unless, as a result of such hearing, the Administrator withdraws such 
determination of nonconformity, the Administrator shall, within 60 days 
after the completion of such hearing, order the manufacturer to provide 
prompt notification of such nonconformity in accordance with paragraph 
(a)(2) of this section. The manufacturer shall comply in all respects 
with the requirements of subpart G of this part.
    (2) Any notification required to be given by the manufacturer under 
paragraph (a)(1) of this section with respect to any class or category 
of engines shall be given to dealers, ultimate purchasers, and 
subsequent purchasers (if known) in such manner and containing such 
information as required in subparts H and I of this part.
    (3)(i) The manufacturer shall furnish with each new nonroad engine 
written instructions for the proper maintenance and use of the engine by 
the ultimate purchaser as required under Sec. 89.109. The manufacturer 
shall provide in boldface type on the first page of the written 
maintenance instructions notice that maintenance, replacement, or repair 
of the emission control devices and systems may be performed by any 
nonroad engine repair establishment or individual using any nonroad 
engine part which has been certified as provided in Sec. 89.1007(a).
    (ii) The instruction under paragraph (3)(i) of this section must not 
include any condition on the ultimate purchaser's using, in connection 
with such engine, any component or service (other than a component or 
service provided without charge under the terms of the purchase 
agreement) which is identified by brand, trade, or corporate name. 
Subject instructions also must not directly or indirectly distinguish 
between service performed by the franchised dealers of such 
manufacturer, or any other service establishments with which such 
manufacturer has a commercial relationship, and service performed by 
independent nonroad engine repair facilities with which such 
manufacturer has no commercial relationship.
    (iii) The prohibition of paragraph (a)(3)(ii) of this section may be 
waived by the Administrator if:
    (A) The manufacturer satisfies the Administrator that the engine 
will function properly only if the component or service so identified is 
used in connection with such engine, and
    (B) The Administrator finds that such a waiver is in the public 
interest.
    (iv) In addition, the manufacturer shall indicate by means of a 
label or tag permanently affixed to the engine that the engine is 
covered by a certificate of conformity issued for the purpose of 
assuring achievement of emission standards prescribed under section 213 
of the Act. This label or tag shall also contain information relating to 
control of emissions as prescribed under Sec. 89.110.
    (b) The manufacturer bears all cost obligation a dealer incurs as a 
result of a requirement imposed by paragraph (a) of this section. The 
transfer of any such cost obligation from a manufacturer to a dealer 
through franchise or other agreement is prohibited.
    (c) If a manufacturer includes in an advertisement a statement 
respecting the cost or value of emission control devices or systems, the 
manufacturer shall set forth in the statement the cost or value 
attributed to these devices or systems by the Secretary of Labor 
(through the Bureau of Labor Statistics). The Secretary of Labor, and 
his or her representatives, has the same access for this purpose to the 
books, documents, papers, and records of a manufacturer as the 
Comptroller General has to those of a recipient of assistance for 
purposes of section 311 of the Act.
    (d) Any inspection of a nonroad engine for purposes of paragraph 
(a)(1) of

[[Page 166]]

this section, after its sale to the ultimate purchaser, is to be made 
only if the owner of such vehicle or engine voluntarily permits such 
inspection to be made, except as may be provided by any state or local 
inspection program.



PART 90_CONTROL OF EMISSIONS FROM NONROAD SPARK-IGNITION ENGINES AT OR 
BELOW 19 KILOWATTS--Table of Contents




                            Subpart A_General

Sec.
90.1 Applicability.
90.2 Effective dates.
90.3 Definitions.
90.4 Treatment of confidential information.
90.5 Acronyms and abbreviations.
90.6 Table and figure numbering; position.
90.7 Reference materials.

        Subpart B_Emission Standards and Certification Provisions

90.101 Applicability.
90.102 Definitions.
90.103 Exhaust emission standards.
90.104 Compliance with emission standards.
90.105 Useful life periods for Phase 2 engines.
90.106 Certificate of conformity.
90.107 Application for certification.
90.108 Certification.
90.109 Requirement of certification--closed crankcase.
90.110 Requirement of certification--prohibited controls.
90.111 Requirement of certification--prohibition of defeat devices.
90.112 Requirement of certification--adjustable parameters.
90.113 In-use testing program for Phase 1 engines.
90.114 Requirement of certification--engine information label.
90.115 Requirement of certification--supplying production engines upon 
          request.
90.116 Certification procedure--determining engine displacement, engine 
          class, and engine families.
90.117 Certification procedure--test engine selection.
90.118 Certification procedure--service accumulation and usage of 
          deterioration factors.
90.119 Certification procedure--testing.
90.120 Certification procedure--use of special test procedures.
90.121 Certification procedure--recordkeeping.
90.122 Amending the application and certificate of conformity.
90.123 Denial, revocation of certificate of conformity.
90.124 Request for hearing.
90.125 Hearing procedures.
90.126 Right of entry and access.

   Subpart C_Certification Averaging, Banking, and Trading Provisions

90.201 Applicability.
90.202 Definitions.
90.203 General provisions.
90.204 Averaging.
90.205 Banking.
90.206 Trading.
90.207 Credit calculation and manufacturer compliance with emission 
          standards.
90.208 Certification.
90.209 Maintenance of records.
90.210 End-of-year and final reports.
90.211 Request for hearing.

              Subpart D_Emission Test Equipment Provisions

90.301 Applicability.
90.302 Definitions.
90.303 Symbols, acronyms, abbreviations.
90.304 Test equipment overview.
90.305 Dynamometer specifications and calibration accuracy.
90.306 Dynamometer torque cell calibration.
90.307 Engine cooling system.
90.308 Lubricating oil and test fuels.
90.309 Engine intake air temperature measurement.
90.310 Engine intake air humidity measurement.
90.311 Test conditions.
90.312 Analytical gases.
90.313 Analyzers required.
90.314 Analyzer accuracy and specifications.
90.315 Analyzer initial calibration.
90.316 Hydrocarbon analyzer calibration.
90.317 Carbon monoxide analyzer calibration.
90.318 Oxides of nitrogen analyzer calibration.
90.319 NOX converter check.
90.320 Carbon dioxide analyzer calibration.
90.321 NDIR analyzer calibration.
90.322 Calibration of other equipment.
90.323 Analyzer bench checks.
90.324 Analyzer leakage check.
90.325 Analyzer interference checks.
90.326 Pre- and post-test analyzer calibration.
90.327 Sampling system requirements.
90.328 Measurement equipment accuracy/calibration frequency table.
90.329 Catalyst thermal stress test.

Appendix A to Subpart D of Part 90--Tables
Appendix B to Subpart D of Part 90--Figures

[[Page 167]]

                Subpart E_Gaseous Exhaust Test Procedures

90.401 Applicability.
90.402 Definitions.
90.403 Symbols, acronyms, and abbreviations.
90.404 Test procedure overview.
90.405 Recorded information.
90.406 Engine parameters to be measured and recorded.
90.407 Engine inlet and exhaust systems.
90.408 Pre-test procedures.
90.409 Engine dynamometer test run.
90.410 Engine test cycle.
90.411 Post-test analyzer procedures.
90.412 Data logging.
90.413 Exhaust sample procedure--gaseous components.
90.414 Raw gaseous exhaust sampling and analytical system description.
90.415 Raw gaseous sampling procedures.
90.416 Intake air flow measurement specifications.
90.417 Fuel flow measurement specifications.
90.418 Data evaluation for gaseous emissions.
90.419 Raw emission sampling calculations--gasoline fueled engines.
90.420 CVS concept of exhaust gas sampling system.
90.421 Dilute gaseous exhaust sampling and analytical system 
          description.
90.422 Background sample.
90.423 Exhaust gas analytical system; CVS grab sample.
90.424 Dilute sampling procedures--CVS calibration.
90.425 CVS calibration frequency.
90.426 Dilute emission sampling calculations--gasoline fueled engines.
90.427 Catalyst thermal stress resistance evaluation.

Appendix A to Subpart E of Part 90--Tables
Appendix B to Subpart E of Part 90--Figures

                Subpart F_Selective Enforcement Auditing

90.501 Applicability.
90.502 Definitions.
90.503 Test orders.
90.504 Testing by the Administrator.
90.505 Maintenance of records; submittal of information.
90.506 Right of entry and access.
90.507 Sample selection.
90.508 Test procedures.
90.509 Calculation and reporting of test results.
90.510 Compliance with acceptable quality level and passing and failing 
          criteria for selective enforcement audits.
90.511 Suspension and revocation of certificates of conformity.
90.512 Request for public hearing.
90.513 Administrative procedures for public hearing.
90.514 Hearing procedures.
90.515 Appeal of hearing decision.
90.516 Treatment of confidential information.

Appendix A to Subpart F of Part 90--Sampling Plans for Selective 
          Enforcement Auditing of Small Nonroad Engines

             Subpart G_Importation of Nonconforming Engines

90.601 Applicability.
90.602 Definitions.
90.603 [Reserved]
90.604 General requirements.
90.605-90.610 [Reserved]
90.611 Importation for purposes other than resale.
90.612 Exemptions and exclusions.
90.613 Prohibited acts; penalties.
90.614 Treatment of confidential information.

         Subpart H_Manufacturer Production Line Testing Program

90.701 Applicability.
90.702 Definitions.
90.703 Production line testing by the manufacturer.
90.704 Maintenance of records; submission of information.
90.705 Right of entry and access.
90.706 Engine sample selection.
90.707 Test procedures.
90.708 Cumulative Sum (CumSum) procedure.
90.709 Calculation and reporting of test results.
90.710 Compliance with criteria for production line testing.
90.711 Suspension and revocation of certificates of conformity.
90.712 Request for public hearing.
90.713 Administrative procedures for public hearing.

  Subpart I_Emission-related Defect Reporting Requirements, Voluntary 
                Emission Recall Program, Ordered Recalls

90.801 Applicability.
90.802 Definitions.
90.803 Emission defect information report.
90.804 Voluntary emissions recall.
90.805 Reports, voluntary recall plan filing, record retention.
90.806 Responsibility under other legal provisions preserved.
90.807 Disclaimer of production warranty applicability.
90.808 Ordered recall provisions.

[[Page 168]]

  Subpart J_Exclusion and Exemption of Nonroad Engines From Regulations

90.901 Applicability.
90.902 Definitions.
90.903 Exclusions, application of section 216 (10) and (11) of the Act.
90.904 Who may request an exemption.
90.905 Testing exemption.
90.906 Manufacturer-owned exemption and precertification exemption.
90.907 Display exemption.
90.908 National security exemption.
90.909 Export exemptions.
90.910 Granting of exemptions.
90.911 Submission of exemption requests.
90.912 Treatment of confidential information.

      Subpart K_Prohibited Acts and General Enforcement Provisions

90.1001 Applicability.
90.1002 Definitions.
90.1003 Prohibited acts.
90.1004 General enforcement provisions.
90.1005 Injunction proceedings for prohibited acts.
90.1006 Penalties.

        Subpart L_Emission Warranty and Maintenance Instructions

90.1101 Applicability.
90.1102 Definitions.
90.1103 Emission warranty, warranty period.
90.1104 Furnishing of maintenance instructions to ultimate purchaser.

                   Subpart M_Voluntary In-Use Testing

90.1201 Applicability.
90.1202 Definitions.
90.1203 Voluntary Manufacturer In-use testing program.
90.1204 Maintenance, aging and testing of engines.
90.1205 In-use test program reporting requirements.
90.1206 Reserved.
90.1207 Entry and access.
90.1208-90.1249 [Reserved]

    Authority: 42 U.S.C. 7521, 7522, 7523, 7524, 7525, 7541, 7542, 7543, 
7547, 7549, 7550, and 7601(a).

    Source: 60 FR 34598, July 3, 1995, unless otherwise noted.



                            Subpart A_General



Sec. 90.1  Applicability.

    (a) This part applies to new nonroad spark-ignition engines and 
vehicles with gross power output at or below 19 kilowatts (kW) used for 
any purpose, unless we exclude them under paragraph (d) of this section.
    (b) This part also applies to engines with a gross power output 
above 19 kW if the manufacturer uses the provisions of 40 CFR 1048.615 
or 1051.145(a)(3) to exempt them from the requirements of 40 CFR part 
1048 or 1051, respectively. Compliance with the provisions of this part 
is a required condition of those exemptions.
    (c) [Reserved]
    (d) The following nonroad engines and vehicles are not subject to 
the provisions of this part:
    (1) Engines certified to meet the requirements of 40 CFR part 1051 
(e.g., engines used in snowmobiles). This part nevertheless applies to 
engines used in recreational vehicles if the manufacturer uses the 
provisions of 40 CFR 1051.145(a)(3) to exempt them from the requirements 
of 40 CFR part 1051. Compliance with the provisions of this part is a 
required condition of that exemption.
    (2) Engines used in highway motorcycles. See 40 CFR part 86, subpart 
E.
    (3) Propulsion marine engines. See 40 CFR part 91. This part applies 
with respect to auxiliary marine engines.
    (4) Engines used in aircraft. See 40 CFR part 87.
    (5) Engines certified to meet the requirements of 40 CFR part 1048.
    (6) Hobby engines.
    (7) Engines that are used exclusively in emergency and rescue 
equipment where no certified engines are available to power the 
equipment safely and practically, but not including generators, 
alternators, compressors or pumps used to provide remote power to a 
rescue tool. The equipment manufacturer bears the responsibility to 
ascertain on an annual basis and maintain documentation available to the 
Administrator that no appropriate certified engine is available from any 
source.
    (e) Engines subject to the provisions of this subpart are also 
subject to the provisions found in subparts B through N of this part, 
except that Subparts C, H, M and N of this part apply only to Phase 2 
engines as defined in this subpart.
    (f) Certain text in this part is identified as pertaining to Phase 1 
or Phase 2 engines. Such text pertains only to

[[Page 169]]

engines of the specified Phase. If no indication of Phase is given, the 
text pertains to all engines, regardless of Phase.
    (g) This part also applies to engines under 50 cc used in 
motorcycles that are motor vehicles if the manufacturer uses the 
provisions of 40 CFR 86.447-2006 to meet the emission standards in this 
part instead of the requirements of 40 CFR part 86. In this case, 
compliance with the provisions of this part is a required condition of 
that exemption.

[67 FR 68339, Nov. 8, 2002, as amended at 69 FR 2441, Jan. 15, 2004]



Sec. 90.2  Effective dates.

    (a) This subpart applies to nonroad spark-ignition engines at or 
below 19 kW effective with the 1997 model year.
    (b) Notwithstanding paragraph (a) of this section, this subpart 
applies to class V engines, as specified in Sec. 90.116(b)(5), that are 
preempted from regulation in California by section 209(e)(1)(A) of the 
Act, effective January 1, 1998.
    (c) Notwithstanding paragraphs (a) and (b) of this section, engines 
used in recreational vehicles with engine rated speed greater than or 
equal to 5,000 rpm and with no installed speed governor are not subject 
to the provisions of this part through the 2005 model year. Starting 
with the 2006 model year, all the requirements of this part apply to 
engines used in these vehicles if they are not included in the scope of 
40 CFR part 1051.

[60 FR 34598, July 3, 1995, as amended at 67 FR 68339, Nov. 8, 2002]



Sec. 90.3  Definitions.

    The following definitions apply to part 90. All terms not defined 
herein have the meaning given them in the Act.
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401 et seq.
    Aircraft means any vehicle capable of sustained air travel above 
treetop heights.
    Adjustable parameter means any device, system, or element of design 
which is physically capable of being adjusted (including those which are 
difficult to access) and which, if adjusted, may affect emissions or 
engine performance during emission testing or normal in-use operation.
    Administrator means the Administrator of the Environmental 
Protection Agency or his or her authorized representative.
    Aftertreatment means the passage of exhaust gases through a device 
or system such as a catalyst whose purpose is to chemically alter the 
gases prior to their release to the atmosphere.
    Auxiliary emission control device (AECD) means any element of design 
that senses temperature, vehicle speed, engine RPM, transmission gear, 
or any other parameter for the purpose of activating, modulating, 
delaying, or deactivating the operation of any part of the emission 
control system.
    Certification means, with respect to new nonroad engines, obtaining 
a certificate of conformity for an engine family complying with the 
nonroad engine emission standards and requirements specified in this 
part.
    DF or df means deterioration factor.
    Eligible production or U.S. production means Phase 2 engines 
produced for purposes of being used in the United States, and includes 
any engine exported and subsequently imported in a new piece of 
equipment, but excludes any engine introduced into commerce, by itself 
or in a piece of equipment, for use in a state that has established its 
own emission requirements applicable to such engines pursuant to a 
waiver granted by EPA under section 209(e) of the Clean Air Act.
    Emission control system means any device, system, or element of 
design which controls or reduces the emission of substances from an 
engine.
    Engine as used in this part, refers to nonroad engine.
    Engine family means a group of engines, as specified in Sec. 
90.116.
    Engine manufacturer means any person engaged in the manufacturing or 
assembling of new nonroad engines or the importing of such engines for 
resale, or who acts for and is under the control of any such person in 
connection with the distribution of such engines. Engine manufacturer 
does not include any dealer with respect to new nonroad engines received 
by such person in commerce.

[[Page 170]]

    EPA enforcement officer means any officer, employee, or authorized 
representative of the U.S. Environmental Protection Agency so designated 
in writing by the Administrator (or by his or her designee).
    Equipment manufacturer means a manufacturer of equipment using 
engines covered by the provisions of this Part who does not also 
manufacture engines covered by the provisions of this Part.
    Exhaust emissions means matter emitted into the atmosphere from any 
opening downstream from the exhaust port of a nonroad engine.
    Family Emission Limit or FEL means an emission level that is 
declared by the manufacturer to serve in lieu of an emission standard 
for the purposes of certification, production line testing, and 
Selective Enforcement Auditing for engines participating in the 
averaging, banking and trading program. A declared FEL will also serve 
in lieu of an emission standard where the manufacturer elects to perform 
voluntary in-use testing under this part. An FEL must be expressed to 
the same number of decimal places as the applicable emission standard.
    Fuel system means all components involved in the transport, 
metering, and mixture of the fuel from the fuel tank to the combustion 
chamber(s) including the following: fuel tank, fuel tank cap, fuel pump, 
fuel lines, oil injection metering system, carburetor or fuel injection 
components, and all fuel system vents.
    Gross power means the power measured at the crankshaft or its 
equivalent, the engine being equipped only with the standard accessories 
(such as oil pumps, coolant pumps, and so forth) necessary for its 
operation on the test bed.
    Handheld equipment engine means a nonroad engine that meets the 
requirements specified in Sec. 90.103(a)(2)(I) through (v).
    HC+NOX means total hydrocarbons plus oxides of nitrogen.
    Hobby engines means engines used in reduced-scale models of vehicles 
that are not capable of transporting a person (for example, model 
airplanes).
    Marine engine means an engine that someone installs or intends to 
install on a marine vessel. There are two kinds of marine engines:
    (1) Propulsion marine engine means a marine engine that moves a 
vessel through the water or directs the vessel's movement.
    (2) Auxiliary marine engine means a marine engine not used for 
propulsion.
    Marine vessel means a vehicle that is capable of operation in water 
but is not capable of operation out of water. Amphibious vehicles are 
not marine vessels.
    Model year (MY) means the manufacturer's annual new model production 
period which includes January 1 of the calendar year, ends no later than 
December 31 of the calendar year, and does not begin earlier than 
January 2 of the previous calendar year. Where a manufacturer has no 
annual new model production period, model year means calendar year.
    New, for the purposes of this part, means a nonroad engine or 
nonroad vehicle the equitable or legal title to which has never been 
transferred to an ultimate purchaser. Where the equitable or legal title 
to the engine or vehicle is not transferred to an ultimate purchaser 
until after the engine or vehicle is placed into service, then the 
engine or vehicle will no longer be new after it is placed into service. 
A nonroad engine or vehicle is placed into service when it is used for 
its functional purposes. With respect to imported nonroad engines or 
nonroad vehicles, the term ``new'' means an engine or vehicle that is 
not covered by a certificate of conformity issued under this part at the 
time of importation, and that is manufactured after the effective date 
of a regulation issued under this part which is applicable to such 
engine or vehicle (or which would be applicable to such engine or 
vehicle had it been manufactured for importation into the United 
States).
    New Class I engine family means any group of engines that employ a 
design that is different from engine families that the engine 
manufacturer has previously certified, and does not include any engine 
family certified on the basis of carryover data or any engine family 
that differs from another engine family solely as a result of a running 
change.

[[Page 171]]

    NMHC+NOX means nonmethane hydrocarbons plus oxides of 
nitrogen.
    Nonroad engine means:
    (1) Except as discussed in paragraph (2) of this definition, any 
internal combustion engine:
    (i) In or on a piece of equipment that is self-propelled or serves a 
dual purpose by both propelling itself and performing another function 
(such as garden tractors, off-highway mobile cranes, and bulldozers); or
    (ii) In or on a piece of equipment that is intended to be propelled 
while performing its function (such as lawnmowers and string trimmers); 
or
    (iii) That, by itself or in or on a piece of equipment, is portable 
or transportable, meaning designed to be and capable of being carried or 
moved from one location to another. Indicia of transportability include, 
but are not limited to, wheels, skids, carrying handles, dolly, trailer, 
or platform.
    (2) An internal combustion engine is not a nonroad engine if:
    (i) The engine is used to propel a motor vehicle or a vehicle used 
solely for competition, or is subject to standards promulgated under 
section 202 of the Act; or
    (ii) The engine is regulated by a federal New Source Performance 
Standard promulgated under section 111 of the Act; or
    (iii) The engine otherwise included in paragraph (1)(iii) of this 
definition remains or will remain at a location for more than 12 
consecutive months or a shorter period of time for an engine located at 
a seasonal source. A location is any site at a building, structure, 
facility, or installation. Any engine (or engines) that replaces an 
engine at a location and that is intended to perform the same or similar 
function as the engine replaced will be included in calculating the 
consecutive time period. An engine located at a seasonal source is an 
engine that remains at a seasonal source during the full annual 
operating period of the seasonal source. A seasonal source is a 
stationary source that remains in a single location on a permanent basis 
(i.e., at least two years) and that operates at that single location 
approximately three months (or more) each year. This paragraph does not 
apply to an engine after the engine is removed from the location.
    Nonroad vehicle means a vehicle that is powered by a nonroad engine 
as defined in this section and that is not a motor vehicle or a vehicle 
used solely for competition. Nonroad vehicle also includes equipment 
that is powered by nonroad engines.
    Nonroad vehicle manufacturer means any person engaged in the 
manufacturing or assembling of new nonroad vehicles or importing such 
vehicles for resale, or who acts for and is under the control of any 
such person in connection with the distribution of such vehicles. A 
nonroad vehicle manufacturer does not include any dealer with respect to 
new nonroad vehicles received by such person in commerce.
    Operating hours means:
    (1) For engine storage areas or facilities, all times during which 
personnel other than custodial personnel are at work in the vicinity of 
the storage area or facility and have access to it.
    (2) For all other areas or facilities, all times during which an 
assembly line is in operation or all times during which testing, 
maintenance, service accumulation, production or compilation of records, 
or any other procedure or activity related to certification testing, to 
translation of designs from the test stage to the production stage, or 
to engine manufacture or assembly is being carried out in a facility.
    Overhead valve engine means an otto-cycle, four stroke engine in 
which the intake and exhaust valves are located above the combustion 
chamber within the cylinder head. Such engines are sometimes referred to 
as ``valve-in-head'' engines.
    Phase 1 engine means any handheld or nonhandheld engine, that was 
produced under a certificate of conformity issued under the regulations 
in this part to the standard levels defined for Phase 1.
    Phase 2 engine means any handheld and nonhandheld engine that was 
produced under a certificate of conformity under the regulations in this 
part to the standards defined for Phase 2 engines.
    Presentation of credentials means the display of the document 
designating a

[[Page 172]]

person as an EPA enforcement officer or EPA authorized representative.
    Recreational means, for purposes of this part, relating to a vehicle 
intended by the vehicle manufacturer to be operated primarily for 
pleasure.
    Round, rounded or rounding means, unless otherwise specified, that 
numbers will be rounded according to ASTM-E29-93a, which is incorporated 
by reference in this part pursuant to Sec. 90.7.
    Scheduled maintenance means any adjustment, repair, removal, 
disassembly, cleaning, or replacement of components or systems required 
by the manufacturer to be performed on a periodic basis to prevent part 
failure or vehicle or engine malfunction, or those actions anticipated 
as necessary to correct an overt indication of malfunction or failure 
for which periodic maintenance is not appropriate.
    Side valve engine means an otto-cycle, four stroke engine in which 
the intake and exhaust valves are located to the side of the cylinder, 
not within the cylinder head. Such engines are sometimes referred to as 
``L-head'' engines.
    Small volume engine family means any handheld engine family or any 
nonhandheld engine family whose eligible production in a given model 
year are projected at the time of certification to be no more than 5,000 
engines.
    Small volume engine manufacturer means, for nonhandheld engines, any 
engine manufacturer whose total eligible production of nonhandheld 
engines are projected at the time of certification of a given model year 
to be no more than 10,000 nonhandheld engines. For handheld engines, the 
term small volume engine manufacturer means any engine manufacturer 
whose total eligible production of handheld engines are projected at the 
time of certification of a given model year to be no more than 25,000 
handheld engines.
    Small volume equipment manufacturer means, for nonhandheld 
equipment, any equipment manufacturer whose production of nonhandheld 
equipment subject to regulation under this part or powered by engines 
regulated under this part, does not exceed 5,000 pieces for a given 
model year or annual production period excluding that equipment intended 
for introduction into commerce for use in a state that has established 
its own emission requirements applicable to such equipment or engines in 
such equipment, pursuant to a waiver granted by EPA under section 209(e) 
of the Clean Air Act. For handheld equipment, the term small volume 
equipment manufacturer has the same meaning except that it is limited to 
25,000 pieces of handheld equipment rather than 5,000 pieces of 
nonhandheld equipment.
    Small volume equipment model means, for nonhandheld equipment, any 
unique model of equipment whose production subject to regulations under 
this part or powered by engines regulated under this part, does not 
exceed 500 pieces for a given model year or annual production period 
excluding that equipment intended for introduction into commerce for use 
in a state that has established its own emission requirements applicable 
to such equipment or engines in such equipment, pursuant to a waiver 
granted by EPA under section 209(e) of the Clean Air Act. For handheld 
equipment, the term small volume equipment model has the same meaning 
except that it is limited to 5,000 pieces of handheld equipment, rather 
than 500 pieces of nonhandheld equipment.
    Test engine means the engine or group of engines that a manufacturer 
uses during certification to determine compliance with emission 
standards.
    Ultimate purchaser means, with respect to any new nonroad engine or 
new nonroad vehicle, the first person who in good faith purchases such 
new nonroad engine or vehicle for purposes other than resale.
    United States means the States, the District of Columbia, the 
Commonwealth of Puerto Rico, the Commonwealth of the Northern Mariana 
Islands, Guam, American Samoa, the U.S. Virgin Islands, and the Trust 
Territory of the Pacific Islands.
    Used solely for competition means exhibiting features that are not 
easily removed and that would render its use other than in competition 
unsafe, impractical, or highly unlikely.

[[Page 173]]

    Warranty period means the period of time the engine or part is 
covered by the warranty provisions.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15235, Mar. 30, 1999; 65 
FR 24305, Apr. 25, 2000; 67 FR 68339, Nov. 8, 2002]



Sec. 90.4  Treatment of confidential information.

    (a) Any manufacturer may assert that some or all of the information 
submitted pursuant to this part is entitled to confidential treatment as 
provided by part 2, subpart B of this chapter.
    (b) Any claim of confidentiality must accompany the information at 
the time it is submitted to EPA.
    (c) To assert that information submitted pursuant to this subpart is 
confidential, a manufacturer must indicate clearly the items of 
information claimed confidential by marking, circling, bracketing, 
stamping, or otherwise specifying the confidential information. 
Furthermore, EPA requests, but does not require, that the submitter also 
provide a second copy of its submittal from which all confidential 
information has been deleted. If a need arises to publicly release 
nonconfidential information, EPA will assume that the submitter has 
accurately deleted the confidential information from this second copy.
    (d) If a claim is made that some or all of the information submitted 
pursuant to this subpart is entitled to confidential treatment, the 
information covered by that confidentiality claim will be disclosed by 
the Administrator only to the extent and by means of the procedures set 
forth in part 2, subpart B of this chapter.
    (e) Information provided without a claim of confidentiality at the 
time of submission may be made available to the public by EPA without 
further notice to the submitter, in accordance with Sec. 
2.204(c)(2)(i)(A) of this chapter.



Sec. 90.5  Acronyms and abbreviations.

    The following acronyms and abbreviations apply to part 90.

AECD--Auxiliary emission control device
ASME--American Society of Mechanical Engineers
ASTM--American Society for Testing and Materials
CAA--Clean Air Act
CAAA--Clean Air Act Amendments of 1990
CLD--chemiluminescent detector
CO--Carbon monoxide
CO2--Carbon dioxide
EPA--Environmental Protection Agency
FTP--Federal Test Procedure
g/kW-hr--grams per kilowatt hour
HC--hydrocarbons
HCLD--heated chemiluminescent detector
HFID--heated flame ionization detector
ICI--independent Commercial Importer
NDIR--non-dispersive infrared analyzer
NIST--National Institute for Standards and Testing
NO--Nitric oxide
NO2--Nitrogen dioxide
NOX--Oxides of nitrogen
O2--Oxygen
OEM--original equipment manufacturer
PMD--paramagnetic detector
SAE--Society of Automotive Engineers
SEA--Selective Enforcement Auditing
SI--spark-ignition
U.S.C.--United States Code
VOC--Volatile organic compounds
ZROD--zirconiumdioxide sensor



Sec. 90.6  Table and figure numbering; position.

    (a) Tables for each subpart appear in an appendix at the end of the 
subpart. Tables are numbered consecutively by order of appearance in the 
appendix. The table title will indicate the topic.
    (b) Figures for each subpart appear in an appendix at the end of the 
subpart. Figures are numbered consecutively by order of appearance in 
the appendix. The figure title will indicate the topic.



Sec. 90.7  Reference materials.

    (a) Incorporation by reference. The documents in paragraph (b) of 
this section have been incorporated by reference. The incorporation by 
reference was approved by the Director of the Federal Register in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copies may be 
inspected at U.S. EPA Air and Radiation Docket, room M-1500, 401 M St., 
SW., Washington D.C. 20460, or at the National Archives and Records 
Administration (NARA). For information on the availability of this 
material at NARA, call 202-741-6030, or go to: http://www.archives.gov/
federal--register/code--of--federal--regulations/ibr--locations.html.
    (b) The following paragraphs and tables set forth the material that 
has

[[Page 174]]

been incorporated by reference in this part.
    (1) ASTM material. The following table sets forth material from the 
American Society for Testing and Materials which has been incorporated 
by reference. The first column lists the number and name of the 
material. The second column lists the section(s) of this part, other 
than Sec. 90.7, in which the matter is referenced. The second column is 
presented for information only and may not be all inclusive. Copies of 
these materials may be obtained from American Society for Testing and 
Materials, 1916 Race St., Philadelphia, PA 19103.

------------------------------------------------------------------------
         Document number and name             40 CFR part 90 reference
------------------------------------------------------------------------
ASTM D86-93:
    Standard Test Method for Distillation  Appendix A to subpart D,
     of Petroleum Products.                 Table 3.
ASTM D1319-89:
    Standard Test Method for Hydrocarbon   Appendix A to subpart D,
     Types in Liquid Petroleum Products     Table 3.
     by Fluorescent Indicator Adsorption.
ASTM D2622-92:
    Standard Test Method for Sulfur in     Appendix A to subpart D,
     Petroleum Products by X-ray            Table 3.
     Spectrometry.
ASTM D2699-92:
    Standard Test Method for Knock         Appendix A to subpart D,
     Characteristics of Motor Fuels by      Table 3.
     the Research Method.
ASTM D2700-92:
    Standard Test Method for Knock         Appendix A to subpart D,
     Characteristics of Motor and           Table 3.
     Aviation Fuels by the Motor Method.
ASTM D3231-89:
    Standard Test Method for Phosphorus    Appendix A to subpart D,
     in Gasoline.                           Table 3.
ASTM D3606-92:
    Standard Test Method for               Appendix A to subpart D,
     Determination of Benzene and Toluene   Table 3.
     in Finished Motor and Aviation
     Gasoline by Gas Chromatography.
ASTM D5191-93a:
    Standard Test Method for Vapor         Appendix A to subpart D,
     Pressure of Petroleum Products (Mini   Table 3.
     Method).
ASTM E29-93a:
    Standard Practice for Using            90.116; 90.509.
     Significant Digits in Test Data to
     Determine Conformance with
     Specifications.
------------------------------------------------------------------------

    (2) SAE material. The following table sets forth material from the 
Society of Automotive Engineers which has been incorporated by 
reference. The first column lists the number and name of the material. 
The second column lists the section(s) of this part, other than Sec. 
90.7, in which the matter is referenced. The second column is presented 
for information only and may not be all inclusive. Copies of these 
materials may be obtained from Society of Automotive Engineers 
International, 400 Commonwealth Dr., Warrendale, PA 15096-0001.

------------------------------------------------------------------------
         Document number and name             40 CFR part 90 reference
------------------------------------------------------------------------
SAE J1930 September 1991, Electrical/      90.114
 Electronic Systems Diagnostic Terms,
 Definitions, Abbreviations and Acronyms.
SAE Paper 770141, Optimization of a Flame  90.316
 Ionization Detector for Determination of
 Hydrocarbon in Diluted Automotive
 Exhausts, Glenn D. Reschke, 1977.
------------------------------------------------------------------------



        Subpart B_Emission Standards and Certification Provisions



Sec. 90.101  Applicability.

    The requirements of subpart B are applicable to all nonroad engines 
and vehicles subject to the provisions of subpart A of part 90.



Sec. 90.102  Definitions.

    The definitions in subpart A of part 90 apply to this subpart. All 
terms not defined herein or in subpart A have the meaning given them in 
the Act. The following definitions also apply to this subpart.
    Attitudinal control means the operator regulates either the 
horizontal or vertical position of the equipment, or both.
    Carry means the operator completely bears the weight of the 
equipment, including the engine.
    Support means that the operator holds the equipment in position so 
as to prevent it from falling, slipping or sinking. It is not necessary 
for the entire weight of the equipment to be borne by the operator.



Sec. 90.103  Exhaust emission standards.

    (a) Exhaust emissions for new Phase 1 and Phase 2 nonroad spark 
ignition engines at or below 19 kilowatts (kW), shall not exceed the 
following levels. Throughout this part, NMHC+NOX standards 
are applicable only to natural gas fueled engines at the option of

[[Page 175]]

the manufacturer, in lieu of HC+NOX standards.

                                   Table 1--Phase 1 Exhaust Emission Standards
                                            [Grams per kilowatt-hour]
----------------------------------------------------------------------------------------------------------------
                                          Hydrocarbons+oxides
        Engine displacement class             of nitrogen        Hydrocarbons   Carbon monoxide     Oxides of
                                                (HC+NOX)                                          nitrogen (NOX)
----------------------------------------------------------------------------------------------------------------
I.......................................               16.1    ...............              519  ...............
II......................................               13.4    ...............              519  ...............
III.....................................  ...................              295              805             5.36
IV......................................  ...................              241              805             5.36
V.......................................  ...................              161              603             5.36
----------------------------------------------------------------------------------------------------------------


              Table 2--Phase 2 Class I-A, Class I-B, and Class I Engine Exhaust Emission Standards
                                            [grams per kilowatt-hour]
----------------------------------------------------------------------------------------------------------------
          Engine class                HC+NOX         NMHC+NOX           CO                Effective date
----------------------------------------------------------------------------------------------------------------
I...............................            16.1            14.8             610  August 1, 2007; in addition,
                                                                                   any Class I engine family
                                                                                   initially produced on or
                                                                                   after August 1, 2003 must
                                                                                   meet the Phase 2 Class I
                                                                                   standards before they may be
                                                                                   introduced into commerce.
I-A.............................              50  ..............             610  2001 Model Year.
I-B.............................              40              37             610  2001 Model Year.
----------------------------------------------------------------------------------------------------------------


                                        Table 3--Phase 2 Class II Engine Exhaust Emission Standards by Model Year
                                                                ]grams per kilowatt-hour]
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                       Model Year
---------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                              2005  and
                 Engine Class                          Emission requirement             2001          2002          2003          2004          later
--------------------------------------------------------------------------------------------------------------------------------------------------------
II............................................  HC +NOX                                     18.0          16.6          15.0          13.6          12.1
                                                NMHC+NOX                                    16.7          15.3          14.0          12.7          11.3
                                                CO                                         610           610           610           610           610
--------------------------------------------------------------------------------------------------------------------------------------------------------


                       TABLE 4--Phase 2 Handheld Exhaust Emission Standards by Model Year
                                            [grams per kilowatt-hour]
----------------------------------------------------------------------------------------------------------------
                                                                                 Model year
                                                           -----------------------------------------------------
            Engine class              Emission requirement                                                 2007
                                                              2002     2003     2004     2005     2006     and
                                                                                                          later
----------------------------------------------------------------------------------------------------------------
Class III..........................  HC+NOX...............      238      175      113       50       50       50
                                     CO...................      805      805      805      805      805      805
Class IV...........................  HC+NOX...............      196      148       99       50       50       50
                                     CO...................      805      805      805      805      805      805
Class V............................  HC+NOX...............  .......  .......      143      119       96       72
                                     CO...................  .......  .......      603      603      603      603
----------------------------------------------------------------------------------------------------------------

    (1) Each engine displacement class has a unique set of exhaust 
emission standards. Boundaries for each class are indicated in Sec. 
90.116(b).
    (2) Emission standards for classes III, IV, V may be used only if an 
engine meets at least one of the following requirements:
    (i) The engine must be used in a piece of equipment that is carried 
by the operator throughout the performance of its intended function(s);
    (ii) The engine must be used in a piece of equipment that must 
operate multipositionally, such as upside down or sideways, to complete 
its intended function(s);
    (iii) The engine must be used in a piece of equipment for which the 
combined engine and equipment dry weight is under 14 kilograms, no more 
than

[[Page 176]]

two wheels are present on the equipment, and at least one of the 
following attributes is also present:
    (A) The operator must alternately provide support or carry the 
equipment throughout the performance of its intended function(s); (B) 
The operator must provide support or attitudinal control for the 
equipment throughout the performance of its intended function(s); and
    (C) The engine must be used in a generator or pump;
    (iv) The engine must be used to power one-person augers, with a 
combined engine and equipment dry weight under 20 kilograms;
    (v) The engine must be used in a recreational application, with a 
combined total vehicle dry weight under 20 kilograms;
    (vi) Where a piece of equipment otherwise meeting the requirements 
of paragraph (a)(2)(iii) or (a)(2)(iv) of this section exceeds the 
applicable weight limit, emission standards for class III, IV or V, as 
applicable, may still apply if the equipment exceeds the weight limit by 
no more than the extent necessary to allow for the incremental weight of 
a four stroke engine or the incremental weight of a two stroke engine 
having enhanced emission control acceptable to the Administrator. Any 
manufacturer utilizing this provision to exceed the subject weight 
limitations shall maintain and make available to the Administrator upon 
request, documentation to substantiate that the exceedance of either 
weight limitation is a direct result of application of a four stroke or 
enhanced two stroke engine having the same, less or very similar power 
to two stroke engines that could otherwise be used to power the 
equipment and remain within the weight limitations.
    (3) Notwithstanding paragraph (a)(2) of this section, two stroke 
engines used to power lawnmowers or other nonhandheld equipment may meet 
Phase 1 Class III, IV or V standards and requirements, as appropriate, 
through model year 2002 subject to the provisions of Sec. 90.107(e), 
(f) and (h). Such engines shall not be included in any computations of 
Phase 2 averaging, banking, or trading credits or eligible production.
    (4) Notwithstanding paragraph (a)(2) of this section, two-stroke 
engines used to power snowthrowers may meet class III, IV, or V 
standards.
    (5) Notwithstanding paragraph (a)(2) of this section, engines used 
exclusively to power products which are used exclusively in wintertime, 
such as snowthrowers and ice augers, at the option of the engine 
manufacturer, need not certify to or comply with standards regulating 
emissions of HC, NOX. HC+NOX or 
NMHC+NOX. as applicable. If the manufacturer exercises the 
option to certify to standards regulating such emissions, such engines 
must meet such standards. If the engine is to be used in any equipment 
or vehicle other than an exclusively wintertime product such as a 
snowthrower or ice auger, it must be certified to the applicable 
standard regulating emissions of HC, NOX. HC+NOX 
or NMHC+NOX as applicable.
    (6) In lieu of certifying to the applicable Phase 2 standards, small 
volume engine manufacturers as defined in this part may, at their 
option, certify their engine families as Phase 1 engines until the 2010 
model year for nonhandheld engine families excluding Class I-A and Class 
I-B engine families, until the 2008 model year for Class III and Class 
IV engine families, and until the 2010 model year for Class V engine 
families. Such engines shall not exceed the applicable Phase 1 standards 
and are excluded from the averaging, banking and trading program and any 
related credit calculations. Beginning with the 2010 model year for 
nonhandheld engine families, the 2008 model year for Class III and Class 
IV engine families, and the 2010 model year for Class V engine families, 
these engines must meet the applicable Phase 2 standards.
    (7) In lieu of certifying to the applicable Phase 2 standards, 
manufacturers of small volume engine families, as defined in this part 
may, at their option, certify their small volume engine families as 
Phase 1 engines until the 2010 model year for nonhandheld engine 
families excluding Class I-A and Class I-B engine families, until the 
2008 model year for Class III and Class IV engine families, and until 
the 2010 model year for Class V engine families.

[[Page 177]]

Such engines shall not exceed the applicable Phase 1 standards and are 
excluded from the averaging, banking and trading program and any related 
credit calculations. Beginning with the 2010 model year for nonhandheld 
engine families, the 2008 model year for Class III and Class IV engine 
families, and the 2010 model year for Class V engine families, these 
engines must meet the applicable Phase 2 standards.
    (8) Notwithstanding the standards shown in Table 3 of this section, 
the HC+NOX (NMHC+NOX) standard for Phase 2 Class 
II side valve engine families with annual production of 1000 or less 
shall be 24.0 g/kW-hr (22.0 g/kW-hr) for model years 2010 and later. 
Engines produced subject to this provision may not exceed this standard 
and are excluded from the averaging, banking and trading program and any 
related credit calculations.
    (b) Exhaust emissions will be measured using the procedures set 
forth in subpart E of this part.

[60 FR 34598, July 3, 1995, as amended at 61 FR 58300, Nov. 13, 1996; 62 
FR 42643, Aug. 7, 1997; 64 FR 15236, Mar. 30, 1999; 65 FR 24305, Apr. 
25, 2000; 67 FR 68340, Nov. 8, 2002]



Sec. 90.104  Compliance with emission standards.

    Paragraphs (a) through (c) of this section apply to Phase 1 engines 
only. Paragraphs (d) through (h) of this section apply only to Phase 2 
engines.
    (a) If all test engines representing an engine family have emissions 
less than or equal to each emission standard in a given engine 
displacement class, that family complies with that class of emission 
standards.
    (b) If any test engine representing an engine family has emissions 
greater than any one emission standard in a given engine displacement 
class, that family will be deemed not in compliance with that class of 
emission standards.
    (c) If catalysts are used in an engine family, the engine 
manufacturer must affirm that catalyst durability has been confirmed on 
the basis of the evaluation procedure that is specified in subpart E of 
this part.
    (d) The exhaust emission standards (FELs, where applicable) for 
Phase 2 engines set forth in this part apply to the emissions of the 
engines for their full useful lives as determined pursuant to Sec. 
90.105.
    (e) For all Phase 2 engines, if all test engines representing an 
engine family have emissions, when properly tested according to 
procedures in this part, less than or equal to each Phase 2 emission 
standard (FEL, where applicable) in a given engine class and given model 
year, when multiplicatively adjusted by the deterioration factor 
determined in this section, that family complies with that class of 
emission standards for purposes of certification. If any test engine 
representing an engine family has emissions adjusted multiplicatively by 
the deterioration factor determined in this section, greater than any 
one emission standard (FEL, where applicable) for a given displacement 
class, that family does not comply with that class of emission 
standards.
    (f) Each engine manufacturer must comply with all provisions of the 
averaging, banking and trading program outlined in subpart C of this 
part for each engine family participating in that program.
    (g)(1) Small volume engine manufacturers and small volume engine 
families may, at their option, take deterioration factors for 
HC+NOX (NMHC+NOX) and CO from Table 1 or Table 2 
of this paragraph (g), or they may calculate deterioration factors for 
HC+NOX (NMHC+NOX) and CO according to the process 
described in paragraph (h) of this section. For technologies that are 
not addressed in Table 1 or Table 2 of this paragraph (g), the 
manufacturer may ask the Administrator to assign a deterioration factor 
prior to the time of certification. The provisions of this paragraph (g) 
do not apply to Class I-A and Class I-B engines.
    (2) Table 1 follows:

[[Page 178]]



      Table 1: Nonhandheld Engine HC+NOX (NMHC+NOX) and CO Assigned Deterioration Factors for Small Volume
                                 Manufacturers and Small Volume Engine Families
----------------------------------------------------------------------------------------------------------------
                                           Side valve engines      Overhead valve
                                         ----------------------        engines
              Engine class                                     ----------------------        Engines with
                                             HC+NOX       CO       HC+NOX                   aftertreatment
                                           (NMHC+NOX)            (NMHC+NOX)     CO
----------------------------------------------------------------------------------------------------------------
Class I.................................           2.1     1.1           1.5     1.1  Dfs must be calculated
                                                                                       using the formula in Sec.
                                                                                         90.104(g)(4).
Class II................................           1.6     1.1           1.4     1.1  ..........................
----------------------------------------------------------------------------------------------------------------

    (3) Table 2 follows:

 Table 2--Handheld Engine HC+NOX and CO Assigned Deterioration Factors for Small Volume Manufacturers and Small
                                             Volume Engine Families
----------------------------------------------------------------------------------------------------------------
                                         Two-stroke engines1       Four-stroke engines
            Engine class             ----------------------------------------------------      Engines with
                                         HC+NOX         CO         HC+NOX         CO          aftertreatment
----------------------------------------------------------------------------------------------------------------
Class III...........................          1.1          1.1          1.5          1.1  Dfs must be calculated
                                                                                           using the formula in
                                                                                           Sec. 90.104(g)(4).
Class IV............................          1.1          1.1          1.5          1.1
Class V.............................          1.1          1.1          1.5         1.1
----------------------------------------------------------------------------------------------------------------
1 Two-stroke technologies to which these assigned deterioration factors apply include conventional two-strokes,
  compression wave designs, and stratified scavenging designs.

    (4) Formula for calculating deterioration factors for engines with 
aftertreatment:

DF = [(NE * EDF)-(CC * F)]/(NE-CC)

Where:

DF = deterioration factor.
NE = new engine emission levels prior to the catalyst (g/kW-hr)
EDF = deterioration factor for engines without catalyst as shown in 
Table 1 or Table 2 of this paragraph (g)
CC = amount converted at 0 hours in g/kW-hr.
F = 0.8 for HC (NMHC), 0.0 for NOX. and 0.8 for CO for all 
classes of engines.

    (h)(1) Manufacturers shall obtain an assigned df or calculate a df, 
as appropriate, for each regulated pollutant for all Phase 2 engine 
families. Such dfs shall be used for certification, production line 
testing, and Selective Enforcement Auditing.
    (2) For engines not using assigned dfs from Table 1 or Table 2 of 
paragraph (g) of this section, dfs shall be determined as follows:
    (i) On at least one test engine representing the configuration 
chosen to be the most likely to exceed HC+NOX 
(NMHC+NOX) emission standards, (FELs where applicable), and 
constructed to be representative of production engines pursuant to Sec. 
90.117, conduct full Federal test procedure emission testing pursuant to 
the regulations of subpart E of this part at the number of hours 
representing stabilized emissions pursuant to Sec. 90.118. If more than 
one engine is tested, average the results and round to the same number 
of decimal places contained in the applicable standard, expressed to one 
additional significant figure;
    (ii) Conduct such emission testing again following aging the engine. 
The aging procedure should be designed to allow the manufacturer to 
appropriately predict the in-use emission deterioration expected over 
the useful life of the engine, taking into account the type of wear and 
other deterioration mechanisms expected under typical consumer use which 
could affect emissions performance. If more than one engine is tested, 
average the results and round to the same number of decimal places 
contained in the applicable standard, expressed to one additional 
significant figure;
    (iii) Divide the full useful life emissions (average emissions, if 
applicable) for each regulated pollutant by the stabilized emissions 
(average emissions, if applicable) and round to two significant figures. 
The resulting number

[[Page 179]]

shall be the df, unless it is less than 1.0, in which case the df shall 
be 1.0.
    (iv) At the manufacturer's option additional emission test points 
can be scheduled between the stabilized emission test point and the full 
useful life test period. If intermediate tests are scheduled, the test 
points must be evenly spaced over the full useful life period (plus or 
minus 2 hours) and one such test point shall be at one-half of full 
useful life (plus or minus 2 hours). For each pollutant 
HC+NOX (NMHC+NOX) and CO, a line must be fitted to 
the data points treating the initial test as occurring at hour zero, and 
using the method of least-squares. The deterioration factor is the 
calculated emissions durability period divided by the calculated 
emissions at zero hours.
    (3) EPA may reject a df if it has evidence that the df is not 
appropriate for that family within 30 days of receipt from the 
manufacturer. The manufacturer must retain actual emission test data to 
support its choice of df and furnish that data to the Administrator upon 
request. Manufacturers may request approval by the Administrator of 
alternate procedures for determining deterioration. Any submitted df not 
rejected by EPA within 30 days shall be deemed to have been approved.
    (4) Calculated deterioration factors may cover families and model 
years in addition to the one upon which they were generated if the 
manufacturer submits a justification acceptable to the Administrator in 
advance of certification that the affected engine families can be 
reasonably expected to have similar emission deterioration 
characteristics.
    (5) Engine families that undergo running changes need not generate a 
new df if the manufacturer submits a justification acceptable to the 
Administrator concurrent with the running change that the affected 
engine families can be reasonably expected to have similar emission 
deterioration characteristics.

[60 FR 34598, July 3, 1995, as amended by 64 FR 15237, Mar. 30, 1999; 65 
FR 24306, Apr. 25, 2000]



Sec. 90.105  Useful life periods for Phase 2 engines.

    (a) Manufacturers shall declare the applicable useful life category 
for each engine family at the time of certification as described in this 
section. Such category shall be the category which most closely 
approximates the expected useful lives of the equipment into which the 
engines are anticipated to be installed as determined by the engine 
manufacturer. Manufacturers shall retain data appropriate to support 
their choice of useful life category for each engine family. Such data 
shall be furnished to the Administrator upon request.
    (1) For nonhandheld engines: Manufacturers shall select a useful 
life category from Table 1 of this section at the time of certification. 
Engines with gross power output greater than 19 kW that have an engine 
displacement less than or equal to one liter that optionally certify 
under this part as allowed in Sec. 90.1(a), must certify to a useful 
life period of 1,000 hours.
    (2) Table 1 follows:

     Table 1: Useful Life Categories for Nonhandheld Engines [hours]
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Class I...........................................    125    250     500
Class II..........................................    250    500    1000
Class I-A.........................................     50    125     300
Class I-B.........................................    125    250     500
------------------------------------------------------------------------

    (3) For handheld engines: Manufacturers shall select a useful life 
category from Table 2 of this paragraph (a) at the time of 
certification.
    (4) Table 2 follows:

      Table 2: Useful Life Categories for Handheld Engines (Hours)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
Class III..........................................     50    125    300
Class IV...........................................     50    125    300
Class V............................................     50    125    300
------------------------------------------------------------------------

    (5) Data to support a manufacturer's choice of useful life category, 
for a given engine family, may include but are not limited to:
    (i) Surveys of the life spans of the equipment in which the subject 
engines are installed;
    (ii) Engineering evaluations of field aged engines to ascertain when 
engine performance deteriorates to the point

[[Page 180]]

where usefulness and/or reliability is impacted to a degree sufficient 
to necessitate overhaul or replacement;
    (iii) Warranty statements and warranty periods;
    (iv) Marketing materials regarding engine life;
    (v) Failure reports from engine customers; and
    (vi) Engineering evaluations of the durability, in hours, of 
specific engine technologies, engine materials or engine designs.
    (b) [Reserved]

[64 FR 15238, Mar. 30, 1999, as amended at 65 FR 24307, Apr. 25, 2000]



Sec. 90.106  Certificate of conformity.

    (a)(1) Except as provided in Sec. 90.2(b), every manufacturer of 
new engines produced during or after model year 1997 must obtain a 
certificate of conformity covering such engines; however, engines 
manufactured during an annual production period beginning prior to 
September 1, 1996 are not required to be certified.
    (2) Except as required in paragraph (b)(3) of this section, Class II 
engines manufactured during an annual production period beginning prior 
to September 1, 2000 are not required to meet Phase 2 requirements.
    (b)(1) The annual production period begins either when an engine 
family is first produced or on January 2 of the calendar year preceding 
the year for which the model year is designated, whichever date is 
later. The annual production period ends either when the last engine is 
produced or on December 31 of the calendar year for which the model year 
is named, whichever date is sooner.
    (2) Notwithstanding paragraph (b)(1) of this section, annual 
production periods beginning prior to September 1, 1996 may not exceed 
12 months in length.
    (3) Manufacturers who commence an annual production period for a 
Class II engine family between January 1, 2000 and September 1, 2000 
must meet Phase 2 requirements for that family only if that production 
period will exceed 12 months in length.
    (c) Except as provided in paragraph (d) of this section, a 
certificate of conformity is deemed to cover the engines named in such 
certificate and produced during the annual production period, as defined 
in paragraph (b) of this section.
    (d) Except as provided in paragraph (e) of this section, the 
certificate of conformity must be obtained from the Administrator prior 
to selling, offering for sale, introducing into commerce, or importing 
into the United States the new engine. Engines produced prior to the 
effective date of a certificate of conformity may also be covered by the 
certificate, once it is effective, if the following conditions are met:
    (1) The engines conform in all respects to the engines described in 
the application for the certificate of conformity.
    (2) The engines are not sold, offered for sale, introduced into 
commerce, or delivered for introduction into commerce prior to the 
effective date of the certificate of conformity.
    (3) EPA is notified prior to the beginning of production when such 
production will start, and EPA is provided a full opportunity to inspect 
and/or test the engines during and after their production. EPA must have 
the opportunity to conduct SEA production line testing as if the 
vehicles had been produced after the effective date of the certificate.
    (e) Engines that are certified by EPA prior to January 2, 1996 for 
model year 1997 may be delivered for introduction into commerce prior to 
January 2, 1996 once a certificate of conformity has been issued.
    (f) Engines imported by an original equipment manufacturer after 
December 31 of the calendar year for which the model year is named are 
still covered by the certificate of conformity as long as the production 
of the engine was completed before December 31 of that year.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15238, Mar. 30, 1999]



Sec. 90.107  Application for certification.

    (a) For each engine family, the engine manufacturer must submit to 
the Administrator a completed application for a certificate of 
conformity.
    (b) The application must be approved and signed by the authorized 
representative of the manufacturer.

[[Page 181]]

    (c) The application must be updated and corrected by amendment as 
provided in Sec. 90.122 to accurately reflect the manufacturer's 
production.
    (d) Required content. Each application must include the following 
information:
    (1) A description of the basic engine design including, but not 
limited to, the engine family specifications;
    (2) An explanation of how the emission control system operates, 
including a detailed description of all emission control system 
components (Detailed component calibrations are not required to be 
included; they must be provided if requested, however.), each auxiliary 
emission control device (AECD), and all fuel system components to be 
installed on any production or test engine(s);
    (3) Proposed test engine(s) selection and the rationale for the test 
engine(s) selection;
    (4) Special or alternate test procedures, if applicable;
    (5) The service accumulation period necessary to break in the test 
engine(s) and stabilize emission levels;
    (6) A description of all adjustable operating parameters including 
the following:
    (i) The nominal or recommended setting and the associated production 
tolerances;
    (ii) The intended physically adjustable range;
    (iii) The limits or stops used to establish adjustable ranges;
    (iv) Production tolerances of the limits or stops used to establish 
each physically adjustable range;
    (v) Information relating to why the physical limits or stops used to 
establish the physically adjustable range of each parameter, or any 
other means used to inhibit adjustment, are effective in preventing 
adjustment of parameters to settings outside the manufacturer's intended 
physically adjustable ranges on in-use engines; and
    (vi) Information relating to altitude kits to be certified, 
including: a description of the altitude kit; appropriate part numbers; 
the altitude ranges at which the kits must be installed on or removed 
from the engine for proper emissions and engine performance; statements 
to be included in the owner's manual for the engine/equipment 
combination (and other maintenance related literature) that: declare the 
altitude ranges at which the kit must be installed or removed; and state 
that the operation of the engine/equipment at an altitude that differs 
from that at which it was certified, for extended periods of time, may 
increase emissions; and a statement that an engine with the altitude kit 
installed will meet each emission standard throughout its useful life 
(the rationale for this assessment must be documented and retained by 
the manufacturer, and provided to the Administrator upon request);
    (7) The proposed engine information label;
    (8) All test data obtained by the manufacturer on each test engine;
    (9) A statement that the test engine(s), as described in the 
manufacturer's application for certification, has been tested in 
accordance with the applicable test procedures, utilizing the fuels and 
equipment required under subparts D and E of this part, and that on the 
basis of such tests the engine(s) conforms to the requirements of this 
part;
    (10) An unconditional statement certifying that all engines in the 
engine family comply with all requirements of this part and the Clean 
Air Act;
    (11) This paragraph (d)(11) is applicable only to Phase 2 engines.
    (i) Engine manufacturers participating in the averaging, banking and 
trading program as described in subpart C of this part shall declare the 
applicable Family Emission Limit (FEL) for HC+NOX 
(NMHC+NOX).
    (ii) Provide the applicable useful life as determined under Sec. 
90.105.
    (e)(1) In addition to the information specified in paragraph (d) of 
this section, manufacturers of two-stroke lawnmower engines must submit 
with their application for a certificate of conformity:
    (i) For model year 1997, information establishing the highest number 
of two-stroke lawnmower engines produced in a single annual production 
period from 1992 through 1994. This number will be known as the 
production baseline.

[[Page 182]]

    (ii) For model years 1998 through 2002, information documenting the 
previous year's production and projected production for the current 
year.
    (2) In model year 1997, two-stroke lawnmower engine manufacturers 
may produce up to 100 percent of their production baseline established 
under paragraph (e)(1)(i) of this section.
    (3) In model year 1998, two-stroke lawnmower engine manufacturers 
may produce up to 75 percent of their production baseline.
    (4) From model years 1999 through 2002, two-stroke lawnmower engine 
manufacturers may produce up to 50 percent of their production baseline.
    (5) In model year 2003, two-stroke lawnmower engine manufacturers 
must meet class I or II standards specified in Sec. 90.103(a). If in 
model year 2003 those standards have been superseded by Phase 2 
standards, two-stroke lawnmower engine manufacturers must meet the Phase 
2 standards that are equivalent to the class I or II standards.
    (f) At the Administrator's request, the manufacturer must supply 
such additional information as may be required to evaluate the 
application including, but not limited to, projected nonroad engine 
production.
    (g)(1) The Administrator may modify the information submission 
requirements of paragraph (d) of this section, provided that all of the 
information specified therein is maintained by the engine manufacturer 
as required by Sec. 90.121, and amended, updated, or corrected as 
necessary.
    (2) For the purposes of this paragraph, Sec. 90.121(a)(1) includes 
all information specified in paragraph (d) of this section whether or 
not such information is actually submitted to the Administrator for any 
particular model year.
    (3) The Administrator may review an engine manufacturer's records at 
any time. At the Administrator's discretion, this review may take place 
either at the manufacturer's facility or at another facility designated 
by the Administrator.
    (h)(1) The Administrator may, upon receipt of a written request from 
an equipment manufacturer, accompanied by sufficient documentation, 
permit two stroke engines produced for nonhandheld equipment other than 
lawnmowers to meet the standards specified in Sec. 90.103(a)(3) under 
the schedule outlined in paragraph (e) of this section. The equipment 
manufacturer must demonstrate to the satisfaction of the Administrator 
that:
    (i) Four stroke engines for such equipment are not available with 
suitable physical or performance characteristics; and
    (ii) The equipment can not be converted to use four stroke engines 
without substantial redesign for which additional lead time is necessary 
to avoid economic hardship.
    (2) The Administrator may waive the phase-in percentages of 
paragraphs (e)(3) and (e)(4) of this section for engines used in low 
volume nonhandheld equipment other than lawnmowers where the equipment 
manufacturer demonstrates to the satisfaction of the Administrator that 
compliance with the production cap is not economically feasible.

[60 FR 34598, July 3, 1995, as amended at 61 FR 20742, May 8, 1996; 62 
FR 42643, Aug. 7, 1997; 64 FR 15238, Mar. 30, 1999; 65 FR 24307, Apr. 
25, 2000]



Sec. 90.108  Certification.

    (a) If, after a review of the manufacturer's submitted application, 
information obtained from any inspection, and such other information as 
the Administrator may require, the Administrator determines that the 
application is complete and that the engine family meets the 
requirements of this part and the Clean Air Act, the Administrator shall 
issue a certificate of conformity.
    (b) The Administrator shall give a written explanation when 
certification is denied. The manufacturer may request a hearing on a 
denial. (See Sec. 90.124 for procedure.)
    (c) For certificates issued for engine families included in the 
averaging, banking and trading program as described in subpart C of this 
part:
    (1) Failure to comply with all applicable averaging, banking and 
trading provisions in this part will be considered to be a failure to 
comply with the terms and conditions upon which the

[[Page 183]]

certificate was issued, and the certificate may be determined to be void 
ab initio.
    (2) The manufacturer shall bear the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was granted were satisfied or waived.
    (d) The Administrator may, upon request by a manufacturer, waive any 
requirement of this part otherwise necessary for the issuance of a 
certificate. The Administrator may set such conditions in a certificate 
as he or she deems appropriate to assure that the waived requirements 
are either satisfied or are demonstrated, for the subject engines, to be 
inappropriate, irrelevant or met by the application of a different 
requirement under this chapter. The Administrator may indicate on such 
conditional certificates that failure to meet these conditions may 
result in suspension or revocation or the voiding ab initio of the 
certificate.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15238, Mar. 30, 1999]



Sec. 90.109  Requirement of certification--closed crankcase.

    (a) An engine's crankcase must be closed.
    (b) For purposes of this section, ``crankcase'' means the housing 
for the crankshaft and other related internal parts.
    (c) Notwithstanding paragraph (a) of this section, the Administrator 
will allow open crankcases for engines used exclusively to power 
snowthrowers based upon a manufacturer's demonstration that all 
applicable emission standards will be met by the engine for the 
combination of emissions from the crankcase, and exhaust emissions 
measured using the procedures in subpart E of this part. This 
demonstration may be made based upon best engineering judgment. Upon 
request of the Administrator, the manufacturer must provide an 
explanation of any procedure or methodology used to determine that the 
total CO emissions from the crankcase and the exhaust are below the 
applicable standard for CO.

[60 FR 34598, July 3, 1995, as amended at 61 FR 58301, Nov. 13, 1996]



Sec. 90.110  Requirement of certification--prohibited controls.

    (a) An engine may not be equipped with an emission control device, 
system, or element of design for the purpose of complying with emission 
standards if such device, system, or element of design will cause or 
contribute to an unreasonable risk to public health, welfare, or safety 
in its operation or function.
    (b) You may not design your engines with emission-control devices, 
systems, or elements of design that cause or contribute to an 
unreasonable risk to public health, welfare, or safety while operating. 
For example, this would apply if the engine emits a noxious or toxic 
substance it would otherwise not emit that contributes to such an 
unreasonable risk.

[60 FR 34598, July 3, 1995, as amended at 67 FR 68340, Nov. 8, 2002]



Sec. 90.111  Requirement of certification--prohibition of defeat devices.

    (a) An engine may not be equipped with a defeat device.
    (b) For purposes of this section, ``defeat device'' means any 
device, system, or element of design which senses operation outside 
normal emission test conditions and reduces emission control 
effectiveness.
    (1) Defeat device includes any auxiliary emission control device 
(AECD) that reduces the effectiveness of the emission control system 
under conditions which may reasonably be expected to be encountered in 
normal operation and use unless such conditions are included in the test 
procedure.
    (2) Defeat device does not include such items which either operate 
only during engine starting or are necessary to protect the engine (or 
vehicle in which it is installed) against damage or accident during its 
operation.



Sec. 90.112  Requirement of certification--adjustable parameters.

    (a) Engines equipped with adjustable parameters must comply with all 
requirements of this subpart for any specification within the physically 
available range.
    (b) An operating parameter is not considered adjustable if it is 
permanently sealed by the manufacturer or

[[Page 184]]

otherwise not normally accessible using ordinary tools.
    (c) The Administrator may require that adjustable parameters be set 
to any specification within the adjustable range during certification or 
a selective enforcement audit to determine compliance with the 
requirements of this subpart.



Sec. 90.113  In-use testing program for Phase 1 engines.

    (a) This section applies only to Phase 1 engines. In-use testing 
provisions for Phase 2 engines are found in subpart M of this part. At 
the time of certification the engine manufacturer may propose which 
engine families should be included in an in-use test program. EPA will 
approve a manufacturer's test program if the selected engine families 
represent an adequate consideration of the elements listed in paragraphs 
(b) and (c) of this section.
    (b) Number of engines to be tested. The number of engines to be 
tested by a manufacturer is determined by the following method:
    (1) For an engine manufacturer with total projected annual 
production of more than 75,000 engines destined for the United States 
market for that model year, the minimum number of engines to be tested 
may be the lowest of the numbers determined in paragraph (b)(1)(i), (ii) 
or (iii) of this section:
    (i) Divide the manufacturer's total projected annual production of 
small SI engines destined for the United States market for that model 
year by 50,000, and round to the nearest whole number;
    (ii) Test five engines each from 25 percent of all engine families 
certified in that model year; and
    (iii) Test three engines each from 50 percent of all engine families 
certified in that model year.
    (2) An engine manufacturer with total projected annual production of 
75,000 engines or less destined for the United States market for that 
model year may test a minimum of two engines.
    (c) Criteria for selecting test engines. An engine manufacturer may 
select test engines from engine families utilizing the following 
criteria and in the order specified:
    (1) Engine families using emission control technology which most 
likely will be used on Phase 2 engines;
    (2) Engine families using aftertreatment;
    (3) Engine families certified to different emission standards;
    (4) Different engine designs (such as sidevalve head versus overhead 
valve engines);
    (5) Engine families using emission control technology specifically 
installed to achieve compliance with emission standards of this part;
    (6) The engine family with the highest projected annual sales; and
    (7) Engine families which meet the above criteria, but have not been 
included in prior model year in-use testing programs as required by 
these provisions.
    (d) Collection of in-use engines. An engine manufacturer may procure 
in-use engines which have been operated for between half and three-
quarters of the engine's advertised (or projected) useful life. All 
testing may be completed within three years from the date the 
certificate is first issued for an engine family undergoing in-use 
testing.
    (1) Test engines may be procured from sources not associated with 
the engine manufacturer or vehicle manufacturer, except that with prior 
approval of the Administrator, an engine manufacturer with annual sales 
of less than 50,000 engines may obtain in-use engines associated with 
itself or its vehicle manufacturer.
    (2) A test engine should have a maintenance history representative 
of actual in-use conditions.
    (i) A manufacturer may question the end user regarding the 
accumulated usage, maintenance, operating conditions, and storage of the 
test engines.
    (ii) Documents used in the procurement process may be maintained as 
required in Sec. 90.121.
    (3) Maintenance and testing of test engines.
    (i) The manufacturer may perform minimal set-to-spec maintenance on 
a test engine. Maintenance may include only that which is listed in the 
owner's instructions for engines with the

[[Page 185]]

amount of service and age of the acquired test engine.
    (ii) Documentation of all maintenance and adjustments may be 
maintained and retained as required by Sec. 90.121.
    (4) One valid emission test may be conducted for each in-use engine.
    (5) If a selected in-use engine fails to comply with any applicable 
certification emission standard, the manufacturer may determine the 
reason for noncompliance. The manufacturer may report all determinations 
for noncompliance in its annual in-use test result report as described 
below.
    (e) In-use test program reporting. The manufacturer may submit to 
the Administrator by January 30 of each calendar year all emission 
testing results generated from in-use testing. The following information 
may be reported for each test engine:
    (1) Engine family;
    (2) Model;
    (3) Engine serial number;
    (4) Date of manufacture;
    (5) Estimated hours of use;
    (6) Results of all emission testing;
    (7) Summary of all maintenance and/or adjustments performed;
    (8) Summary of all modifications and/or repairs; and
    (9) Determinations of compliance and/or noncompliance.
    (f) The Administrator may approve and/or suggest modifications to a 
manufacturer's in-use testing program.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15239, Mar. 30, 1999]



Sec. 90.114  Requirement of certification--engine information label.

    (a) The engine manufacturer must affix at the time of manufacture a 
permanent and legible label identifying each nonroad engine. The label 
must meet the following requirements:
    (1) Be attached in such a manner that it cannot be removed without 
destroying or defacing the label;
    (2) Be durable and readable for the entire engine life;
    (3) Be secured to an engine part necessary for normal engine 
operation and not normally requiring replacement during engine life;
    (4) Be written in English; and
    (5) Be located so as to be readily visible to the average person 
after the engine is installed in the vehicle.
    (b) If the nonroad vehicle obscures the label on the engine, the 
nonroad vehicle manufacturer must attach a supplemental label so that 
this label is readily visible to the average person. The supplemental 
label must:
    (1) Be attached in such a manner that it cannot be removed without 
destroying or defacing the label;
    (2) Be secured to a vehicle part necessary for normal operation and 
not normally requiring replacement during the vehicle life; and
    (3) Be identical in content to the label which was obscured.
    (c) The label must contain the following information:
    (1) The heading ``Important Engine Information;''
    (2) The full corporate name and trademark of the engine 
manufacturer;
    (3) The statement, ``This (specify vehicle or engine, as applicable) 
is certified to operate on (specify operating fuel(s));''
    (4) Identification of the Exhaust Emission Control System 
(Abbreviations may be used and must conform to the nomenclature and 
abbreviations provided in the Society of Automotive Engineers procedure 
J1930, ``Electrical/Electronic Systems Diagnostic Terms, Definitions, 
Abbreviations and Acronyms,'' September 1991. This procedure has been 
incorporated by reference. See Sec. 90.7.);
    (5) All engine lubricant requirements;
    (6) Date of engine manufacture [day (optional), month and year];
    (7) The statement ``This engine conforms to [model year] U.S. EPA 
regulations for small nonroad engines.'';
    (8) EPA standardized engine family designation;
    (9) Engine displacement [in cubic centimeters];
    (10) Other information concerning proper maintenance and use or 
indicating compliance or noncompliance with other standards may be 
indicated on the label;
    (11) For Phase 2 engines, the useful life category as determined by 
the manufacturer pursuant to Sec. 90.105. Such useful life category 
shall be shown by one of the following statements to be

[[Page 186]]

appended to the statement required under paragraph (c)(7) of this 
section:
    (i) ``EMISSIONS COMPLIANCE PERIOD: [useful life] HOURS''; or
    (ii) ``EMISSIONS COMPLIANCE PERIOD: CATEGORY [fill in C, B or A as 
indicated and appropriate from the tables in Sec. 90.105], REFER TO 
OWNER'S MANUAL FOR FURTHER INFORMATION'';
    (d) If there is insufficient space on the engine (or on the vehicle 
where a supplemental label is required under paragraph (b) of this 
section) to accommodate a label including all the information required 
in paragraph (c) of this section, the manufacturer may delete or alter 
the label as indicated in this paragraph. The information deleted from 
the label must appear in the owner's manual.
    (1) Exclude the information required in paragraphs (c)(3), (4), and 
(5) of this section. The fuel or lubricant may be specified elsewhere on 
the engine.
    (2) Exclude the information required by paragraph (c)(6) of this 
section, if the date the engine was manufactured is stamped on the 
engine.
    (e) The Administrator may, upon request, waive or modify the label 
content requirements of paragraphs (c) and (d) of this section, provided 
that the intent of such requirements is met.
    (f) Manufacturers electing to use the labeling language of paragraph 
(c)(11)(ii) of this section must provide in the documents intended to be 
conveyed to the ultimate purchaser, the statement:
    (1) For nonhandheld engines: The Emissions Compliance Period 
referred to on the Emissions Compliance label indicates the number of 
operating hours for which the engine has been shown to meet Federal 
emission requirements. For engines less than 66 cc, Category C=50 hours, 
B=125 hours, and A=300 hours. For engines equal to or greater than 66 cc 
but less than 225 cc displacement, Category C=125 hours, B=250 hours, 
and A=500 hours. For engines of 225 cc or more, Category C=250 hours, 
B=500 hours, and A=1000 hours.
    (2) For handheld engines: The Emissions Compliance Period referred 
to on the Emissions Compliance label indicates the number of operating 
hours for which the engine has been shown to meet Federal emission 
requirements. Category C=50 hours, B=125 hours, and A=300 hours.
    (3) The manufacturer must provide, in the same document as the 
statement in paragraph (f)(1) or (f)(2) of this section, a statement of 
the engine's displacement or an explanation of how to readily determine 
the engine's displacement. The Administrator may approve alternate 
language to the statement in paragraph (f)(1) or (f)(2) of this section, 
provided that the alternate language provides the ultimate purchaser 
with a clear description of the number of hours represented by each of 
the three letter categories for the subject engine's displacement.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15239, Mar. 30, 1999; 65 
FR 24307, Apr. 25, 2000]



Sec. 90.115  Requirement of certification--supplying production engines 
upon request.

    Upon the Administrator's request, the manufacturer must supply a 
reasonable number of production engines for testing and evaluation. 
These engines must be representative of typical production and supplied 
for testing at such time and place and for such reasonable periods as 
the Administrator may require.



Sec. 90.116  Certification procedure--determining engine displacement, 
engine class, and engine families.

    (a) Engine displacement must be calculated using nominal engine 
values and rounded to the nearest whole cubic centimeter in accordance 
with ASTM E29-93a. This procedure has been incorporated by reference. 
See Sec. 90.7.
    (1) Class I-A--nonhandheld equipment engines less than 66 cc in 
displacement;
    (2) Class I-B--nonhandheld equipment engines greater than or equal 
to 66 cc but less than 100 cc in displacement;
    (3) Class I--nonhandheld equipment engines greater than or equal to 
100 cc but less than 225 cc in displacement;
    (4) Class II--nonhandheld equipment engines greater than or equal to 
225 cc in displacement;
    (5) Class III--handheld equipment engines less than 20 cc in 
displacement,

[[Page 187]]

    (6) Class IV--handheld equipment engines equal or greater than 20 cc 
but less than 50 cc in displacement, and
    (7) Class V--handheld equipment engines equal to or greater than 50 
cc in displacement.
    (c) The manufacturer's product line will be divided into groupings 
of engine families as specified by paragraph (d) of this section.
    (d) To be classed in the same engine family, engines must be 
identical in all of the following applicable respects:
    (1) The combustion cycle;
    (2) The cooling mechanism;
    (3) The cylinder configuration (inline, vee, opposed, bore spacings, 
and so forth);
    (4) The number of cylinders;
    (5) The engine class;
    (6) The location of valves, where applicable, with respect to the 
cylinder (e.g. side valves or overhead valves);
    (7) The number of catalytic converters, location, volume and 
composition;
    (8) The thermal reactor characteristics;
    (9) The fuel required (e.g. gasoline, natural gas, LPG); and
    (10) The useful life category.
    (e) At the manufacturer's option, engines identical in all the 
respects listed in paragraph (d) of this section may be further divided 
into different engine families if the Administrator determines that they 
may be expected to have different emission characteristics. This 
determination is based upon the consideration of features such as:
    (1) The bore and stroke;
    (2) The combustion chamber configuration;
    (3) The intake and exhaust timing method of actuation (poppet valve, 
reed valve, rotary valve, and so forth);
    (4) The intake and exhaust valve or port sizes, as applicable;
    (5) The fuel system;
    (6) The exhaust system; and
    (7) The method of air aspiration.
    (f) Where engines are of a type which cannot be divided into engine 
families based upon the criteria listed in paragraph (d) of this 
section, the Administrator will establish families for those engines 
based upon the features most related to their emission characteristics.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15239, Mar. 30, 1999; 65 
FR 24308, Apr. 25, 2000]



Sec. 90.117  Certification procedure--test engine selection.

    (a) For Phase 1 engines, the manufacturer must select, from each 
engine family, a test engine that the manufacturer determines to be most 
likely to exceed the emission standard. For Phase 2 engines, the 
manufacturer must select, from each engine family, a test engine of a 
configuration that the manufacturer determines to be most likely to 
exceed the HC+NOX (NMHC+NOX) Family Emission Limit 
(FEL), or HC+NOX (NMHC+NOX) standard if no FEL is 
applicable.
    (b) The test engine must be constructed to be representative of 
production engines.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15239, Mar. 30, 1999]



Sec. 90.118  Certification procedure--service accumulation and usage of 
deterioration factors.

    (a)(1) The test engine must be operated with all emission control 
systems operating properly for a period sufficient to stabilize 
emissions.
    (2) The period sufficient to stabilize emissions may not exceed 12 
hours.
    (b) No maintenance, other than recommended lubrication and filter 
changes, may be performed during service accumulation without the 
Administrator's approval.
    (c) Service accumulation is to be performed in a manner using good 
engineering judgment to ensure that emissions are representative of 
production engines.
    (d) The manufacturer must maintain, and provide to the Administrator 
if requested, records stating the rationale for selecting a service 
accumulation period less than 12 hours and records describing the method 
used to accumulate hours on the test engine(s).
    (e) For purposes of establishing whether Phase 2 engines comply with 
applicable exhaust emission standards or FELs, the test results for each 
regulated pollutant as measured pursuant

[[Page 188]]

to Sec. 90.119 shall be multiplied by the applicable df determined 
under Sec. 90.104 (g) or (h). The product of the two numbers shall be 
rounded to the same number of decimal places contained in the applicable 
standard, and compared against the applicable standard or FEL, as 
appropriate.

[60 FR 34598, July 3, 1995, as amended at 61 FR 20742, May 8, 1996; 64 
FR 15239, Mar. 30, 1999]



Sec. 90.119  Certification procedure--testing.

    (a) Manufacturer testing. The manufacturer must test the test engine 
using the specified test procedures and appropriate test cycle. All test 
results must be reported to the Administrator.
    (1) The test procedure to be used is detailed in Subpart E of this 
part.
    (i) Class I, I-B, and II engines must use Test Cycle A described in 
Subpart E of this part, except that Class I, I-B, and II engine families 
in which 100 percent of the engines sold operate only at rated speed may 
use Test Cycle B described in Subpart E of this part.
    (ii) Class I-A, III, IV, and V engines must use Test Cycle C 
described in subpart E of this part.
    (2) Emission test equipment provisions are described in subpart D of 
this part.
    (b) Administrator testing. (1) The Administrator may require that 
any one or more of the test engines be submitted to the Administrator, 
at such place or places as the Administrator may designate, for the 
purposes of conducting emission tests. The Administrator may specify 
that testing will be conducted at the manufacturer's facility, in which 
case instrumentation and equipment specified by the Administrator must 
be made available by the manufacturer for test operations. Any testing 
conducted at a manufacturer's facility must be scheduled by the 
manufacturer as promptly as possible.
    (2)(i) Whenever the Administrator conducts a test on a test engine, 
the results of that test will, unless subsequently invalidated by the 
Administrator, comprise the official data for the engine and the 
manufacturer's data will not be used in determining compliance with 
emission standards.
    (ii) Prior to the performance of such test, the Administrator may 
adjust or cause to be adjusted any adjustable parameter of the test 
engine which the Administrator has determined to be subject to 
adjustment for certification testing, to any setting within the 
physically adjustable range of that parameter, to determine whether such 
engine conforms to applicable emission standards.
    (iii) For those engine parameters which the Administrator has not 
determined to be subject to adjustment for certification testing, the 
test engine presented to the Administrator for testing will be 
calibrated within the production tolerances applicable to the 
manufacturer specification shown on the engine label or in the owner's 
manual, as specified in the application for certification.
    (c) Use of carryover test data. In lieu of testing, the manufacturer 
may submit, with the Administrator's approval, emission test data used 
to certify substantially similar engine families in previous years. This 
``carryover'' test data is only allowable if the data shows the test 
engine would fully comply with the emission standards for the applicable 
class.
    (d) Scheduled maintenance during testing. No scheduled maintenance 
may be performed during testing of the engine.
    (e) Unscheduled maintenance on test engines. (1) Manufacturers may 
not perform any unscheduled engine, emission control system, or fuel 
system adjustment, repair, removal, disassembly, cleaning, or 
replacement on a test engine without the advance approval of the 
Administrator.
    (2) The Administrator may approve unscheduled maintenance if:
    (i) A preliminary determination has been made that a part failure or 
system malfunction, or the repair of such failure or malfunction, does 
not render the engine unrepresentative of engines in use, and does not 
require direct access to the combustion chamber; and
    (ii) A determination has been made that the need for maintenance or 
repairs is indicated by an overt malfunction such as persistent misfire, 
engine stall, overheating, fluid leakage, or loss of oil pressure.

[[Page 189]]

    (3) Emission measurements may not be used as a means of determining 
the need for unscheduled maintenance under paragraph (e)(2) of this 
section.
    (4) The Administrator must have the opportunity to verify the extent 
of any overt indication of part failure (for example, misfire, stall), 
or an activation of an audible and/or visual signal, prior to the 
manufacturer performing any maintenance related to such overt indication 
or signal.
    (5) Unless approved by the Administrator prior to use, engine 
manufacturers may not use any equipment, instruments, or tools to 
identify malfunctioning, maladjusted, or defective engine components 
unless the same or equivalent equipment, instruments, or tools are 
available at dealerships and other service outlets and are used in 
conjunction with scheduled maintenance on such components.
    (6) If the Administrator determines that part failure or system 
malfunction occurrence and/or repair rendered the engine 
unrepresentative of production engines, the engine cannot be used as a 
test engine.
    (7) Unless waived by the Administrator, complete emission tests are 
required before and after any engine maintenance which may reasonably be 
expected to affect emissions.
    (f) Engine failure. A manufacturer may not use as a test engine any 
engine which incurs major mechanical failure necessitating disassembly 
of the engine. This prohibition does not apply to failures which occur 
after completion of the service accumulation period.

[60 FR 34598, July 3, 1995, as amended at 65 FR 24308, Apr. 25, 2000]



Sec. 90.120  Certification procedure--use of special test procedures.

    (a) Use of special test procedures by EPA. The Administrator may 
establish special test procedures for any engine that the Administrator 
determines is not susceptible to satisfactory testing under the 
specified test procedures set forth in subpart E of this part.
    (b)(1) Use of alternate test procedures by an engine manufacturer. A 
manufacturer may elect to use an alternate test procedure provided that 
it yields results equal to the results from the specified test procedure 
in subpart E, its use is approved in advance by the Administrator, and 
the basis for equivalent results with the specified test procedure is 
fully described in the manufacturer's application.
    (2) An engine manufacturer electing to use alternate test procedures 
is solely responsible for the results obtained. The Administrator may 
reject data generated under test procedures which do not correlate with 
data generated under the specified procedures.
    (c) Optional procedures approved during Phase 1 can be carried over 
to Phase 2, following advance approval by the Administrator, to the 
extent the alternate procedure continues to yield results equal to the 
results from the specified test procedures in subpart E of this part.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15239, Mar. 30, 1999]



Sec. 90.121  Certification procedure--recordkeeping.

    (a) The engine manufacturer must maintain the following adequately 
organized records:
    (1) Copies of all applications filed with the Administrator;
    (2) A copy of all data obtained through the in-use testing program; 
and
    (3) A detailed history of each test engine used for certification 
including the following:
    (i) A description of the test engine's construction, including a 
general description of the origin and buildup of the engine, steps taken 
to insure that it is representative of production engines, description 
of components specially built for the test engine, and the origin and 
description of all emission-related components;
    (ii) A description of the method used for engine service 
accumulation, including date(s) and the number of hours accumulated;
    (iii) A description of all maintenance, including modifications, 
parts changes, and other servicing performed, and the date(s), and 
reason(s) for such maintenance;
    (iv) A description of all emission tests performed including routine 
and

[[Page 190]]

standard test documentation, as specified in subpart E of this part, 
date(s), and the purpose of each test;
    (v) A description of all tests performed to diagnose engine or 
emission control performance, giving the date and time of each and the 
reason(s) for the test; and
    (vi) A description of any significant event(s) affecting the engine 
during the period covered by the history of the test engine but not 
described by an entry under one of the previous paragraphs of this 
section.
    (b) Routine emission test data, such as those reporting test cell 
temperature and relative humidity at start and finish of test and raw 
emission results from each mode or test phase, must be retained for a 
period of one year after issuance of all certificates of conformity to 
which they relate. All other information specified in paragraph (a) of 
this section must be retained for a period of eight years after issuance 
of all certificates of conformity to which they relate.
    (c) 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.
    (d) The manufacturer must supply, at the Administrator's request, 
copies of any engine maintenance instructions or explanations issued by 
the manufacturer.



Sec. 90.122  Amending the application and certificate of conformity.

    (a) The engine manufacturer must notify the Administrator when 
either an engine is to be added to a certificate of conformity, an FEL 
is to be changed, or changes are to be made to a product line covered by 
a certificate of conformity. Notification occurs when the manufacturer 
submits an amendment to the original application prior to either 
producing such engines or making such changes to a product line.
    (b) The amendment must request that the engine manufacturer's 
existing certificate of conformity be amended and include the following 
information:
    (1) A full description of the engine to be added or the change(s) to 
be made in production;
    (2) The manufacturer's proposed test engine selection(s); and
    (3) Engineering evaluations or reasons why the original test engine 
is or is not still appropriate.
    (c) The Administrator may require the engine manufacturer to perform 
tests on an engine representing the engine to be added or changed.
    (d) Decision by Administrator. (1) Based on the submitted amendment 
and data derived from such testing as the Administrator may require or 
conduct, the Administrator must determine whether the proposed addition 
or change would still be covered by the certificate of conformity then 
in effect.
    (2) If the Administrator determines that the new or changed 
engine(s) meets the requirements of this subpart and the Act, the 
appropriate certificate of conformity will be amended.
    (3) If the Administrator determines that the proposed amendment 
would not be covered by the certificate of conformity, the Administrator 
must provide a written explanation to the engine manufacturer of his or 
her decision not to amend the certificate. The manufacturer may request 
a hearing on a denial.
    (4) If the Administrator determines that a revised FEL meets the 
requirements of this subpart and the Act, the appropriate certificate of 
conformity will be amended, or a new certificate will be issued to 
reflect the revised FEL. The certificate of conformity is revised 
conditional upon compliance with Sec. 90.207(b).
    (e)(1) Alternatively, an engine manufacturer may make changes in or 
additions to production engines concurrently with amending the 
application for an engine family as set forth in paragraph (a) and (b) 
of this section. In these circumstances the manufacturer may implement 
the production change without EPA pre-approval provided the request for 
change together with all supporting emission test data, related 
engineering evaluations, and other supporting documentation is received 
at EPA within three working days of implementing the change. Such 
changes

[[Page 191]]

are ultimately still subject to the provisions of paragraphs (c) and (d) 
of this section.
    (2) If, after a review, the Administrator determines that additional 
testing or information is required, the engine manufacturer must provide 
required test data or information within 30 days or cease production of 
the affected engines.
    (3) If the Administrator determines that the affected engines do not 
meet applicable requirements, the Administrator will notify the engine 
manufacturer to cease production of the affected engines.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15239, Mar. 30, 1999; 69 
FR 1833, Jan. 12, 2004]



Sec. 90.123  Denial, revocation of certificate of conformity.

    (a) If, after review of the engine manufacturer's application, 
request for certification, information obtained from any inspection, and 
any other information the Administrator may require, the Administrator 
determines that the test engine does not meet applicable standards and 
requirements, the Administrator will notify the manufacturer in writing, 
setting forth the basis for this determination.
    (b) Notwithstanding the fact that engines described in the 
application may comply with all other requirements of this subpart, the 
Administrator may deny the issuance of or revoke a previously issued 
certificate of conformity if the Administrator finds any one of the 
following infractions to be substantial:
    (1) The engine manufacturer submits false or incomplete information;
    (2) The engine manufacturer denies an EPA enforcement officer or EPA 
authorized representative the opportunity to conduct authorized 
inspections;
    (3) The engine manufacturer fails to supply requested information or 
amend its application to include all engines being produced;
    (4) The engine manufacturer renders inaccurate any test data which 
it submits or otherwise circumvents the intent of the Act or this part; 
or
    (5) The engine manufacturer denies an EPA enforcement officer or EPA 
authorized representative reasonable assistance (as defined in Sec. 
90.506).
    (c) If a manufacturer knowingly commits an infraction specified in 
paragraph (b)(1) or (b)(4) of this section or knowingly commits any 
fraudulent act which results in the issuance of a certificate of 
conformity, the Administrator may deem such certificate void ab initio.
    (d) When the Administrator denies or revokes a certificate of 
conformity, the engine manufacturer will be provided a written 
determination. The manufacturer may request a hearing on the 
Administrator's decision.
    (e) Any revocation of a certificate of conformity extends no further 
than to forbid the introduction into commerce of those engines 
previously covered by the certification which are still in the 
possession of the engine manufacturer, except in cases of such fraud or 
other misconduct that makes the certification void ab initio.



Sec. 90.124  Request for hearing.

    (a) An engine manufacturer may request a hearing on the 
Administrator's denial or revocation of a certificate of conformity.
    (b) The engine manufacturer's request must be filed within 30 days 
of the Administrator's decision, be in writing, and set forth the 
manufacturer's objections to the Administrator's decision and data to 
support the objections.
    (c) If, after review of the request and supporting data, the 
Administrator finds that the request raises a substantial and factual 
issue, the Administrator will provide the engine manufacturer a hearing.



Sec. 90.125  Hearing procedures.

    The hearing procedures set forth in Sec. Sec. 90.513, 90.514, and 
90.515 apply to this subpart.



Sec. 90.126  Right of entry and access.

    Any engine manufacturer that has applied for certification of a new 
engine or engine family subject to certification testing under this 
subpart must admit or cause to be admitted to any applicable facilities 
during operating hours any EPA enforcement officer or

[[Page 192]]

EPA authorized representative as provided in Sec. 90.506.



   Subpart C_Certification Averaging, Banking, and Trading Provisions

    Source: 64 FR 15239, Mar. 30, 1999, unless otherwise noted.



Sec. 90.201  Applicability.

    The requirements of this subpart C are applicable to all Phase 2 
spark-ignition engines subject to the provisions of subpart A of this 
part except as provided in Sec. 90.103(a). These provisions are not 
applicable to any Phase 1 engines. Participation in the averaging, 
banking and trading program is voluntary, but if a manufacturer elects 
to participate, it must do so in compliance with the regulations set 
forth in this subpart. The provisions of this subpart are applicable for 
HC+NOX (NMHC+NOX) emissions but not for CO 
emissions.



Sec. 90.202  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart:
    Averaging means the exchange of emission credits between engine 
families within a given manufacturer's product line.
    Banking means the retention of emission credits by the manufacturer 
generating the emission credits or obtaining such credits through 
trading, for use in future model year averaging or trading as permitted 
in this part.
    Emission credits represent the amount of emission reduction or 
exceedance, by an engine family, below or above the applicable 
HC+NOX (NMHC+NOX) emission standard, respectively. 
FELs below the standard create ``positive credits,'' while FELs above 
the standard create ``negative credits.'' In addition, ``projected 
credits'' refer to emission credits based on the projected applicable 
production volume of the engine family. ``Reserved credits'' are 
emission credits generated within a model year waiting to be reported to 
EPA at the end of the model year. ``Actual credits'' refer to emission 
credits based on actual applicable production volume as contained in the 
end-of-year reports submitted to EPA. Some or all of these credits may 
be revoked if EPA review of the end-of-year reports or any subsequent 
audit action(s) reveals problems or errors of any nature with credit 
computations.
    Trading means the exchange of emission credits between 
manufacturers.



Sec. 90.203  General provisions.

    (a) The certification averaging, banking, and trading provisions for 
HC+NOX and NMHC+NOX emissions from eligible 
engines are described in this subpart.
    (b) An engine family may use the averaging, banking and trading 
provisions for HC+NOX and NMHC+NOX emissions if it 
is subject to regulation under this part with certain exceptions 
specified in paragraph (c) of this section. HC+NOX and 
NMHC+NOX credits shall be interchangeable subject to the 
limitations on credit generation, credit usage, and other provisions 
described in this subpart.
    (c) A manufacturer shall not include in its calculation of credit 
generation and may exclude from its calculation of credit usage, any new 
engines:
    (1) Which are intended to be exported, unless the manufacturer has 
reason or should have reason to believe that such engines have been or 
will be imported in a piece of equipment; or
    (2) Which are subject to state engine emission standards pursuant to 
a waiver granted by EPA under section 209(e) of the Act, unless the 
manufacturer demonstrates to the satisfaction of the Administrator that 
inclusion of these engines in averaging, banking and trading is 
appropriate.
    (d) For an engine family using credits, a manufacturer may, at its 
option, include its entire production of that engine family in its 
calculation of credit usage for a given model year.
    (e) (1) A manufacturer may certify engine families at Family 
Emission Limits (FELs) above or below the applicable emission standard 
subject to the limitation in paragraph (f) of this section, provided the 
summation of the manufacturer's projected balance of credits from all 
calculations and credit transactions for all engine classes in a given 
model year is greater than or

[[Page 193]]

equal to zero, as determined under Sec. 90.207. Notwithstanding the 
previous sentence, a manufacturer may project a negative balance of 
credits as allowed under Sec. 90.207(c)(2).
    (2) A manufacturer of an engine family with an FEL exceeding the 
applicable emission standard must obtain positive emission credits 
sufficient to address the associated credit shortfall via averaging, 
banking, or trading.
    (3) A nonhandheld engine family with an FEL below the applicable 
emission standard may generate positive emission credits for averaging, 
banking, or trading, or a combination thereof. A handheld engine family 
with an FEL below the applicable emission standard may generate positive 
emission credits for averaging or trading. A handheld engine family 
meeting the requirements of Sec. 90.205(a)(4) or (5), whichever is 
applicable, may generate positive emission credits for banking.
    (4) In the case of a Selective Enforcement Audit (SEA) failure, 
credits may be used to cover subsequent production of engines for the 
family in question if the manufacturer elects to recertify to a higher 
FEL. Credits may not be used to remedy a nonconformity determined by an 
SEA, except that the Administrator may permit the use of credits to 
address a nonconformity determined by an SEA where the use of such 
credits is one component of a multi-part remedy for the previously 
produced engines and the remedy, including the use of credits and the 
quantity of credits being used, is such that the Administrator is 
satisfied that the manufacturer has strong and lasting incentive to 
accurately verify its new engine emission levels and will set or reset 
its FELs for current and future model years so that production line 
compliance is assured.
    (5) In the case of a production line testing (PLT) failure pursuant 
to subpart H of this part, a manufacturer may revise the FEL based upon 
production line testing results obtained under subpart H of this part 
and upon Administrator approval pursuant to Sec. 90.122(d). The 
manufacturer may use credits to cover both past production and 
subsequent production of the engines as needed as allowed under Sec. 
90.207(c)(1).
    (f) No Phase 2 engine family may have a HC + NOX FEL that 
is greater than 32.2 g/kW-hr for Class I engines, 94 g/kW-hr for Class 
I-A engines, 50 g/kW-hr for Class I-B engines, 26.8 g/kW-hr for Class II 
engines, 336 g/kW-hr for Class III engines, 275 g/kW-hr for Class IV 
engines, or 186 g/kW-hr for Class V engines.
    (g)(1) Credits generated in a given model year by an engine family 
subject to the Phase 2 emission requirements may only be used in 
averaging, banking or trading, as appropriate, for any other engine 
family for which the Phase 2 requirements are applicable. Credits 
generated in one model year may not be used for prior model years, 
except as allowed under Sec. 90.207(c).
    (2) For the 2005 model year and for each subsequent model year, 
manufacturers of Class II engines must provide a demonstration that the 
production weighted average FEL for HC+NOX (including 
NMHC+NOX FELs), for all of the manufacturer's Class II 
engines, will not exceed 13.6 g/kW-hr for the 2005 model year, 13.1 g/
kW-hr for the 2006 model year and 12.6 g/kW-hr for the 2007 and each 
subsequent Phase 2 model year. Such demonstration shall be subject to 
the review and approval of the Administrator, shall be provided at the 
time of the first Class II certification of that model year and shall be 
based on projected eligible production for that model year.
    (h) Manufacturers must demonstrate compliance under the averaging, 
banking, and trading provisions for a particular model year by 270 days 
after the end of the model year. Except as provided in Sec. 90.207(c), 
an engine family generating negative credits for which the manufacturer 
does not obtain or generate an adequate number of positive credits by 
that date from the same or previous model year engines will violate the 
conditions of the certificate of conformity. The certificate of 
conformity may be voided ab initio pursuant to Sec. 90.123 for this 
engine family.

[64 FR 15239, Mar. 30, 1999, as amended at 65 FR 24308, Apr. 25, 2000; 
69 FR 1833, Jan. 12, 2004]



Sec. 90.204  Averaging.

    (a) Negative credits from engine families with FELs above the 
applicable

[[Page 194]]

emission standard must be offset by positive credits from engine 
families having FELs below the applicable emission standard, as allowed 
under the provisions of this subpart. Averaging of credits in this 
manner is used to determine compliance under Sec. 90.207(b). A 
manufacturer may have a negative balance of credits as allowed under 
Sec. 90.207(c)(2).
    (b) Cross-class averaging of credits is allowed across all classes 
of nonroad spark-ignition engines at or below 19 kW.
    (c) Credits used in averaging for a given model year may be obtained 
from credits generated in the same model year by another engine family, 
credits banked in previous model years, or credits of the same or 
previous model year obtained through trading subject to the provisions 
of Sec. 90.205(a). Credits generated under the previously available 
``Optional transition year averaging, banking, and trading program for 
Phase 2 handheld engines'' of Sec. Sec. 90.212 through 90.220, since 
repealed, may also be used in averaging. The restrictions of this 
paragraph notwithstanding, credits from a given model year may be used 
to address credit needs of previous model year engines as allowed under 
Sec. 90.207(c).
    (d) The use of credits generated under the early banking provisions 
of Sec. 90.205(b) is subject to regulations under this subpart.

[64 FR 15239, Mar. 30, 1999, as amended at 65 FR 24308, Apr. 25, 2000; 
69 FR 1834, Jan. 12, 2004]



Sec. 90.205  Banking.

    (a)(1) Beginning August 1, 2007, a manufacturer of a Class I engine 
family with an FEL below the applicable emission standard for a given 
model year may bank credits in that model year for use in averaging and 
trading. For new Class I engine families initially produced during the 
period starting August 1, 2003 through July 31, 2007, a manufacturer of 
a Class I engine family with an FEL below the applicable emission 
standard for a given model year may bank credits in that model year for 
use in averaging and trading.
    (2) Beginning with the 2000 model year, a manufacturer of a Class I-
A or Class I-B engine family with an FEL below the applicable emission 
standard for a given model year may bank credits in that model year for 
use in averaging and trading.
    (3) Beginning with the 2001 model year, a manufacturer of a Class II 
engine family with an FEL below the applicable emission standard for a 
given model year may bank credits in that model year for use in 
averaging and trading.
    (4) For the 2002 model year, a manufacturer of a Class III or Class 
IV engine family may bank credits for use in future model year averaging 
and trading from only those Class III or Class IV engine families with 
an FEL at or below 72 g/kW-hr. Beginning with the 2003 model year, a 
manufacturer of a Class III or Class IV engine family with an FEL below 
the applicable emission standard may generate credits for use in future 
model year averaging and trading.
    (5) Beginning with the 2004 model year, a manufacturer of a Class V 
engine family with an FEL below the applicable emission standard may 
generate credits for use in future model year averaging and trading.
    (6) Negative credits may be banked only according to the 
requirements under Sec. 90.207(c).
    (b)(1) For Class I engine families initially produced during the 
period beginning with the 1999 model year and prior to August 1, 2003, a 
manufacturer may bank early credits for engines with HC + NOX 
FELs below 16.1 g/kW-hr. All early credits for such Class I engines 
shall be calculated against a HC + NOX level of 20.5 g/kW-hr 
and may continue to be calculated against the 20.5 g/kW-hr level until 
August 1, 2007.
    (2) Beginning with the 1999 model year and prior to the applicable 
date listed in paragraph (a) of this section for Class II engines, a 
manufacturer may bank early credits for all Class II engines with 
HC+NOX FELs below 12.1 g/kW-hr. All early credits for Class 
II engines shall be calculated against a HC+NOX level of 18.0 
g/kW-hr.
    (3) Beginning with the 2000 model year and prior to the applicable 
date listed in paragraph (a) of this section for Class III engines, a 
manufacturer may bank early credits for all Class III engines with 
HC+NOX FELs below 72 g/

[[Page 195]]

kW-hr. All early credits for Class III engines shall be calculated 
against a HC+NOX level of 238 g/kW-hr.
    (4) Beginning with the 2000 model year and prior to the applicable 
date listed in paragraph (a) of this section for Class IV engines, a 
manufacturer may bank early credits for all Class IV engines with 
HC+NOX FELs below 72 g/kW-hr. All early credits for Class IV 
engines shall be calculated against a HC+NOX level of 196 g/
kW-hr.
    (5) Beginning with the 2000 model year and prior to the applicable 
date listed in paragraph (a) of this section for Class V engines, a 
manufacturer may bank early credits for all Class V engines with 
HC+NOX FELs below 87 g/kW-hr. All early credits for Class V 
engines shall be calculated against a HC+NOX level of 143 g/
kW-hr.
    (6) Engines certified under the early banking provisions of this 
paragraph are subject to all of the requirements of this part applicable 
to Phase 2 engines.
    (c) A manufacturer may bank actual credits only after the end of the 
model year and after EPA has reviewed the manufacturer's end-of-year 
reports. During the model year and before submittal of the end-of-year 
report, credits originally designated in the certification process for 
banking will be considered reserved and may be redesignated for trading 
or averaging in the end-of-year report and final report.
    (d) Credits declared for banking from the previous model year that 
have not been reviewed by EPA may be used in averaging or trading 
transactions. However, such credits may be revoked at a later time 
following EPA review of the end-of-year report or any subsequent audit 
actions.

[64 FR 15239, Mar. 30, 1999, as amended at 65 FR 24308, Apr. 25, 2000; 
69 FR 1834, Jan. 12, 2004]



Sec. 90.206  Trading.

    (a) An engine manufacturer may exchange emission credits with other 
engine manufacturers in trading, subject to the trading restriction 
specified in Sec. 90.207(c)(2).
    (b) Credits for trading can be obtained from credits banked in 
previous model years or credits generated during the model year of the 
trading transaction.
    (c) Traded credits can be used for averaging, banking, or further 
trading transactions, subject to Sec. 90.205(a).
    (d) Traded credits are subject to the limitations on use for past 
model years, as set forth in Sec. 90.204(c).
    (e) In the event of a negative credit balance resulting from a 
transaction, both the buyer and the seller are liable, except in cases 
involving fraud. Certificates of all engine families participating in a 
negative trade may be voided ab initio pursuant to Sec. 90.123.

[64 FR 15239, Mar. 30, 1999, as amended at 65 FR 24309, Apr. 25, 2000; 
69 FR 1834, Jan. 12, 2004]



Sec. 90.207  Credit calculation and manufacturer compliance with 
emission standards.

    (a) For each engine family, HC+NOX [NMHC+NOX] 
certification emission credits (positive or negative) are to be 
calculated according to the following equation and rounded to the 
nearest gram. Consistent units are to be used throughout the equation.

Credits = Productionx(Standard--FEL)xPowerxUseful lifexLoad Factor

Where:

Production = eligible production as defined in this part. Annual 
production projections are used to project credit availability for 
initial certification. Eligible production volume is used in determining 
actual credits for end-of-year compliance determination.
Standard = the current and applicable Small SI engine HC+NOX 
(NMHC+NOX) emission standard in grams per kilowatt hour as 
determined in Sec. 90.103 or, for early credits, the applicable 
emission level as specified in Sec. 90.205(b).
FEL = the family emission limit for the engine family in grams per 
kilowatt hour.
Power = the maximum modal power of the certification test engine, in 
kilowatts, as calculated from the applicable federal test procedure as 
described in this part.
Useful Life = the useful life in hours corresponding to the useful life 
category for which the engine family was certified.
Load Factor = 47 percent (i.e., 0.47) for Test Cycle A and Test Cycle B, 
and 85 percent (i.e., 0.85) for Test Cycle C. For approved alternate 
test procedures, the load factor must be calculated according to the 
following formula:

[[Page 196]]

[GRAPHIC] [TIFF OMITTED] TN05AP99.000

Where:

%MTT modei = percent of the maximum FTP torque for mode i.
%MTS modei = percent of the maximum FTP engine rotational 
speed for mode i.
WF modei = the weighting factor for mode i.

    (b) Manufacturer compliance with the emission standards is 
determined on a corporate average basis at the end of each model year. A 
manufacturer is in compliance when the sum of positive and negative 
emission credits it holds is greater than or equal to zero, except that 
the sum of positive and negative credits may be less than zero as 
allowed under paragraph (c) of this section.
    (c)(1) If, as a result of production line testing as required in 
subpart H of this part, an engine family is determined to be in 
noncompliance pursuant to Sec. 90.710, the manufacturer may raise its 
FEL for past and future production as necessary. Further, a manufacturer 
may carry a negative credit balance (known also as a credit deficit) for 
the subject class and model year and for the next three model years. The 
credit deficit may be no larger than that created by the nonconforming 
family. If the credit deficit still exists after the model year 
following the model year in which the nonconformity occurred, the 
manufacturer must obtain and apply credits to offset the remaining 
credit deficit at a rate of 1.2 grams for each gram of deficit within 
the next two model years. The provisions of this paragraph are subject 
to the limitations in paragraph (d) of this section.
    (c)(2) For model years 2004 through 2007, an engine manufacturer who 
certifies at least one Class V engine family in a given model year may 
carry forward a credit deficit for four model years, but must not carry 
such deficit into the fifth year, provided the deficit is attributable 
to negative credits from its Class V engine families, subject to the 
following provisions:
    (i) Credit deficits are permitted for model years 2004 through 2007 
but cannot occur for more than two consecutive model years for a given 
manufacturer;
    (ii)(A) If an engine manufacturer calculates that it has a credit 
deficit for a given model year, it must obtain sufficient credits from 
engine families produced by itself or another manufacturer in a model 
year no later than the fourth model year following the model year for 
which it calculated the credit deficit. (Example: if a manufacturer 
calculates that it has a credit deficit for the 2004 model year, it must 
obtain sufficient credits to offset that deficit from its own production 
or that of other manufacturers' 2008 or earlier model year engine 
families.);
    (B) An engine manufacturer carrying the deficit into the first model 
year following the year in which it was generated must generate or 
obtain credits to offset that deficit and apply them to the deficit at a 
rate of 1:1. An engine manufacturer carrying the deficit into the second 
and third model years must generate or obtain credits to offset that 
deficit and apply them to the deficit at a rate of 1.1:1 (i.e., deficits 
carried into the second and third model year must be repaid with credits 
equal to 110 percent of the deficit). Deficits carried into the fourth 
model year must be offset by credits at a rate of 1.2:1 (i.e., 120 
percent of the deficit);
    (iii) An engine manufacturer who has a credit deficit may use 
credits from any class of spark-ignition nonroad engines at or below 19 
kilowatts generated or obtained through averaging, banking or trading to 
offset the credit deficit; and,
    (iv) An engine manufacturer must not bank credits for future use or 
trade credits to another engine manufacturer during a model year in 
which it has generated a deficit or into which it has carried a deficit.
    (d) Regulations elsewhere in this part notwithstanding, if an engine 
manufacturer experiences two or more production line testing failures 
pursuant to the regulations in subpart H of this

[[Page 197]]

part in a given model year, the manufacturer may raise the FEL of 
previously produced engines only to the extent that such engines 
represent no more than 10 percent of the manufacturer's total eligible 
production for that model year, as determined on the date when the FEL 
is adjusted. For any additional engine families determined to be in 
noncompliance, the manufacturer must conduct offsetting projects 
approved in advance by the Administrator.
    (e) If, as a result of production line testing under this subpart, a 
manufacturer desires to lower its FEL it may do so subject to Sec. 
90.708(c).
    (f) Except as allowed at paragraph (c) of this section, when a 
manufacturer is not in compliance with the applicable emission standard 
by the date 270 days after the end of the model year, considering all 
credit calculations and transactions completed by then, the manufacturer 
will be in violation of the regulations in this part and EPA may, 
pursuant to Sec. 90.123, void ab initio the certificates of engine 
families for which the manufacturer has not obtained sufficient positive 
emission credits.
    (g) Credit deficits. (1) Manufacturers must offset any deficits for 
a given model year by the reporting deadline for the fourth model year 
following the model year in which the deficits were generated as 
required in paragraph (c)(2) of this section. Manufacturers may offset 
deficits by generating credits or acquiring credits generated by another 
manufacturer.
    (2)(i) Failure to meet the requirements of paragraph (c)(2) of this 
section within the required timeframe for offsetting deficits will be 
considered to be a failure to satisfy the conditions upon which the 
certificate(s) was issued and the individual noncomplying engines not 
covered by the certificate must be determined according to this section.
    (ii) If deficits are not offset within the specified time period, 
the number of engines which could not be covered in the calculation to 
show compliance with the fleet average HC+NOX standard in the 
model year in which the deficit occurred and thus are not covered by the 
certificate must be calculated using the methodology described in 
paragraph (g)(2)(iii) of this section.
    (iii) EPA will determine the engines for which the condition on the 
certificate was not satisfied by designating engines in the Class V 
engine family with the highest HC+NOX FELs first and 
continuing progressively downward through the Class V engine families 
until a number of engines having a credit need, as calculated under 
paragraph (a) of this section, equal to the remaining deficit is 
reached. If this calculation determines that only a portion of engines 
in a Class V engine family contribute to the deficit situation, then EPA 
will designate a subset of actual engines in that engine family as not 
covered by the certificate, starting with the last engine produced and 
counting backwards. EPA may request additional information from the 
manufacturer that would help identify the actual engine not covered by 
the certificate.
    (iv) In determining the engine count, EPA will calculate the mass of 
credits based on the factors identified in paragraph (a) of this 
section.
    (3) If a manufacturer is purchased by, merges with or otherwise 
combines with another manufacturer, the manufacturer continues to be 
responsible for offsetting any deficits outstanding within the required 
time period. Any failure to offset the deficits will be considered to be 
a violation of paragraph (g)(1) of this section and may subject the 
manufacturer to an enforcement action for sale of engines not covered by 
a certificate, pursuant to paragraph (g)(2) of this section.
    (4) If a manufacturer that has a deficit ceases production of 
handheld engines, the manufacturer will be considered immediately in 
violation of paragraph (g)(1) of this section and may be subject to an 
enforcement action for sale of engines not covered by a certificate, 
pursuant to paragraph (g)(2) of this section
    (5) For purposes of calculating the statute of limitations, a 
violation of the requirements of paragraph (g)(1) of this section, a 
failure to satisfy the conditions upon which a certificate(s) was issued 
and hence a sale of engines not covered by the certificate, all

[[Page 198]]

occur upon the expiration of the deadline for offsetting deficits 
specified in paragraph (g)(1) of this section.

[64 FR 15239, Mar. 30, 1999; 64 FR 16526, Apr. 5, 1999, as amended at 65 
FR 24309, Apr. 25, 2000; 69 FR 1834, Jan. 12, 2004]



Sec. 90.208  Certification.

    (a) In the application for certification a manufacturer must:
    (1) Submit a statement that the engines for which certification is 
requested will not, to the best of the manufacturer's belief, cause the 
manufacturer to be in noncompliance under Sec. 90.207(b) when all 
credits are calculated for the manufacturer's engine families.
    (2) Declare an FEL for each engine family for HC+NOX 
(NMHC+NOX). The FEL must have the same number of significant 
digits as the emission standard.
    (3) Indicate the projected number of credits generated/needed for 
this family; the projected applicable eligible annual production volume, 
and the values required to calculate credits as given in Sec. 90.207.
    (4) Submit calculations in accordance with Sec. 90.207 of projected 
emission credits (positive or negative) based on annual production 
projections for each family.
    (5) (i) If the engine family is projected to have negative emission 
credits, state specifically the source (manufacturer/engine family or 
reserved) of the credits necessary to offset the credit deficit 
according to projected annual production.
    (ii) If the engine family is projected to generate credits, state 
specifically (manufacturer/engine family or reserved) where the 
projected annual credits will be applied.
    (iii) The manufacturer may supply the information required by this 
section in the form of a spreadsheet detailing the manufacturer's annual 
production plans and the credits generated or consumed by each engine 
family.
    (b) All certificates issued are conditional upon manufacturer 
compliance with the provisions of this subpart both during and after the 
model year of production.
    (c) Failure to comply with all provisions of this subpart will be 
considered to be a failure to satisfy the conditions upon which the 
certificate was issued, and the certificate may be determined to be void 
ab initio pursuant to Sec. 90.123.
    (d) The manufacturer bears the burden of establishing to the 
satisfaction of the Administrator that the conditions upon which the 
certificate was issued were satisfied or waived.
    (e) Projected credits based on information supplied in the 
certification application may be used to obtain a certificate of 
conformity. However, any such credits may be revoked based on review of 
end-of-year reports, follow-up audits, and any other verification steps 
considered appropriate by the Administrator.



Sec. 90.209  Maintenance of records.

    (a) The manufacturer must establish, maintain, and retain the 
following adequately organized and indexed records for each engine 
family:
    (1) EPA engine family identification code;
    (2) Family Emission Limit (FEL) or FELs where FEL changes have been 
implemented during the model year;
    (3) Maximum modal power for the certification test engine;
    (4) Projected production volume for the model year; and
    (5) Records appropriate to establish the quantities of engines that 
constitute eligible production as defined in Sec. 90.3 for each FEL.
    (b) Any manufacturer producing an engine family participating in 
trading reserved credits must maintain the following records on an 
annual basis for each such engine family:
    (1) The engine family;
    (2) The actual applicable production volume;
    (3) The values required to calculate credits as given in Sec. 
90.207;
    (4) The resulting type and number of credits generated/required;
    (5) How and where credit surpluses are dispersed; and
    (6) How and through what means credit deficits are met.
    (c) The manufacturer must retain all records required to be 
maintained under this section for a period of eight years from the due 
date for the end-of-model year report. Records may be retained as hard 
copy or reduced to

[[Page 199]]

microfilm, ADP diskettes, and so forth, depending on the manufacturer's 
record retention procedure; provided, that in every case all information 
contained in the hard copy is retained.
    (d) Nothing in this section limits the Administrator's discretion in 
requiring the manufacturer to retain additional records, or submit 
information not specifically required by this section, if otherwise 
permitted by law.
    (e) Pursuant to a request made by the Administrator, the 
manufacturer must submit to the Administrator the information that the 
manufacturer is required to retain.
    (f) EPA may, pursuant to Sec. 90.123, void ab initio a certificate 
of conformity for an engine family for which the manufacturer fails to 
retain the records required in this section or to provide such 
information to the Administrator upon request.



Sec. 90.210  End-of-year and final reports.

    (a) End-of-year and final reports must indicate the engine family, 
the engine class, the actual production volume, the values required to 
calculate credits as given in Sec. 90.207, and the number of credits 
generated/required. Manufacturers must also submit how and where credit 
surpluses were dispersed (or are to be banked) and/or how and through 
what means credit deficits were met. Copies of contracts related to 
credit trading must be included or supplied by the broker, if 
applicable. The report must include a calculation of credit balances to 
show that the credit summation for all engines is equal to or greater 
than zero (or less than zero in cases of negative credit balances as 
permitted in Sec. 90.207(c)). For model year 2005 and later, the report 
must include a calculation of the production weighted average 
HC+NOX (including NMHC+NOX) FEL for Class II 
engine families to show compliance with the provisions of Sec. 
90.203(g)(2).
    (b) The calculation of eligible production for end-of-year and final 
reports must be based on engines produced for the United States market, 
excluding engines which are subject to state emission standards pursuant 
to a waiver granted by EPA under section 209(e) of the Act. Upon advance 
written request, the Administrator will consider other methods to track 
engines for credit calculation purposes that provide high levels of 
confidence that eligible production or sales are accurately counted.
    (c)(1)End-of-year reports must be submitted within 90 days of the 
end of the model year to: Manager, Engine Compliance Programs Group 
(6403-J), U.S. Environmental Protection Agency, Washington, DC 20460.
    (2) Unless otherwise approved by the Administrator, final reports 
must be submitted within 270 days of the end of the model year to: 
Manager, Engine Compliance Programs Group (6403-J), U.S. Environmental 
Protection Agency, Washington, DC 20460.
    (d) Failure by a manufacturer to submit any end-of-year or final 
reports in the specified time for any engines subject to regulation 
under this part is a violation of Sec. 90.1003(a)(2) and section 213(d) 
of the Clean Air Act for each engine.
    (e) A manufacturer generating credits for banking only who fails to 
submit end-of-year reports in the applicable specified time period (90 
days after the end of the model year) may not use the credits until such 
reports are received and reviewed by EPA. Use of projected credits 
pending EPA review is not permitted in these circumstances.
    (f) Errors discovered by EPA or the manufacturer in the end-of-year 
report, including errors in credit calculation, may be corrected in the 
final report.
    (g) If EPA or the manufacturer determines that a reporting error 
occurred on an end-of-year or final report previously submitted to EPA 
under this section, the manufacturer's credits and credit calculations 
must be recalculated. Erroneous positive credits will be void except as 
provided in paragraph (h) of this section. Erroneous negative credit 
balances may be adjusted by EPA.
    (h) If EPA review determines a reporting error in the manufacturer's 
favor (that is, resulting in an increased credit balance) or if the 
manufacturer discovers such an error within 270 days of the end of the 
model year, EPA shall restore the credits for use by the manufacturer.

[[Page 200]]



Sec. 90.211  Request for hearing.

    An engine manufacturer may request a hearing on the Administrator's 
voiding of the certificate under Sec. Sec. 90.203(h), 90.206(e), 
90.207(f), 90.208(c), or 90.209(f), pursuant to Sec. 90.124. The 
procedures of Sec. 90.125 shall apply to any such hearing.



              Subpart D_Emission Test Equipment Provisions



Sec. 90.301  Applicability.

    (a) This subpart describes the equipment required in order to 
perform exhaust emission tests on new nonroad spark-ignition engines and 
vehicles subject to the provisions of subpart A of this part. Certain 
text in this subpart is identified as pertaining to Phase 1 or Phase 2 
engines. Such text pertains only to engines of the specified Phase. If 
no indication of Phase is given, the text pertains to all engines, 
regardless of Phase.
    (b) Exhaust gases, either raw or dilute, are sampled while the test 
engine is operated using a steady state test cycle on an engine 
dynamometer. The exhaust gases receive specific component analysis 
determining concentration of pollutant. Emission concentrations are 
converted to mass emission rates in grams per hour based on either fuel 
flow, fuel flow and engine intake air flow, or exhaust volume flow. 
Weighted emission rates are reported as grams per brake-kilowatt hour 
(g/kW-hr). See subpart E of this part for a complete description of the 
test procedure.
    (c) Additional information about system design, calibration 
methodologies, and so forth, for raw gas sampling can be found in part 
86, subpart D of this chapter. Examples for system design, calibration 
methodologies, and so forth, for dilute exhaust gas sampling can be 
found in part 86, subpart N of this chapter.
    (d) For Phase 2 Class I, Phase 2 Class I-B, and Phase 2 Class II 
natural gas fueled engines, the following sections from 40 CFR Part 86 
are applicable to this subpart. The requirements of the following 
sections from 40 CFR Part 86 which pertain specifically to the 
measurement and calculation of non-methane hydrocarbon (NMHC) exhaust 
emissions from otto cycle heavy-duty engines must be followed when 
determining the NMHC exhaust emissions from Phase 2 Class I, Phase 2 
Class I-B, and Phase 2 Class II natural gas fueled engines. Those 
sections are: 40 CFR 86.1306-90 Equipment required and specifications; 
overview, 40 CFR 86.1309-90 Exhaust gas sampling system; otto-cycle 
engines, 40 CFR 86.1311-94 Exhaust gas analytical system; CVS bag 
sampling, 40 CFR 86.1313-94(e) Fuel Specification--Natural gas-fuel, 40 
CFR 86.1314-94 Analytical gases, 40 CFR 86.1316-94 Calibrations; 
frequency and overview, 40 CFR 86.1321-94 Hydrocarbon analyzer 
calibration, 40 CFR 86.1325-94 Methane analyzer calibration, 40 CFR 
86.1327-94 Engine dynamometer test procedures, overview, 40 CFR 86.1340-
94 Exhaust sample analysis, 40 CFR 86.1342-94 Calculations; exhaust 
emissions, 40 CFR 86.1344-94(d) Required information--Pre-test data, 40 
CFR 86.1344-94(e) Required information--Test data.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15243, Mar. 30, 1999; 65 
FR 24312, Apr. 25, 2000]



Sec. 90.302  Definitions.

    The definitions in Sec. 90.3 apply to this subpart. The following 
definitions also apply to this subpart.
    Intermediate speed means the engine speed which is 85 percent of the 
rated speed.
    Natural gas means a fuel whose primary constituent is methane.
    Rated speed means the speed at which the manufacturer specifies the 
maximum rated power of an engine.

[64 FR 15243, Mar. 30, 1999]



Sec. 90.303  Symbols, acronyms, abbreviations.

    (a) The acronyms and abbreviations in Sec. 90.5 apply to this 
subpart.
    (b) The symbols in Table 1 in Appendix A of this subpart apply to 
this subpart.



Sec. 90.304  Test equipment overview.

    (a) All engines subject to this subpart are tested for exhaust 
emissions. Engines are operated on dynamometers meeting the 
specification given in Sec. 90.305.

[[Page 201]]

    (b) The exhaust is tested for gaseous emissions using a raw gas 
sampling system as described in Sec. 90.414 or a constant volume 
sampling (CVS) system as described in Sec. 90.421. Both systems require 
analyzers (see paragraph (c) of this section) specific to the pollutant 
being measured.
    (c) Analyzers used are a non-dispersive infrared (NDIR) absorption 
type for carbon monoxide and carbon dioxide analysis; paramagnetic 
(PMD), zirconia (ZRDO), or electrochemical type (ECS) for oxygen 
analysis; a flame ionization (FID) or heated flame ionization (HFID) 
type for hydrocarbon analysis; and a chemiluminescent detector (CLD) or 
heated chemiluminescent detector (HCLD) for oxides of nitrogen analysis.



Sec. 90.305  Dynamometer specifications and calibration accuracy.

    (a) Dynamometer specifications. The dynamometer test stand and other 
instruments for measurement of speed and power output must meet the 
engine speed and torque accuracy requirements shown in Table 2 in 
Appendix A of this subpart. The dynamometer must be capable of 
performing the test cycle described in Sec. 90.410.
    (b) Dynamometer calibration accuracy. (1) The dynamometer test stand 
and other instruments for measurement of power output must meet the 
calibration frequency shown in Table 2 in Appendix A of this subpart.
    (2) A minimum of three calibration weights for each range used is 
required. The weights must be equally spaced and traceable to within 0.5 
percent of National Institute for Standards and Testing (NIST) weights. 
Laboratories located in foreign countries may certify calibration 
weights to local government bureau standards.



Sec. 90.306  Dynamometer torque cell calibration.

    (a)(1) Any lever arm used to convert a weight or a force through a 
distance into a torque must be used in a horizontal position for 
horizontal shaft dynamometers ( five degrees). For 
vertical shaft dynamometers, a pulley system may be used to convert the 
dynamometer's horizontal loading into the vertical plane.
    (2) Calculate the indicated torque (IT) for each calibration weight 
to be used by:

IT=Moment Arm (meters) x Calibration Weight (Newtons)

    (3) Attach each calibration weight specified in Sec. 90.305(b)(2) 
to the moment arm at the calibration distance determined in paragraph 
(a)(2) of this section. Record the power measurement equipment response 
(N-m) to each weight.
    (4) Compare the torque value measured to the calculated torque.
    (5) The measured torque must be within two percent of the calculated 
torque.
    (6) If the measured torque is not within two percent of the 
calculated torque, adjust or repair the system. Repeat steps in 
paragraphs (a)(1) through (a)(6) of this section with the adjusted or 
repaired system.
    (b) Option. A master load-cell or transfer standard may be used to 
verify the torque measurement system.
    (1) The master load-cell and read out system must be calibrated 
using weights specified in Sec. 90.305(b)(2).
    (2) Attach the master load-cell and loading system.
    (3) Load the dynamometer to a minimum of three equally spaced torque 
values as indicated by the master load-cell for each in-use range used.
    (4) The in-use torque measurement must be within two percent of the 
torque measured by the master system for each load used.
    (5) If the in-use torque is not within two percent of the master 
torque, adjust or repair the system. Repeat steps in paragraphs (b)(2) 
through (b)(4) of this section with the adjusted or repaired system.
    (c) Calibrated resistors may not be used for engine flywheel torque 
transducer calibration, but may be used to span the transducer prior to 
engine testing.
    (d) Other engine dynamometer system calibrations such as speed are 
performed as specified by the dynamometer manufacturer or as dictated by 
good engineering practice.

[[Page 202]]



Sec. 90.307  Engine cooling system.

    An engine cooling system is required with sufficient capacity to 
maintain the engine at normal operating temperatures as prescribed by 
the engine manufacturer. Auxiliary fan(s) may be used to maintain 
sufficient engine cooling during engine dynamometer operation.



Sec. 90.308  Lubricating oil and test fuels.

    (a) Lubricating oil. Use the engine lubricating oil which meets the 
engine manufacturer's specifications for a particular engine and 
intended usage.
    (1) Manufacturers must use engine lubricants representative of 
commercially available engine lubricants.
    (2) For 2-stroke engines, the fuel/oil mixture ratio must be that 
which is recommended by the manufacturer.
    (b) Test Fuels--Certification. (1) The manufacturer must use 
gasoline having the specifications, or substantially equivalent 
specifications approved by the Administrator, as specified in Table 3 in 
Appendix A of this subpart for exhaust emission testing of gasoline 
fueled engines. As an option, manufacturers may use the fuel specified 
in Sec. 86.1313-94(a) of this chapter for gasoline fueled engines.
    (2) Alternative fuels, such as natural gas, propane, and methanol, 
used for exhaust emission testing and service accumulation of 
alternative fuel spark-ignition engines must be representative of 
commercially available alternative fuels.
    (i) The manufacturer shall recommend the alternative fuel to be used 
for certification testing and engine service accumulation in accordance 
with paragraph (b)(3) of this section.
    (ii) The Administrator shall determine the alternative fuel to be 
used for testing and engine service accumulation, taking into 
consideration the alternative fuel recommended by the manufacturer.
    (3) Other fuels may be used for testing provided:
    (i) They are commercially viable;
    (ii) Information acceptable to the Administrator is provided to show 
that only the designated fuel would be used in customer service; and
    (iii) Fuel specifications are approved in writing by the 
Administrator prior to the start of testing.
    (c) Test fuels--service accumulation and aging. Unleaded gasoline 
representative of commercial gasoline generally available through retail 
outlets must be used in service accumulation and aging for gasoline-
fueled spark-ignition engines. As an alternative, the certification test 
fuels specified under paragraph (b) of this section may be used for 
engine service accumulation and aging. Leaded fuel may not be used 
during service accumulation or aging.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15243, Mar. 30, 1999]



Sec. 90.309  Engine intake air temperature measurement.

    (a) The measurement location must be within 10 cm of the engine 
intake system (i.e., the air cleaner, for most engines.)
    (b) The temperature measurements must be accurate to within  2 [deg]C.



Sec. 90.310  Engine intake air humidity measurement.

    This section refers to engines which are supplied with intake air 
other than the ambient air in the test cell (i.e., air which has been 
pumped directly to the engine air intake system). For engines which use 
ambient test cell air for the engine intake air, the ambient test cell 
humidity measurement may be used.
    (a) Humidity conditioned air supply. Air that has had its absolute 
humidity altered is considered humidity-conditioned air. For this type 
of intake air supply, the humidity measurements must be made within the 
intake air supply system and after the humidity conditioning has taken 
place.
    (b) Unconditioned air supply. Humidity measurements in unconditioned 
intake air supply systems must be made in the intake air stream entering 
the supply system. Alternatively, the humidity measurements can be 
measured within the intake air supply stream.



Sec. 90.311  Test conditions.

    (a) General requirements. (1) Ambient temperature levels encountered 
by the test engine throughout the test sequence may not be less than 20 
[deg]C or more than 30 [deg]C. All engines must be

[[Page 203]]

installed on the test bed at their design installation angle to prevent 
abnormal fuel distribution.
    (2) Calculate all volumes and volumetric flow rates at standard 
conditions for temperature and pressure, and use these conditions 
consistently throughout all calculations. Standard conditions for 
temperature and pressure are 25 [deg]C and 101.3 kPa.
    (b) Engine test conditions. Measure the absolute temperature 
(designated as T and expressed in Kelvin) of the engine air at the inlet 
to the engine and the dry atmospheric pressure (designated as 
ps and expressed in kPa), and determine the parameter f 
according to the following provisions for naturally aspirated engines:
[GRAPHIC] [TIFF OMITTED] TR03JY95.009


For a certification test to be recognized as valid, the parameter f 
shall be between the limits as shown below: 0.96
Sec. 90.312  Analytical gases.

    (a) The shelf life of a calibration gas may not be exceeded. The 
expiration date stated by the gas supplier must be recorded.
    (b) Pure gases. The required purity of the gases is defined by the 
contamination limits specified in this subsection. The following gases 
must be available for operation:
    (1) Purified nitrogen, also refered to as ``zero-grade nitrogen'' 
(Contamination <= 1 ppm C, <= 1 ppm CO, <= 400 ppm CO2, <= 
0.1 ppm NO);
    (2) Purified oxygen (Purity 99.5 percent vol O2);
    (3) Hydrogen-helium mixture (40  2 percent 
hydrogen, balance helium) (Contamination <= 1 ppm C, <= 400 ppm CO);
    (4) Purified synthetic air, also refered to as ``zero air'' or 
``zero gas'' (Contamination <= 1 ppm C, <= 1 ppm CO, <= 400 ppm 
CO2, <= 0.1 ppm NO) (Oxygen content between 18-21 percent 
vol.).
    (c) Calibration and span gases. (1) Calibration gas values are to be 
derived from NIST ``Standard Reference Materials'' (SRM's) and are to be 
single blends as specified in this subsection.
    (2) Mixtures of gases having the following chemical compositions 
must be available:

C3 H8 and purified synthetic air and/or 
    C3 H8 and purified nitrogen;
CO and purified nitrogen;
NOX and purified nitrogen (the amount of NO2 
    contained in this calibration gas must not exceed five percent of 
    the NO content);
CO2 and purified nitrogen.

    Note: For the HFID or FID the manufacturer may choose to use as a 
diluent span gas and the calibration gas either purified synthetic air 
or purified nitrogen. Any mixture of C3 H8 and 
purified synthetic air which contains a concentration of propane higher 
than what a gas supplier considers to be safe may be substituted with a 
mixture of C3 H8 and purified nitrogen. However, 
the manufacturer must be consistent in the choice of diluent (zero air 
or purified nitrogen) between the calibration and span gases. If a 
manufacturer chooses to use C3 H8 and purified 
nitrogen for the calibration gases, then purified nitrogen must be the 
diluent for the span gases.

    (3) The true concentration of a span gas must be within  two percent of the NIST gas standard. The true 
concentration of a calibration gas must be within  
one percent of the NIST gas standard. The use of precision blending 
devices (gas dividers) to obtain the required calibration gas 
concentrations is acceptable. Give all concentrations of calibration gas 
on a volume basis (volume percent or volume ppm).
    (4) The gas concentrations used for calibration and span may also be 
obtained by means of a gas divider, diluting either with purified 
N2 or with purified synthetic air. The accuracy of the mixing 
device must be such that the concentration of the diluted gases may be 
determined to within  two percent.
    (d) Oxygen interference check gases must contain propane with 350 
ppmC  75 ppmC hydrocarbon. Determine the 
concentration value to calibration gas tolerances by chromatographic 
analysis of total hydrocarbons plus impurities or by dynamic blending. 
For gasoline fueled engines, oxygen contentration must be between 0 and 
1 percent O2. Nitrogen must be the predominant diluent with 
the balance oxygen.

[[Page 204]]

    (e) Fuel for the hydrocarbon flame ionization detector (HC-FID) must 
be a blend of 40  two percent hydrogen with the 
balance being helium. The mixture must contain less than one ppm 
equivalent carbon response; 98 to 100 percent hydrogen fuel may be used 
with advance approval of the Administrator.
    (f) Hydrocarbon analyzer burner air. The concentration of oxygen 
must be within one mole percent of the oxygen concentration of the 
burner air used in the latest oxygen interference check (percent 
O2 I), see Sec. 90.316(d). If the difference in oxygen 
concentration is greater than one mole percent, then the oxygen 
interference must be checked and, if necessary, the analyzer adjusted to 
meet the percent O2 I requirements. The burner air must 
contain less than two ppmC hydrocarbon.



Sec. 90.313  Analyzers required.

    (a) Analyzers. Analyze measured gases with the following 
instruments:
    (1) Carbon monoxide (CO) analysis. (i) The carbon monoxide analyzer 
shall be of the non-dispersive infrared (NDIR) absorption type.
    (ii) The use of linearizing circuits is permitted.
    (2) Carbon dioxide (CO2) analysis. (i) The carbon dioxide 
analyzer shall be of the non-dispersive infrared (NDIR) absorption type.
    (ii) The use of linearizing circuits is permitted.
    (3) Oxygen (O2) analysis. Oxygen (O2) 
analyzers may be of the paramagnetic (PMD), zirconia (ZRDO) or 
electrochemical type (ECS).
    (4) Hydrocarbon (HC) analysis. (i) For Raw Gas Sampling, the 
hydrocarbon analyzer shall be of the heated flame ionization (HFID) 
type. For constant volume sampling, the hydrocarbon analyzer may be of 
the flame ionization (FID) type or of the heated flame ionization (HFID) 
type.
    (ii) For the HFID system, if the temperature of the exhaust gas at 
the sample probe is below 190 [deg]C, the temperature of the valves, 
pipe work, and so forth, must be controlled so as to maintain a wall 
temperature of 190 [deg]C 11 [deg]C. If the 
temperature of the exhaust gas at the sample probe is above 190 [deg]C, 
the temperature of the valves, pipe work, and so forth, must be 
controlled so as to maintain a wall temperature greater than 180 [deg]C.
    (iii) For the HFID analyzer, the detector, oven, and sample-handling 
components within the oven must be suitable for continuous operation at 
temperatures to 200 [deg]C. It must by capable of maintaining 
temperature within 5.5 [deg]C of the set point.
    (iv) Fuel and burner air must conform to the specifications in Sec. 
90.312.
    (v) The percent of oxygen interference must be less than three 
percent, as specified in Sec. 90.316(d).
    (5) Oxides of nitrogen (NOX) analysis.
    (i) This analysis device consists of the following items:
    (A) A NO2 to NO converter. The NO2 to NO 
converter efficiency must be at least 90 percent.
    (B) An ice bath located after the NOX converter 
(optional).
    (C) A chemiluminescent detector (CLD) or heated chemiluminescent 
detector (HCLD).
    (ii) The quench interference must be less than 3.0 percent as 
measured in Sec. 90.325.
    (b) Other analyzers and equipment. Other types of analyzers and 
equipment may be used if shown to yield equivalent results and if 
approved in advance by the Administrator.
    (c) The following requirements must be incorporated as indicated in 
systems used for testing under this subpart.
    (1) Carbon monoxide and carbon dioxide measurements must be made on 
a dry basis (for raw exhaust measurement only). Specific requirements 
for the means of drying the sample can be found in Sec. 90.313(e).
    (2) Calibration or span gases for the NOX measurement 
system must pass through the NO2 to NO converter.
    (d) The electromagnetic compatibility (EMC) of the equipment must be 
on a level as to minimize additional errors.
    (e) Gas drying. Chemical dryers are not an acceptable method of 
removing water from the sample. Water removal by condensation is 
acceptable. If water is removed by condensation, the sample gas 
temperature or sample dew point must be monitored either within the 
water trap or downstream and its temperature must not exceed 7 [deg]C. A 
water trap performing this function is

[[Page 205]]

an acceptable method. Means other than condensation may be used only 
with prior approval from the Administrator.



Sec. 90.314  Analyzer accuracy and specifications.

    (a) Measurement and accuracy--general. The analyzers must have a 
measuring range which allows them to measure the concentrations of the 
exhaust gas sample pollutants with the accuracies shown in Table 2 in 
Appendix A of this subpart.
    (1) Precision. The precision of the analyzer must be, at worst, two 
percent of full-scale concentration for each range used. The precision 
is defined as 2.5 times the standard deviation(s) of 10 repetitive 
responses to a given calibration or span gas.
    (2) Noise. The analyzer peak-to-peak response to zero and 
calibration or span gases over any 10-second period must not exceed two 
percent of full-scale chart deflection on all ranges used.
    (3) Zero drift. The analyzer zero-response drift during a one-hour 
period must be less than two percent of full-scale chart deflection on 
the lowest range used. The zero-response is defined as the mean response 
including noise to a zero-gas during a 30-second time interval.
    (4) Span drift. The analyzer span drift during a one-hour period 
must be less than two percent of full-scale chart deflection on the 
lowest range used. The analyzer span is defined as the difference 
between the span-response and the zero-response. The span-response is 
defined as the mean response including noise to a span gas during a 30-
second time interval.
    (b) Operating procedure for analyzers and sampling system. Follow 
the start-up and operating instructions of the instrument manufacturer 
or use good engineering practice. Adhere to the minimum requirements 
given in Sec. Sec. 90.316 through 90.325 and Sec. 90.409.
    (c) Emission measurement accuracy--Bag sampling. (1) Good 
engineering practice dictates that exhaust emission sample analyzer 
readings below 15 percent of full-scale chart deflection should 
generally not be used.
    (2) Some high resolution read-out systems, such as computers, data 
loggers, and so forth, can provide sufficient accuracy and resolution 
below 15 percent of full scale. Such systems may be used provided that 
additional calibrations are made to ensure the accuracy of the 
calibration curves. The following procedure for calibration below 15 
percent of full scale may be used:
    Note to paragraph (c): If a gas divider is used, the gas divider 
must conform to the accuracy requirements as follows. The use of 
precision blending devices (gas dividers) to obtain the required 
calibration gas concentrations is acceptable, provided that the blended 
gases are accurate to within  1.5 percent of NIST 
gas standards or other gas standards which have been approved by the 
Administrator. This accuracy implies that primary gases used for 
blending must be ``named'' to an accuracy of at least  one percent, traceable to NIST or other approved gas 
standards.
    (i) Span the full analyzer range using a top range calibration gas. 
The span gases must be accurate to within  two 
percent of NIST gas standards or other gas standards which have been 
approved by the Administrator.
    (ii) Generate a calibration curve according to, and meeting the 
requirements, of the sections describing analyzer calibrations which are 
found in Sec. Sec. 90.316, 90.317, 90.318, and 90.320.
    (iii) Select a calibration gas (a span gas may be used for 
calibrating the CO2 analyzer) with a concentration between 
the two lowest non-zero gas divider increments. This gas must be 
``named'' to an accuracy of  one percent of NIST 
gas standards or other standards approved by the Administrator.
    (iv) Using the calibration curve fitted to the points generated in 
paragraphs (c)(2) (i) and (ii) of this section, check the concentration 
of the gas selected in paragraph (c)(2)(iii) of this section. The 
concentration derived from the curve must be within  2.3 percent ( 2.8 percent for 
CO2 span gas) of the gas's original named concentration.
    (v) Provided the requirements of paragraph (c)(2)(iv) of this 
section are met, use the gas divider with the gas selected in paragraph 
(c)(2)(iii) of this section and determine the remainder of the 
calibration points. Fit a calibration curve per Sec. Sec. 90.316, 
90.317, 90.318, and 90.320 of this chapter for the entire analyzer 
range.

[[Page 206]]

    (d) Emission measurement accuracy--continuous sampling. Analyzers 
used for continuous analysis must be operated such that the measured 
concentration falls between 15 and 100 percent of full-scale chart 
deflection. Exceptions to these limits are:
    (1) The analyzer's response may be less than 15 percent or more than 
100 percent of full scale if automatic range change circuitry is used 
and the limits for range changes are between 15 and 100 percent of full-
scale chart deflection;
    (2) The analyzer's response may be less than 15 percent of full 
scale if:
    (i) The alternative in paragraph (c)(2) of this section is used to 
ensure that the accuracy of the calibration curve is maintained below 15 
percent; or
    (ii) The full-scale value of the range is 155 ppm (C) or less; or
    (iii) The emissions from the engine are erratic and the integrated 
chart deflection value for the cycle is greater than 15 percent of full 
scale; or
    (iv) The contribution of all data read below the 15 percent level is 
less than 10 percent by mass of the final test results.



Sec. 90.315  Analyzer initial calibration.

    (a) Warming-up time. The warming-up time should be according to the 
recommendations of the manufacturer. If not specified, a minimum of two 
hours should be allowed for warming up the analyzers.
    (b) NDIR, FID, and HFID analyzer. Tune and maintain the NDIR 
analyzer per the instrument manufacturer recommendations or 
specifications or using good engineering practice. The combustion flame 
of the FID or HFID analyzer must be optimized in order to meet the 
specifications in Sec. 90.316(b).
    (c) Zero setting and calibration. Using purified synthetic air (or 
nitrogen), set the CO, CO2, NOX. and HC analyzers 
at zero. Connect the appropriate calibrating gases to the analyzers and 
record the values. Use the same gas flow rates and pressure as when 
sampling exhaust.
    (d) Rechecking of zero setting. Recheck the zero setting and, if 
necessary, repeat the procedure described in paragraph (c) of this 
section.



Sec. 90.316  Hydrocarbon analyzer calibration.

    (a) Calibrate the FID and HFID hydrocarbon analyzer as described in 
this section. Operate the HFID to a set point  5.5 
[deg]C between 185 and 197 [deg]C.
    (b) Initial and periodic optimization of detector response. Prior to 
initial use and at least annually thereafter, adjust the FID and HFID 
hydrocarbon analyzer for optimum hydrocarbon response as specified in 
this paragraph. Alternative methods yielding equivalent results may be 
used, if approved in advance by the Administrator.
    (1) Follow good engineering practices for initial instrument start-
up and basic operating adjustment using the appropriate fuel (see Sec. 
90.312) and purified synthetic air or zero-grade nitrogen.
    (2) Use of one of the following procedures is required for FID or 
HFID optimization:
    (i) The procedure outlined in Society of Automotive Engineers (SAE) 
paper No. 770141, ``Optimization of a Flame Ionization Detector for 
Determination of Hydrocarbon in Diluted Automotive Exhausts;'' author, 
Glenn D. Reschke. This procedure has been incorporated by reference. See 
Sec. 90.7.
    (ii) The HFID optimization procedures outlined in Sec. 86.331-79 of 
this chapter.
    (iii) Alternative procedures may be used if approved in advance by 
the Administrator.
    (3) After the optimum flow rates have been determined, record them 
for future reference.
    (c) Initial and periodic calibration. Prior to initial use and 
monthly thereafter, or within one month prior to the certification test, 
the FID or HFID hydrocarbon analyzer must be calibrated on all normally 
used instrument ranges using the steps in this paragraph. Use the same 
flow rate and pressures as when analyzing samples. Introduce calibration 
gases directly at the analyzer. An optional method for dilute sampling 
described in Sec. 86.1310-90(b)(3)(i) may be used.
    (1) Adjust analyzer to optimize performance.
    (2) Zero the hydrocarbon analyzer with purified synthetic air or 
zero-grade nitrogen.

[[Page 207]]

    (3) Calibrate on each used operating range with calibration gases 
having nominal concentrations between 10 and 90 percent of that range. A 
minimum of six evenly spaced points covering at least 80 percent of the 
10 to 90 range (64 percent) is required (see following table).

------------------------------------------------------------------------
     Example calibration points (%)        Acceptable for calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50
                                          percent, not 64.
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.
10, 25, 40, 55, 70, 85.................  Yes.
10, 30, 50, 70, 90.....................  No, though equally spaced and
                                          entire range covered, a
                                          minimum of six points are
                                          needed.
------------------------------------------------------------------------


For each range calibrated, if the deviation from a least-squares best-
fit straight line is two percent or less of the value at each data 
point, calculate concentration values by use of a single calibration 
factor for that range. If the deviation exceeds two percent at any 
point, use the best-fit non-linear equation which represents the data to 
within two percent of each test point to determine concentration.
    (d) Oxygen interference optimization. Prior to initial use and 
monthly thereafter, perform the oxygen interference optimization as 
described in this paragraph. Choose a range where the oxygen 
interference check gases will fall in the upper 50 percent. Conduct the 
test, as outlined in this paragraph, with the oven temperature set as 
required by the instrument manufacturer. Oxygen interference check gas 
specifications are found in Sec. 90.312(d).
    (1) Zero the analyzer.
    (2) Span the analyzer with the 21 percent oxygen blend.
    (3) Recheck zero response. If it has changed more than 0.5 percent 
of full scale repeat paragraphs (d)(1) and (d)(2) of this section to 
correct the problem.
    (4) Introduce the five percent and 10 percent oxygen interference 
check gases.
    (5) Recheck the zero response. If it has changed by more than  one percent of full scale, repeat the test.
    (6) Calculate the percent of oxygen interference (designated as 
percent O2 I) for each mixture in paragraph (d)(4) of this 
section according to the following equation.
[GRAPHIC] [TIFF OMITTED] TR03JY95.010

Where:

A = hydrocarbon concentration (ppmC) of the span gas used in paragraph 
(d)(2) of this section.
B = hydrocarbon concentration (ppmC) of the oxygen interference check 
gases used in paragraph (d)(4) of this section.

    (7) The percent of oxygen interference (designated as percent 
O2 I) must be less than  three percent 
for all required oxygen interference check gases prior to testing.
    (8) If the oxygen interference is greater than the specifications, 
incrementally adjust the air flow above and below the manufacturer's 
specifications, repeating paragraphs (d)(1)

[[Page 208]]

through (d)(7) of this section for each flow.
    (9) If the oxygen interference is greater than the specification 
after adjusting the air flow, vary the fuel flow and thereafter the 
sample flow, repeating paragraphs (d)(1) through (d)(7) of this section 
for each new setting.
    (10) If the oxygen interference is still greater than the 
specifications, repair or replace the analyzer, FID fuel, or burner air 
prior to testing. Repeat this section with the repaired or replaced 
equipment or gases.



Sec. 90.317  Carbon monoxide analyzer calibration.

    (a) Calibrate the NDIR carbon monoxide analyzer as described in this 
section.
    (b) Initial and periodic interference. Prior to its initial use and 
annually thereafter, check the NDIR carbon monoxide analyzer for 
response to water vapor and CO2.
    (1) Follow good engineering practices for instrument start-up and 
operation. Adjust the analyzer to optimize performance on the most 
sensitive range to be used.
    (2) Zero the carbon monoxide analyzer with either purified synthetic 
air or zero-grade nitrogen.
    (3) Bubble a mixture of three percent CO2 in 
N2 through water at room temperature and record analyzer 
response.
    (4) An analyzer response of more than one percent of full scale for 
ranges above 300 ppm full scale or more than three ppm on ranges below 
300 ppm full scale requires corrective action. (Use of conditioning 
columns is one form of corrective action which may be taken.)
    (c) Initial and periodic calibration. Prior to its initial use and 
monthly thereafter, or within one month prior to the certification test, 
calibrate the NDIR carbon monoxide analyzer.
    (1) Adjust the analyzer to optimize performance.
    (2) Zero the carbon monoxide analyzer with either purified synthetic 
air or zero-grade nitrogen.
    (3) Calibrate on each used operating range with carbon monoxide-in-
N2 calibration gases having nominal concentrations between 10 
and 90 percent of that range. A minimum of six evenly spaced points 
covering at least 80 percent of the 10 to 90 range (64 percent) is 
required (see following table).

------------------------------------------------------------------------
     Example calibration points (%)        Acceptable for calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50
                                          percent, not 64.
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.
10, 25, 40, 55, 70, 85.................  Yes.
10, 30, 50, 70, 90.....................  No, though equally spaced and
                                          entire range covered, a
                                          minimum of six points are
                                          needed.
------------------------------------------------------------------------


Additional calibration points may be generated. For each range 
calibrated, if the deviation from a least-squares best-fit straight line 
is two percent or less of the value at each data point, calculate 
concentration values by use of a single calibration factor for that 
range. If the deviation exceeds two percent at any point, use the best-
fit non-linear equation which represents the data to within two percent 
of each test point to determine concentration.



Sec. 90.318  Oxides of nitrogen analyzer calibration.

    (a) Calibrate the chemiluminescent oxides of nitrogen analyzer as 
described in this section.
    (b) Initial and Periodic Interference: Prior to its initial use and 
monthly thereafter, or within one month prior to the certification test, 
check the chemiluminescent oxides of nitrogen analyzer for 
NO2 to NO converter efficiency. Figure 1 in Appendix B of 
this subpart is a reference for paragraphs (b)(1) through (11) of this 
section:
    (1) Follow good engineering practices for instrument start-up and 
operation. Adjust the analyzer to optimize performance.
    (2) Zero the oxides of nitrogen analyzer with purified synthetic air 
or zero-grade nitrogen.
    (3) Connect the outlet of the NOX generator to the sample 
inlet of the oxides of nitrogen analyzer which has

[[Page 209]]

been set to the most common operating range.
    (4) Introduce into the NOX generator analyzer-system an 
NO-in-nitrogen (N2) mixture with an NO concentration equal to 
approximately 80 percent of the most common operating range. The 
NO2 content of the gas mixture must be less than five percent 
of the NO concentration.
    (5) With the oxides of nitrogen analyzer in the NO mode, record the 
concentration of NO indicated by the analyzer.
    (6) Turn on the NOX generator O2 (or air) 
supply and adjust the O2 (or air) flow rate so that the NO 
indicated by the analyzer is about 10 percent less than indicated in 
paragraph (b)(5) of this section. Record the concentration of NO in this 
NO+O2 mixture as value ``c.''
    (7) Switch the NOX generator to the generation mode and 
adjust the generation rate so that the NO measured on the analyzer is 20 
percent of that measured in paragraph (b)(5) of this section. There must 
be at least 10 percent unreacted NO at this point. Record the 
concentration of residual NO as value ``d.''
    (8) Switch the oxides of nitrogen analyzer to the NOX 
mode and measure total NOX. Record this value as ``a.''
    (9) Switch off the NOX generator but maintain gas flow 
through the system. The oxides of nitrogen analyzer will indicate the 
NOX in the NO+O2 mixture. Record this value as 
``b''.
    (10) Turn off the NOX generator O2 (or air) 
supply. The analyzer will now indicate the NOX in the 
original NO-in-N2 mixture. This value should be no more than 
five percent above the value indicated in paragraph (b)(4) of this 
section.
    (11) Calculate the efficiency of the NOX converter by 
substituting the concentrations obtained into the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.049

Where:

a = concentration obtained in paragraph (b)(8),
b = concentration obtained in paragraph (b)(9),
c = concentration obtained in paragraph (b)(6),
d = concentration obtained in paragraph (b)(7).

    If converter efficiency is less than 90 percent, corrective action 
will be required.
    (c) Initial and periodic calibration. Prior to its initial use and 
monthly thereafter, or within one month prior to the certification test, 
calibrate the chemiluminescent oxides of nitrogen analyzer on all 
normally used instrument ranges. Use the same flow rate as when 
analyzing samples. Proceed as follows:
    (1) Adjust analyzer to optimize performance.
    (2) Zero the oxides of nitrogen analyzer with purified synthetic air 
or zero-grade nitrogen.
    (3) Calibrate on each normally used operating range with NO-in-
N2 calibration gases having nominal concentrations between 10 
and 90 percent of that range. A minimum of six evenly spaced points 
covering at least 80 percent of the 10 to 90 range (64 percent) is 
required (see following table).

------------------------------------------------------------------------
     Example calibration points (%)        Acceptable for calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50
                                          percent, not 64
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.
10, 25, 40, 55, 70, 85.................  Yes.
10, 30, 50, 70, 90.....................  No, though equally spaced and
                                          entire range covered, a
                                          minimum of six points are
                                          needed.
------------------------------------------------------------------------


Additional calibration points may be generated. For each range 
calibrated, if the deviation from a least-squares best-fit straight line 
is two percent or less of the value at each data point, calculate 
concentration values by use of a single calibration factor for that 
range. If the deviation exceeds two percent at any point, use the best-
fit non-linear equation which represents the data to within two percent 
of each test point to determine concentration.

[[Page 210]]

    (d) The initial and periodic interference, system check, and 
calibration test procedures specified in Sec. 86.332-79 of this chapter 
may be used in lieu of the procedures specified in this section.



Sec. 90.319  NOX converter check.

    (a) The efficiency of the converter used for the conversion of 
NO2 to NO is tested as given in paragraphs (a)(1) through 
(a)(8) of this section.
    (1) Using the test setup as shown in Figure 1 in Appendix B of this 
subpart (see also Sec. 90.318 of this chapter) and the procedure 
described in paragraphs (a)(2) through (a)(8) of this section, test the 
efficiency of converters by means of an ozonator.
    (2) Calibrate the HCLD or CLD in the most common operating range 
following the manufacturer's specifications using zero and span gas (the 
NO content of which must amount to about 80 percent of the operating 
range and the NO2 concentration of the gas mixture less than 
five percent of the NO concentration). The NOX analyzer must 
be in the NO mode so that the span gas does not pass through the 
converter. Record the indicated concentration.
    (3) Calculate the efficiency of the NOX converter as 
described in Sec. 90.318(b).
    (4) Via a T-fitting, add oxygen continuously to the gas flow until 
the concentration indicated is about 20 percent less than the indicated 
calibration concentration given in paragraph (a)(2) of this section. 
Record the indicated concentration ``c.'' The ozonator is kept 
deactivated throughout the process.
    (5) Activate the ozonator to generate enough ozone to bring the NO 
concentration down to about 20 percent (minimum 10 percent) of the 
calibration concentration given in paragraph (a)(2) of this section. 
Record the indicated concentration ``d.''

    Note: If, with the analyzer in the most common range, the 
NOX converter can not give a reduction from 80 percent to 20 
percent, then use the highest range which will give the reduction.

    (6) Switch the NO analyzer to the NOX mode which means 
that the gas mixture (consisting of NO, NO2, O2 
and N2) now passes through the converter. Record the 
indicated concentration ``a.''
    (7) Deactivate the ozonator. The mixture of gases described in 
paragraph (a)(6) of this section passes through the converter into the 
detector. Record the indicated concentration ``b.''
    (8) Switched to NO mode with the ozonator deactivated, the flow of 
oxygen or purified synthetic air is also shut off. The NOX 
reading of the analyzer may not deviate by more than  five percent of the theoretical value of the figure 
given in paragraph (a)(2) of this section.
    (b) The efficiency of the converter must be tested prior to each 
calibration of the NOX analyzer.
    (c) The efficiency of the converter may not be less than 90 percent.



Sec. 90.320  Carbon dioxide analyzer calibration.

    (a) Prior to its initial use and monthly thereafter, or within one 
month prior to the certification test, calibrate the NDIR carbon dioxide 
analyzer as follows:
    (1) Follow good engineering practices for instrument start-up and 
operation. Adjust the analyzer to optimize performance.
    (2) Zero the carbon dioxide analyzer with either purified synthetic 
air or zero-grade nitrogen.
    (3) Calibrate on each normally used operating range with carbon 
dioxide-in-N2 calibration or span gases having nominal 
concentrations between 10 and 90 percent of that range. A minimum of six 
evenly spaced points covering at least 80 percent of the 10 to 90 range 
(64 percent) is required (see following table).

------------------------------------------------------------------------
     Example calibration points (%)        Acceptable for Calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50
                                          percent, not 64.
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.
10, 25, 40, 55, 70, 85.................  Yes.
10, 30, 50, 70, 90.....................  No, though equally spaced and
                                          entire range covered, a
                                          minimum of six points are
                                          needed.
------------------------------------------------------------------------


[[Page 211]]


Additional calibration points may be generated. For each range 
calibrated, if the deviation from a least-squares best-fit straight line 
is two percent or less of the value at each data point, calculate 
concentration values by use of a single calibration factor for that 
range. If the deviation exceeds two percent at any point, use the best-
fit non-linear equation which represents the data to within two percent 
of each test point to determine concentration.
    (b) The initial and periodic interference, system check, and 
calibration test procedures specified in Sec. Sec. 86.316, 86.319, 
86.320, 86.321, and 86.322 of this chapter may be used in lieu of the 
procedures in this section.



Sec. 90.321  NDIR analyzer calibration.

    (a) Detector optimization. If necessary, follow the instrument 
manufacturer's instructions for initial start-up and basic operating 
adjustments.
    (b) Calibration curve. Develop a calibration curve for each range 
used as follows:
    (1) Zero the analyzer.
    (2) Span the analyzer to give a response of approximately 90 percent 
of full-scale chart deflection.
    (3) Recheck the zero response. If it has changed more than 0.5 
percent of full scale, repeat the steps given in paragraphs (b)(1) and 
(b)(2) of this section.
    (4) Record the response of calibration gases having nominal 
concentrations between 10 and 90 percent of full-scale concentration. A 
minimum of six evenly spaced points covering at least 80 percent of the 
10 to 90 range (64 percent) is required (see following table).

------------------------------------------------------------------------
     Example calibration points (%)        Acceptable for calibration?
------------------------------------------------------------------------
20, 30, 40, 50, 60, 70.................  No, range covered is 50
                                          percent, not 64.
20, 30, 40, 50, 60, 70, 80, 90.........  Yes.
10, 25, 40, 55, 70, 85.................  Yes.
10, 30, 50, 70, 90.....................  No, though equally spaced and
                                          entire range covered, a
                                          minimum of six points are
                                          needed.
------------------------------------------------------------------------

    (5) Generate a calibration curve. The calibration curve must be of 
fourth order or less, have five or fewer coefficients, and be of the 
form of the following equation (1) or (2). Include zero as a data point. 
Compensation for known impurities in the zero gas can be made to the 
zero-data point. The calibration curve must fit the data points within 
two percent of point or one percent of full scale, whichever is less.
[GRAPHIC] [TIFF OMITTED] TR03JY95.011

where:

y = concentration
x = chart deflection

    (6) Option. A new calibration curve need not be generated if:
    (i) A calibration curve conforming to paragraph (b)(5) of this 
section exists; or,
    (ii) The responses generated in paragraph (b)(4) of this section are 
within one percent of full scale or two percent of point, whichever is 
less, of the responses predicted by the calibration curve for the gases 
used in paragraph (b)(4) of this section.
    (7) If multiple range analyzers are used, the lowest range used must 
meet the curve fit requirements below 15 percent of full scale.
    (c) Linear calibration criteria. If any range is within two percent 
of being linear, a linear calibration may be used. To determine if this 
criterion is met:
    (1) Perform a linear least-square regression on the data generated. 
Use an equation of the form y=mx, where x is the actual chart deflection 
and y is the concentration.
    (2) Use the equation z=y/m to find the linear chart deflection 
(designated as z) for each calibration gas concentration (designated as 
y).
    (3) Determine the linearity (designated as percent L) for each 
calibration gas by:

[[Page 212]]

[GRAPHIC] [TIFF OMITTED] TR03JY95.012

    (4) The linearity criterion is met if the %L is less than  two percent for each data point generated. For each 
emission test, use a calibration curve of the form Y=mx. The slope 
(designated as m) is defined for each range by the spanning process.



Sec. 90.322  Calibration of other equipment.

    Calibrate other test equipment used for testing as often as required 
by the test equipment manufacturer or as necessary according to good 
engineering practice.



Sec. 90.323  Analyzer bench checks.

    (a) Prior to initial use and after major repairs, verify that each 
analyzer complies with the specifications given in Table 2 in Appendix A 
of this subpart.
    (b) If a stainless steel NO2 to NO converter is used, 
condition all new or replacement converters. The conditioning consists 
of either purging the converter with air for a minimum of four hours or 
until the converter efficiency is greater than 90 percent. The converter 
must be at operational temperature while purging. Do not use this 
procedure prior to checking converter efficiency on in-use converters.



Sec. 90.324  Analyzer leakage check.

    (a) Vacuum side leak check. (1) Check any location within the 
analysis system where a vacuum leak could affect the test results.
    (2) The maximum allowable leakage rate on the vacuum side is 0.5 
percent of the in-use flow rate for the portion of the system being 
checked. The analyzer flows and bypass flows may be used to estimate the 
in-use flow rates.
    (3) The sample probe and the connection between the sample probe and 
valve V2, see Figure 2 in Appendix B of this subpart, may be excluded 
from the leak check.
    (b) Pressure side leak check. The maximum allowable leakage rate on 
the pressure side is five percent of the in-use flow rate.



Sec. 90.325  Analyzer interference checks.

    (a) Gases present in the exhaust other than the one being analyzed 
can interfere with the reading in several ways. Positive interference 
occurs in NDIR and PMD instruments when the interfering gas gives the 
same effect as the gas being measured, but to a lesser degree. Negative 
interference occurs in NDIR instruments by the interfering gas 
broadening the absorption band of the measured gas, and in CLD 
instruments by the interfering gas quenching the radiation. The 
interference checks described in this section are to be made initially 
and after any major repairs that could affect analyzer performance.
    (b) CO analyzer water and CO2 interference checks. Bubble 
through water at room temperature a CO2 span gas having a 
concentration of between 80 percent and 100 percent inclusive of full 
scale of the maximum operating range used during testing and record the 
analyzer response. For dry measurements, this mixture may be introduced 
into the sample system prior to the water trap. The analyzer response 
must not be more than one percent of full scale for ranges equal to or 
above 300 ppm or more than three ppm for ranges below 300 ppm.
    (c) NOX analyzer quench check. The two gases of concern for CLD (and 
HCLD) analyzers are CO2 and water vapor. Quench responses to 
these two gases are proportional to their concentrations and, therefore, 
require test techniques to determine quench at the highest expected 
concentrations experienced during testing.
    (1) NOX analyzer CO2 quench check. (i) Pass a 
CO2 span gas having a concentration of 80 percent to 100 
percent of full scale of the maximum operating range used during testing 
through the CO2 NDIR analyzer and record the value ``a.''
    (ii) Dilute the CO2 span gas approximately 50 percent 
with NO span gas

[[Page 213]]

and pass through the CO2 NDIR and CLD (or HCLD). Record the 
CO2 and NO values as ``b'' and ``c'' respectively.
    (iii) Shut off the CO2 and pass only the NO span gas 
through the CLD (or HCLD). Record the NO value as ``d.''
    (iv) Calculate the percent CO2 quench as follows, not to 
exceed three percent:
[GRAPHIC] [TIFF OMITTED] TR03JY95.013

Where:

a = Undiluted CO2 concentration (percent)
b = Diluted CO2 concentration (percent)
c = Diluted NO concentration (ppm)
d = Undiluted NO concentration (ppm)

    (2) NOX analyzer water quench check. (i) This check 
applies to wet measurements only. An NO span gas having a concentration 
of 80 percent to 100 percent of full scale of a normal operating range 
is passed through the CLD (or HCLD) and the response recorded as ``D''. 
The NO span gas is then bubbled through water at room temperature and 
passed through the CLD (or HCLD) and the analyzer's response recorded as 
AR. Determine and record the analyzer's absolute operating pressure and 
the bubbler water temperature. (It is important that the NO span gas 
contains minimal NO2 concentration for this check. No 
allowance for absorption of NO2 in water has been made in the 
following quench calculations.)
    (ii) Calculations for water quench must consider dilution of the NO 
span gas with water vapor and scaling of the water vapor concentration 
of the mixture to that expected during testing. Determine the mixture's 
saturated vapor pressure (designated as Pwb) that corresponds to the 
bubbler water temperature. Calculate the water concentration (``Z1'', 
percent) in the mixture by the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.014

where GP is the analyzer's standard operating pressure (pascals).

    (iii) Calculate the expected dilute NO span gas and water vapor 
mixture concentration (designated as D1) by the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.015



Sec. 90.326  Pre- and post-test analyzer calibration.

    Calibrate the range of each analyzer used during the engine exhaust 
emission test prior to and after each test in accordance with the 
following:
    (a) Make the calibration by using a zero gas and a span gas. The 
span gas value must be between 75 percent and 100 percent of full scale, 
inclusive, of the measuring range.
    (b) Use the same analyzer(s) flow rate and pressure as that used 
during exhaust emission test sampling.
    (c) Warm-up and stabilize the analyzer(s) before the calibration is 
made.
    (d) If necessary clean and/or replace filter elements before 
calibration is made.
    (e) Calibrate analyzer(s) as follows:
    (1) Zero the analyzer using the appropriate zero gas. Adjust 
analyzer zero if necessary. Zero reading should be stable.
    (2) Span the analyzer using the appropriate span gas for the range 
being calibrated. Adjust the analyzer to the calibration set point if 
necessary.
    (3) Re-check zero and span set points.
    (4) If the response of the zero gas or span gas differs more than 
one percent of full scale, then repeat paragraphs (e) (1) through (3) of 
this section.



Sec. 90.327  Sampling system requirements.

    (a) Sample component surface temperature. For sampling systems which 
use heated components, use engineering judgment to locate the coolest 
portion of each component (pump, sample line

[[Page 214]]

section, filters, and so forth) in the heated portion of the sampling 
system that has a separate source of power or heating element. Monitor 
the temperature at that location. If several components are within an 
oven, then only the surface temperature of the component with the 
largest thermal mass and the oven temperature need be measured.
    (b) If water is removed by condensation, monitor the sample gas 
temperature or sample dew point either within the water trap or 
downstream. It may not exceed 7 [deg]C.



Sec. 90.328  Measurement equipment accuracy/calibration frequency table.

    (a) The accuracy of measurements must be such that the maximum 
tolerances shown in Table 2 in Appendix A of this subpart are not 
exceeded.
    (b) All equipment and analyzers must be calibrated according to the 
frequencies shown in Table 2 in Appendix A of this subpart.
    (c) Prior to initial use and after major repairs, bench check each 
analyzer (see Sec. 90.323).
    (d) Calibrate equipment as specified in Sec. 90.306 and Sec. Sec. 
90.315 through 90.322.
    (e) At least monthly, or after any maintenance which could alter 
calibration, perform the following calibrations and checks.
    (1) Leak check the vacuum side of the system (see Sec. 90.324(a)).
    (2) Verify that the automatic data collection system (if used) meets 
the requirements found in Table 2 in Appendix A of this subpart.
    (3) Check the fuel flow measurement instrument to insure that the 
specifications in Table 2 in Appendix A of this subpart are met.
    (f) Verify that all NDIR analyzers meet the water rejection ratio 
and the CO2 rejection ratio as specified in Sec. 90.325.
    (g) Verify that the dynamometer test stand and power output 
instrumentation meet the specifications in Table 2 in Appendix A of this 
subpart.



Sec. 90.329  Catalyst thermal stress test.

    (a) Oven characteristics. The oven used for thermally stressing the 
test catalyst must be capable of maintaining a temperature of 500  5 [deg]C and 1000  10 [deg]C.
    (b) Evaluation gas composition. (1) A synthetic exhaust gas mixture 
is used for evaluating the effect of thermal stress on catalyst 
conversion efficiency.
    (2) The synthetic exhaust gas mixture must have the following 
composition:

------------------------------------------------------------------------
                                                                  Parts
                     Constituent                        Volume     per
                                                        percent  million
------------------------------------------------------------------------
Carbon Monoxide......................................       1    .......
Oxygen...............................................       1.3  .......
Carbon Dioxide.......................................       3.8  .......
Water Vapor..........................................      10    .......
Sulfer dioxide.......................................  ........       20
Oxides of nitrogen...................................  ........      280
Hydrogen.............................................  ........     3500
Hydrocarbon*.........................................  ........     4000
Nitrogen = Balance
------------------------------------------------------------------------
* Propylene/propane ratio = 2/1.

    (c) Phase 2 engines. The catalyst thermal stress test is not 
required for engine families certified to the Phase 2 standards.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15243, Mar. 30, 1999]

               Appendix A to Subpart D of Part 90--Tables

                   Table 1--Symbols Used in Subpart D
------------------------------------------------------------------------
     Symbol                         Term                        Unit
------------------------------------------------------------------------
CO                Carbon monoxide.........................
CO2               Carbon dioxide..........................
NO                Nitric oxide............................
NO2               Nitrogen dioxide........................
NOX               Oxides of nitrogen......................
O2                Oxygen..................................
conc              Concentration (ppm by volume)...........  ppm
f                 Engine specific parameter considering
                   atmospheric conditions.
FFCB              Fuel specific factor for the carbon
                   balance calculation.
FFD               Fuel specific factor for exhaust flow
                   calculation on dry basis.
FFH               Fuel specific factor representing the
                   hydrogen to carbon ratio.

[[Page 215]]

 
FFW               Fuel specific factor for exhaust flow
                   calculation on wet basis.
GAIRW             Intake air mass flow rate on wet basis..  kg/h
GAIRD             Intake air mass flow rate on dry basis..  kg/h
GEXHW             Exhaust gas mass flow rate on wet basis.  kg/h
GFuel             Fuel mass flow rate.....................  kg/h
H                 Absolute humidity (water content related  gr/kg
                   to dry air).
i                 Subscript denoting an individual mode...
KH                Humidity correction factor..............
L                 Percent torque related to maximum torque  percent
                   for the test mode.
mass              Pollutant mass flow.....................  g/h
nd, i             Engine speed (average at the i'th mode    1/min
                   during the cycle).
Ps                Dry atmospheric pressure................  kPa
Pd                Test ambient saturation vapor pressure    kPa
                   at ambient temperature.
P                 Gross power output uncorrected..........  kW
PAUX              Declared total power absorbed by          kW
                   auxiliaries fitted for the test.
PM                Maximum power measured at the test speed  kW
                   under test conditions.
Pi                Pi = PM, i + PAUX, i....................
PB                Total barometric pressure (average of     kPa
                   the pre-test and post-test values).
Ra                Relative humidity of the ambient air....  percent
T                 Absolute temperature at air inlet.......  C
Tbe               Air temperature after the charge air      C
                   cooler (if applicable) (average).
Tclout            Coolant temperature outlet (average)....  C
TDd               Absolute dew point temperature..........  C
Td, i             Torque (average at the i'th mode during   N-m
                   the cycle).
TSC               Temperature of the intercooled air......  C
Tref.             Reference temperature...................  C
VEXHD             Exhaust gas volume flow rate on dry       m3/h
                   basis.
VAIRW             Intake air volume flow rate on wet basis  m3/h
PB                Total barometric pressure...............  kPa
VEXHW             Exhaust gas volume flow rate on wet       m3/h
                   basis.
WF                Weighing factor.........................
WFE               Effective weighing factor...............
------------------------------------------------------------------------


                             Table 2--Measurement Calibration Accuracy and Frequency
----------------------------------------------------------------------------------------------------------------
                                           Permissible deviation from reading *
    No.                Item           ----------------------------------------------    Calibration frequency
                                                Non-idle                 Idle
----------------------------------------------------------------------------------------------------------------
1.........  Engine speed.............   2   Same.............  Monthly or within one month
                                        %.                                            prior to the certification
                                                                                      test.
2.........  Torque...................   2   .................  Monthly or within one month
                                        %.                                            prior to the certification
                                                                                      test.
3.........  Fuel consumption.........   2   5%.         prior to the certification
                                                                                      test.
4.........  Air consumption..........   2   5%.
5.........  Coolant temperature......   2   Same.............  As required.
                                        [deg]C.
6.........  Lubricant temperature....   2   Same.............  As required.
                                        [deg]C.
7.........  Exhaust back pressure....   5   Same.............  As required.
                                        %.
8.........  Inlet depression.........   5   Same.............  As required.
                                        %.
9.........  Exhaust gas temperature..   15  Same.............  As required.
                                        [deg]C.
10........  Air inlet temperature       2   Same.............  As required.
             (combustion air).          [deg]C.
11........  Atmospheric pressure.....       Same.............  As required.
                                        0.5 %.
12........  Humidity (combustion air)       Same.............  As required.
             (relative).                3.0 %.
13........  Fuel temperature.........   2   Same.............  As required.
                                        [deg]C.
14........  Temperature with regard     2   Same.............  As required.
             to dilution system.        [deg]C.
15........  Dilution air humidity....   3   Same.............  As required.
                                        % absolute.
16........  HC analyzer..............   2   Same.............  Monthly or within one month
                                        %**.                                          prior to the certification
                                                                                      test.
17........  CO analyzer..............   2   Same.............  Monthly or within one month
                                        % **.                                         prior to the certification
                                                                                      test.
18........  NOX analyzer.............   2   Same.............  Monthly or within one month
                                        % **.                                         prior to the certification
                                                                                      test.
19........  NOX converter check......  90 %.....................  Same.............  Monthly or within one month
                                                                                      prior to the certification
                                                                                      test.
20........  CO2 analyzer.............   2   Same.............  Monthly or within one month
                                        % **.                                         prior to the certification
                                                                                      test.
----------------------------------------------------------------------------------------------------------------
* All accuracy requirements pertain to the final recorded value which is inclusive of the data acquisition
  system.
** If reading is under 100 ppm then the accuracy shall be  2 ppm.


[[Page 216]]


                                        Table 3--Test Fuel Specifications
----------------------------------------------------------------------------------------------------------------
                Item                           Property                  Tolerances          Procedure (ASTM) 1
----------------------------------------------------------------------------------------------------------------
Sulfur, ppm max.....................  339......................  .........................  D 2622-92
Benzene, max. %.....................  1.5......................  .........................  D 3606-92
RVP, psi............................  8.7......................  0.2  D 5191-93a
Octane, R+M/2.......................  87.3.....................  0.5  D 2699-92
                                                                                            D 2700-92
IBP, [deg]C.........................  32.8.....................  11.0.
10 % point, [deg]C..................  53.3.....................  5.5  D 86-93
50 % point, [deg]C..................  103.3....................  5.5  D 86-93
90 % point, [deg]C..................  165.6....................  5.5  D 86-93
End Point, max. [deg]C..............  212.8....................  .........................  D 86-93
Phosphorus, g/liter, max............  0.02.....................  .........................  D 3231-89
Lead, g/liter, max..................  0.02.....................  .........................  ....................
Manganese, g/liter, max.............  0.004....................  .........................  ....................
Aromatics, %........................  32.0.....................  4.0  D 1319-89
Olefins, %..........................  9.2......................  4.0  D 1319-89
Saturates, %........................  Remainder................  .........................  D 1319-89
----------------------------------------------------------------------------------------------------------------
1 All ASTM procedures in this table have been incorporated by reference. See Sec. 90.7.


[[Page 217]]

               Appendix B to Subpart D of Part 90--Figures
[GRAPHIC] [TIFF OMITTED] TC01MR92.085


[[Page 218]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.086


[[Page 219]]





                Subpart E_Gaseous Exhaust Test Procedures



Sec. 90.401  Applicability.

    (a) This subpart describes the procedures to follow in order to 
perform exhaust emission tests on new nonroad spark-ignition engines and 
vehicles subject to the provisions of subpart A of part 90. Provisions 
specific to raw gas sampling are in Sec. 90.414 through Sec. 90.419, 
provisions specific to constant volume sampling are in Sec. 90.420 
through Sec. 90.426. All other sections in this subpart apply to both 
raw gas sampling and constant volume sampling except where indicated 
otherwise.
    (b) Requirements for emission test equipment and calibrating this 
equipment are found in subpart D of this part.
    (c) Certain text in this subpart is identified as pertaining to 
Phase 1 or Phase 2 engines. Such text pertains only to engines of the 
specified Phase. If no indication of Phase is given, the text pertains 
to all engines, regardless of Phase.
    (d) For Phase 2 Class I, Phase 2 Class I-B, and Phase 2 Class II 
natural gas fueled engines, the following sections from 40 CFR Part 86 
are applicable to this subpart. The requirements of the following 
sections from 40 CFR Part 86 which pertain specifically to the 
measurement and calculation of non-methane hydrocarbon (NMHC) exhaust 
emissions from otto cycle heavy-duty engines must be followed when 
determining the NMHC exhaust emissions from Phase 2 Class I, Phase 2 
Class I-B, and Phase 2 Class II natural gas fueled engines. Those 
sections are: 40 CFR 86.1327-94 Engine dynamometer test procedures, 
overview, 40 CFR 86.1340-94 Exhaust sample analysis, 40 CFR 86.1342-94 
Calculations; exhaust emissions, 40 CFR 86.1344-94(d) Required 
information--Pre-test data, and 40 CFR 86.1344-94(e) Required 
information--Test data.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15244, Mar. 30, 1999; 65 
FR 24312, Apr. 25, 2000]



Sec. 90.402  Definitions.

    The definitions in Sec. 90.3, Sec. 90.101, and Sec. 90.302 apply 
to this subpart.



Sec. 90.403  Symbols, acronyms, and abbreviations.

    (a) The acronyms and abbreviations in Sec. 90.5 apply to this 
subpart.
    (b) The symbols in Table 1 in Appendix A to Subpart D apply to this 
subpart.



Sec. 90.404  Test procedure overview.

    (a) The test consists of prescribed sequences of engine operating 
conditions to be conducted on an engine dynamometer or equivalent load 
and speed measurement device. The exhaust gases generated during engine 
operation are sampled either raw or dilute and specific components are 
analyzed through the analytical system.
    (b) The test is designed to determine the brake-specific emissions 
of hydrocarbons, carbon monoxide, carbon dioxide, and oxides of nitrogen 
and fuel consumption. For Phase 2 Class I-B, Class I, and Class II 
natural gas fueled engines the test is also designed to determine the 
brake-specific emissions of non-methane hydrocarbons. The test consists 
of three different test cycles which are application specific for 
engines which span the typical operating range of nonroad spark-ignition 
engines. Two cycles exist for Class I-B, I and II engines and one is for 
Class I-A, III, IV, and V engines (see Sec. 90.103(a) and Sec. 
90.116(b) for the definitions of Class I-A, I-B, and I--V engines). The 
test cycles for Class I-B, I, and II engines consist of one idle mode 
and five power modes at one speed (rated or intermediate). The test 
cycle for Class I-A, III, IV, and V engines consists of one idle mode at 
idle speed and one power mode at rated speed. These procedures require 
the determination of the concentration of each pollutant, fuel flow, and 
the power output during each mode. The measured values are weighted and 
used to calculate the grams of each pollutant emitted per brake kilowatt 
hour (g/kW-hr).
    (c)(1) When an engine is tested for exhaust emissions the complete 
engine must be tested, with all emission control devices installed and 
functioning.
    (2) On air cooled engines, the cooling fan must be installed. For 
engines whose cooling fan serves a dual purpose, such as an air pump/
blower, an external fan may be used to provide the

[[Page 220]]

engine with cooling air and the original cooling fan may be removed.
    (d) All emission control systems installed on or incorporated in the 
application must be functioning during all procedures in this subpart. 
In case of component malfunction or failure, no maintenance is allowed 
without prior approval from the Administrator, in accordance with Sec. 
90.119.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15244, Mar. 30, 1999; 65 
FR 24312, Apr. 25, 2000]



Sec. 90.405  Recorded information.

    (a) Record the information described in this section for each test, 
where applicable.
    (b) Test data; general. (1) Engine identification number.
    (2) Engine emission control system.
    (3) Test operator(s).
    (4) Number of hours of operation accumulated on the engine prior to 
beginning the warm-up portion of the test (to the nearest tenth hour).
    (5) Fuel identification.
    (6) For 2-stroke engines, fuel/oil mixture ratio.
    (7) Date of most recent analyzer bench calibration.
    (8) All pertinent instrument information such as tuning, gain, 
serial numbers, detector number, and calibration curve(s). As long as 
this information is traceable, it may be summarized by system number or 
analyzer identification numbers.
    (c) Test data; pre-test. (1) Date and time of day.
    (2) Test number.
    (3) Barometric pressure; as an option, barometric pressure can be 
measured as a modal measurement instead of or in addition to a pre- and 
post-test measurement.
    (4) Recorder chart or equivalent. Identify for each test segment 
zero traces for each range used, and span traces for each range used.
    (d) Test data; modal. (1) Recorder chart or equivalent. Identify for 
each test mode the emission concentration traces and the associated 
analyzer range(s).
    (2) Observed engine torque.
    (3) Observed engine rpm.
    (4) Intake air flow if applicable.
    (5) Test cell temperature and humidity for each mode.
    (6) For raw gas testing; fuel flow for each mode. Fuel flow 
measurement is not required for dilute testing, but is allowed. If the 
fuel flow measurement is a volume measurement system, record the fuel 
temperature in the measurement system for fuel density corrections to 
the mass flow rate. If the fuel temperature is within 3 [deg]C of the 
calibration temperature, no density correction is required.
    (7) Engine intake temperature and humidity, if applicable.
    (8) Exhaust mixing chamber surface temperature, if applicable.
    (9) Exhaust sample line temperature, if applicable.
    (10) Engine fuel inlet pressure.
    (e) Test data; post-test. (1) Recorder chart or equivalent. Identify 
the hang-up check.
    (2) Recorder chart or equivalent. Identify the zero traces for each 
range used and the span traces for each range used.
    (3) Total number of hours of operation accumulated on the engine (to 
the nearest tenth hour).
    (4) Barometric pressure, post-test segment.



Sec. 90.406  Engine parameters to be measured and recorded.

    Measure or calculate, then record the engine parameters in Table 1 
in Appendix A of this subpart.



Sec. 90.407  Engine inlet and exhaust systems.

    (a) The engine manufacturer is liable for exhaust emission 
compliance over the full range of air inlet filter systems and exhaust 
muffler systems.
    (b) The air inlet filter system and exhaust muffler system 
combination used on the test engine must be the systems expected to 
yield the highest emission levels.



Sec. 90.408  Pre-test procedures.

    (a) Engine service accumulation and stabilization procedure. Use the 
service accumulation procedure determined by the manufacturer for 
exhaust emission stabilizing of an engine, consistent with good 
engineering practice (see Sec. 90.118).

[[Page 221]]

    (1) The manufacturer determines, for each engine family, the number 
of hours at which the engine exhaust emission control system combination 
is stabilized for emission testing. However, this stabilization 
procedure may not exceed 12 hours. The manufacturer must maintain, and 
provide to the Administrator upon request, a record of the rationale 
used in making this determination. If the manufactuer can document that 
at some time prior to the full 12 hour service accumulation period the 
engine emissions are decreasing for the remainder of the 12 hours, the 
service accumulation may be completed at that time. The manufacturer may 
elect to accumulate 12 hours on each test engine within an engine family 
without making this determination.
    (2) During service accumulation, the fuel and lubricants specified 
in Sec. 90.308 must be used.
    (3) Engine maintenance during service accumulation is allowed only 
in accordance with Sec. 90.118.
    (b) Engine pre-test preparation. (1) Drain and charge the fuel 
tank(s) with the specified test fuel (see Sec. 90.308(b)) to 50 percent 
of the tank's nominal capacity. If an external fuel tank is used, the 
engine fuel inlet system pressure must be typical of what the engine 
will see in use.
    (2)(i) Operate the engine on the dynamometer measuring the fuel 
consumption (fuel consumption required only for raw gas sampling method) 
and torque before and after the emission sampling equipment is 
installed, including the sample probe, using the modes specified in the 
following table.

------------------------------------------------------------------------
                                                              Operating
             Engine class                    Test cycle          mode
------------------------------------------------------------------------
(A) I, I-B, II........................  A                              6
(B) I, I-B, II........................  B                              1
(C) I-A, III, IV, V...................  C                              1
------------------------------------------------------------------------

    (ii) These modes are from Table 2 in Appendix A of this subpart. The 
emission sampling equipment may not significantly affect the operational 
characteristics of the engine (typically the results should agree within 
five percent).
    (c) Analyzer pre-test procedures. (1) If necessary, warm up and 
stabilize the analyzer(s) before calibrations are performed.
    (2) Replace or clean the filter elements and then leak check the 
system as required by Sec. 90.324(a). If necessary, allow the heated 
sample line, filters, and pumps to reach operating temperature.
    (3) Perform the following system checks:
    (i) If necessary, check the sample-line temperature. Heated FID 
sample line temperature must be maintained between 110 [deg]C and 230 
[deg]C; a heated NOX sample line temperature must be 
maintained between 60 [deg]C and 230 [deg]C.
    (ii) Check that the system response time has been accounted for 
prior to sample collection data recording.
    (iii) A HC hang-up check is permitted (see Sec. 90.413(e)).
    (4) Check analyzer zero and span before and after each test at a 
minimum. Further, check analyzer zero and span any time a range change 
is made or at the maximum demonstrated time span for stability for each 
analyzer used.
    (d) Check system flow rates and pressures and reset, if necessary.

[60 FR 34598, July 3, 1995, as amended at 65 FR 24312, Apr. 25, 2000]



Sec. 90.409  Engine dynamometer test run.

    (a) Engine and dynamometer start-up. (1) Only adjustments in 
accordance with Sec. 90.119 may be made to the test engine prior to 
starting a test.
    (2) If necessary, warm up the dynamometer as recommended by the 
dynamometer manufacturer or use good engineering practice.
    (3) For Phase 1 engines, at the manufacturer's option, the engine 
can be run with the throttle in a fixed position or by using the 
engine's governor (if the engine is manufactured with a governor). In 
either case, the engine speed and load must meet the requirements 
specified in paragraph (b)(12) of this section. For Phase 2 Class I, 
Phase 2 Class I-B, and Phase 2 Class II engines equipped with an engine 
speed governor, the governor must be used to control engine speed during 
all test cycle modes except for Mode 1 or Mode 6, and no external 
throttle control may

[[Page 222]]

be used that interferes with the function of the engine's governor; a 
controller may be used to adjust the governor setting for the desired 
engine speed in Modes 2-5 or Modes 7-10; and during Mode 1 or Mode 6 
fixed throttle operation may be used to determine the 100 percent torque 
value.
    (b) Each test consists of the following steps.
    (1) Record the general test data as specified in Sec. 90.405(b).
    (2) Precondition the engine in the following manner;
    (i) Operate the engine at a power greater than or equal to 50 
percent maximum power at the appropriate speed (rated or intermediate) 
for 20 minutes;
    (ii) Option. If the engine has been operating on service 
accumulation for a minimum of 40 minutes, the service accumulation may 
be substituted for step (i).
    (3) Record all pre-test data specified in Sec. 90.405(c).
    (4) Start the test cycle (see Sec. 90.410) within five minutes of 
the completion of the steps required by paragraph (b)(2) of this 
section.
    (5) Modes are to be performed in the numerical order specified for 
the appropriate test cycle (see ``Mode Points'' Table 2 in Appendix A of 
this subpart).
    (6) For Class I, I-B, and II engines, during the maximum torque mode 
calculate the torque corresponding to 75, 50, 25, and 10 percent of the 
maximum observed torque (see Table 2 in Appendix A to this subpart).
    (7) Once engine speed and load are set for a mode, run the engine 
for a sufficient period of time to achieve thermal stability. At the 
manufacturer's option, determine and document the appropriate criterion 
for thermal stability for each engine family. If the manufacture chooses 
not to make this determination, an acceptable alternative is to run the 
engine at each mode until the cylinder head temperature remains within a 
10 [deg]C bandwidth for three minutes. Cylinder head temperature may be 
measured at the base of the spark plug. After stability is achieved, 
emission measurements are initiated.
    (8) Record all modal data specified in Sec. 90.405(d) for a minimum 
time period of the last two minutes of each mode. Longer averaging 
periods are acceptable, but the data averaged must be from a continuous 
time period. The duration of time during which this data is recorded is 
referred to as the ``sampling period.'' The data collected during the 
sampling period is used for modal emission calculations.
    (9) Continuously record the analyzer's response to the exhaust gas 
during each mode.
    (10) Modes may be repeated.
    (11) If a delay of more than one hour occurs between the end of one 
mode and the beginning of another mode, the test is void and must be 
restarted at paragraph (b)(1) of this section.
    (12) The engine speed and load must be maintained within the 
requirements of Sec. 90.410 during the sampling period of each mode. If 
this requirement is not met, the mode is void and must be restarted.
    (13) If at any time during a mode the test equipment malfunctions or 
the specifications in Sec. 90.410 can not be met, the test is void and 
must be aborted. Corrective action should be taken and the test 
restarted.
    (14) If at any time during an operating mode the engine stalls, 
restart the engine immediately and continue the test starting with the 
steps required by paragraph (b)(6) of this section. If the engine will 
not restart within five minutes the test is void. If maintenance is 
required on the engine, advance approval from the Administrator is 
required as specified in Sec. 90.119. After corrective action is taken, 
the engine may be rescheduled for testing. Report the reason for the 
malfunction (if determined) and the corrective action taken.
    (15) Fuel flow and air flow during the idle condition may be 
determined just prior to or immediately following the dynamometer 
sequence, if longer times are required for accurate measurements. If the 
dilute sampling method (Constant Volume Sampling) is used, neither fuel 
flow nor air flow measurements are required.
    (c) Exhaust gas measurements. (1) Measure HC, CO, CO2, 
and NOX concentration in the exhaust sample.
    (2) Each analyzer range that may be used during a test mode must 
have the

[[Page 223]]

zero and span responses recorded prior to the start of the test. Only 
the range(s) used to measure the emissions during the test is required 
to have its zero and span recorded after the completion of the test. 
Depending on the stability of each individual analyzer, more frequent 
zero checks or spans between modes may be necessary.
    (3) It is permitted to change filter elements between modes.
    (4) A leak check is permitted between modes.
    (5) A hang-up check is permitted between modes (see Sec. 90.413).
    (6) If, during the emission measurement portion of a mode, the value 
of the gauges downstream of the NDIR analyzer(s) G3 or G4 (see Figure 2 
in Appendix B of Subpart D), differs by more than 0.5kPa from the pretest value, the test mode is void.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15244, Mar. 30, 1999; 65 
FR 24313, Apr. 25, 2000]



Sec. 90.410  Engine test cycle.

    (a) Follow the appropriate 6-mode test cycle for Class I, I-B and II 
engines and 2-mode test cycle for Class I-A, III, IV, and V engines when 
testing spark-ignition engines (see Table 2 in Appendix A of this 
subpart).
    (b) For Phase 1 engines and Phase 2 Class I-A, III, IV, and V, and 
Phase 2 Class I and II engines not equipped with an engine speed 
governor, during each non-idle mode, hold both the specified speed and 
load within  five percent of point. During the 
idle mode, hold speed within  ten percent of the 
manufacturer's specified idle engine speed. For Phase 2 Class I, I-B, 
and II engines equipped with an engine speed governor, during Mode 1 or 
Mode 6 hold both the specified speed and load within  five percent of point, during Modes 2-3, or Modes 7-8 
hold the specified load with  five percent of 
point, during Modes 4-5 or Modes 9-10, hold the specified load within 
the larger range provided by 0.27 Nm (0.2 lb-ft), or ten (10) percent of 
point, and during the idle mode hold the specified speed within  ten percent of the manufacturer's specified idle engine 
speed (see Table 1 in Appendix A of this subpart for a description of 
test Modes). The use of alternative test procedures is allowed if 
approved in advance by the Administrator.
    (c) If the operating conditions specified in paragraph (b) of this 
section for Class I, I-B, and II engines using Mode Points 2, 3, 4, and 
5 cannot be maintained, the Administrator may authorize deviations from 
the specified load conditions. Such deviations may not exceed 10 percent 
of the maximum torque at the test speed. The minimum deviations, above 
and below the specified load, necessary for stable operation shall be 
determined by the manufacturer and approved by the Administrator prior 
to the test run.
    (d) Do not include power generated during the idle mode, Mode 11, in 
the calculation of emission results.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15244, Mar. 30, 1999; 65 
FR 24313, Apr. 25, 2000]



Sec. 90.411  Post-test analyzer procedures.

    (a) Perform a HC hang-up check within 60 seconds of the completion 
of the last mode in the test. Use the following procedure:
    (1) Introduce a zero gas or room air into the sample probe or valve 
V2 (see Figure 2 in Appendix B of Subpart D) to check the ``hangup 
zero'' response. Simultaneously start a time measurement.
    (2) Select the lowest HC range used during the test.
    (3) Within four minutes of beginning the time measurement in 
paragraph (a)(1) of this section, the difference between the zero gas 
response and the hang-up zero response may not be greater than 5.0 
percent of full scale or 10 ppmC, whichever is greater.
    (b) Begin the analyzer span checks within six minutes after the 
completion of the last mode in the test. Record for each analyzer the 
zero and span response for each range used during the preceding test or 
test segment.
    (c) If during the test, the filter element(s) were replaced or 
cleaned, a vacuum check must be performed per Sec. 90.324(a) 
immediately after the span checks. If the vacuum side leak check does 
not meet the requirements of Sec. 90.324(a), the test is void.
    (d) Read and record the post-test data specified in Sec. 90.405(e).

[[Page 224]]

    (e) For a valid test, the analyzer drift between the before-segment 
and after-segment span checks for each analyzer must meet the following 
requirements:
    (1) The span drift (defined as the change in the difference between 
the zero response and the span response) may not exceed two percent of 
full-scale chart deflection for each range used.
    (2) The zero response drift may not exceed two percent of full-scale 
chart deflection for each range used above 155 ppm (or ppm C), or three 
percent of full-scale chart deflection for each range below 155 ppm (or 
ppm C).



Sec. 90.412  Data logging.

    (a) A computer or any other automatic data collection (ADC) 
device(s) may be used as long as the system meets the requirements of 
this subpart.
    (b) Determine from the data collection records the analyzer 
responses corresponding to the end of each mode.
    (c) Record data at a minimum of rate of one Hz (one time per 
second).
    (d) Determine the final value for power by averaging the 
individually calculated power points for each value of speed and torque 
recorded during the sampling period. As an alternative, the final value 
for power can be calculated from the average values for speed and 
torque, collected during the sampling period.
    (e) Determine the final value for CO2, CO, HC, and 
NOX concentrations by averaging the concentration of each 
point taken during the sample period for each mode.



Sec. 90.413  Exhaust sample procedure--gaseous components.

    (a) Automatic data collection equipment requirements. The analyzer 
response may be read by automatic data collection (ADC) equipment such 
as computers, data loggers, and so forth. If ADC equipment is used, the 
following is required:
    (1) For dilute grab (``bag'') sample analysis, the analyzer response 
must be stable at greater than 99 percent of the final reading for the 
dilute exhaust sample. The ADC must store a single value representing 
the average chart deflection over a 10-second stabilized period. 
Alternatively, the ADC may store the individual instantaneous chart 
deflections collected over a 10-second stabilized period.
    (2) For continuous analysis systems, the ADC must store a single 
value representing the average integrated concentration over a 
measurement period. Alternatively, the ADC may store the individual 
instantaneous values collected during the measurement period.
    (3) The chart deflections or average integrated concentrations 
required in paragraphs (a)(1) and (a)(2) of this section may be stored 
on long-term computer storage devices such as computer tapes, storage 
discs, punch cards, or they may be printed in a listing for storage. In 
either case a chart recorder is not required and records from a chart 
recorder, if they exist, need not be stored.
    (4) If ADC equipment is used to interpret analyzer values, the ADC 
equipment is subject to the calibration specifications of the analyzer 
as if the ADC equipment is part of analyzer system.
    (b) Data records from any one or a combination of analyzers may be 
stored as chart recorder records.
    (c) Grab sample analysis. For dilute grab sample analysis perform 
the following procedure:
    (1) Calibrate analyzers using the procedure described in Sec. 
90.326.
    (2) Record the most recent zero and span response as the pre-
analysis values.
    (3) Measure and record HC, CO, CO2, and NOX 
concentrations in the exhaust sample bag(s) and background sample bag(s) 
using the same flow rates and pressures.
    (4) Good engineering practice dictates that exhaust emission sample 
bag analyzer readings below 15 percent of full scale should generally 
not be used.
    (5) A post-analysis zero and span calibration check of each range 
must be performed and the values recorded. The number of events that may 
occur between the pre- and post-checks is not specified. However, the 
difference between pre-analysis zero and span values (recorded in 
paragraph (c)(2) or (c)(3) of this section) versus those recorded for 
the post-analysis check may not exceed the zero drift limit or the span 
drift limit of two percent of full-

[[Page 225]]

scale chart deflection for any range used. Otherwise the analysis is 
void.
    (d) Continuous sample analysis. For continuous sample analysis 
perform the following procedure:
    (1) Calibrate analyzers using the procedure described in Sec. 
90.326.
    (2) Leak check portions of the sampling system that operate at 
negative gauge pressures when sampling and allow heated sample lines, 
filters, pumps, and so forth to stabilize at operating temperature.
    (3) Option: Determine the HC hang-up for the FID or HFID sampling 
system:
    (i) Zero the analyzer using zero gas introduced at the analyzer 
port.
    (ii) Flow zero gas through the overflow sampling system. Check the 
analyzer response.
    (iii) If the overflow zero response exceeds the analyzer zero 
response by two percent or more of the FID or HFID full-scale 
deflection, hang-up is indicated and corrective action must be taken 
(see paragraph (e) of this section).
    (iv) The complete system hang-up check specified in paragraph (e) of 
this section is recommended as a periodic check.
    (4) If necessary, recalibrate analyzer using the procedure specified 
in paragraph (d)(1) of this section.
    (5) Good engineering practice dictates that analyzers used for 
continuous analysis should be operated such that the measured 
concentration falls between 15 percent and 100 percent of full scale.
    (6) Record the most recent zero and span response as the pre-
analysis values.
    (7) Collect background HC, CO, CO2, and NOX in 
a sample bag (for dilute exhaust sampling only, see Sec. 90.422).
    (8) Perform a post-analysis zero and span check for each range used 
at the conditions specified in paragraph (d)(1) of this section. Record 
these responses as the post-analysis values.
    (9) Neither the zero drift nor the span drift between the pre-
analysis and post-analysis checks on any range used may exceed three 
percent for HC, or two percent for NOX. CO, and 
CO2, of full-scale chart deflection, or the test is void. (If 
the HC drift is greater than three percent of full-scale chart 
deflection, HC hang-up is likely.)
    (10) Determine background levels of HC, NOX. CO, or 
CO2 (for dilute exhaust sampling only) by the grab (``bag'') 
technique outlined in paragraph (c) of this section.
    (e) Hydrocarbon hang-up. If HC hang-up is indicated, the following 
procedure may be performed:
    (1) Fill a clean, evacuated sample bag with background air.
    (2) Zero and span the HFID at the analyzer ports.
    (3) Analyze the background air sample bag through the analyzer 
ports.
    (4) Analyze the background air through the entire sample probe 
system.
    (5) If the difference between the readings obtained is two ppm or 
more, clean the sample probe and the sample line.
    (6) Reassemble the sample system, heat to specified temperature, and 
repeat the procedure in paragraphs (e)(1) through (e)(5) of this 
section.



Sec. 90.414  Raw gaseous exhaust sampling and analytical system 
description.

    (a) Schematic drawing. An example of a sampling and analytical 
system which may be used for testing under this subpart is shown in 
Figure 2 in Appendix B of Subpart D. All components or parts of 
components that are wetted by the sample or corrosive calibration gases 
must be either chemically cleaned stainless steel or inert material 
(e.g., polytetrafluoroethylene resin). The use of ``gauge savers'' or 
``protectors'' with nonreactive diaphragms to reduce dead volumes is 
permitted.
    (b) Sample probe. (1) The sample probe must be a straight, closed 
end, stainless steel, multi-hole probe. The inside diameter may not be 
greater than the inside diameter of the sample line +0.03 cm. The wall 
thickness of the probe may not be greater than 0.10 cm. The fitting that 
attaches the probe to the exhaust pipe must be as small as practical in 
order to minimize heat loss from the probe.
    (2) The probe must have a minimum of three holes. The spacing of the 
radial planes for each hole in the probe

[[Page 226]]

must be such that they cover approximately equal cross-sectional areas 
of the exhaust duct. See Figure 2 in Appendix B of Subpart D. The 
angular spacing of the holes must be approximately equal. The angular 
spacing of any two holes in one plane may not be 180[deg]  20[deg] (i.e., section view C-C of Figure 2 in Appendix 
B of Subpart D). The holes should be sized such that each has 
approximately the same flow. If only three holes are used, they may not 
all be in the same radial plane.
    (3) The exhaust gas probe must be located in a position which yields 
a well mixed, homogenous sample of the engine exhaust. The probe must 
extend radially across the exhaust gas stream. The probe must pass 
through the approximate center and must extend across at least 80 
percent of the exhaust gas stream. The exact position of the probe may 
vary from engine family to engine family.
    (c) Mixing chamber. The exhaust mixing chamber is located in the 
exhaust system between the muffler and the sample probe. The mixing 
chamber is an optional component of the raw gas sampling equipment.
    (1) The internal volume of the mixing chamber may not be less than 
ten times the cylinder displacement of the engine under test. The shape 
of the mixing chamber must be such that it provides a well mixed, 
homogenous sample at the sample probe location.
    (2) Couple the mixing chamber as closely as possible to the engine 
muffler.
    (3) Maintain the inner surface of the mixing chamber at a minimum 
temperature of 179 [deg]C.
    (4) Thermocouple temperature monitoring of the mixing chamber inner 
surface is required to assure wall temperatures specified in paragraph 
(c)(3) of this section. The temperature measurement must be accurate to 
within  5 [deg]C.
    (5) The sample probe must extend radially across the exit of the 
mixing chamber. The probe must pass through the approximate center and 
must extend across at least 80 percent of the diameter of the exit. The 
exact position of the probe may vary from engine family to engine 
family. The probe must be located in a position which yields a well 
mixed, homogenous sample of the exhaust.
    (d) Sample transfer line. (1) The maximum inside diameter of the 
sample line may not exceed 1.32 cm.
    (2) If valve V2 in Figure 1 of Appendix B of this subpart is used, 
the sample probe must connect directly to valve V2. The location of 
optional valve V2 in Figure 1 of Appendix B of Subpart D may not be 
greater than 1.22 m from the exhaust duct.
    (3) The location of optional valve V16, Figure 1 of Appendix B of 
this subpart, may not be greater than 61 cm from the sample pump. The 
leakage rate for this section on the pressure side of the sample pump 
may not exceed the leakage rate specification for the vacuum side of the 
pump.
    (e) Venting. All vents, including analyzer vents, bypass flow, and 
pressure relief vents, of regulators should be vented in such a manner 
as to avoid endangering personnel in the immediate area.
    (f) Any variation from the specifications in this subpart, including 
performance specifications and emission detection methods, may be used 
only with prior approval by the Administrator.
    (g) Additional components, such as instruments, valves, solenoids, 
pumps, switches, and so forth, may be employed to provide additional 
information and coordinate the functions of the component systems.
    (h) The following requirements must be incorporated in each system 
used for raw testing under this subpart.
    (1) Take the sample for all components with one sample probe and 
split it internally to the different analyzers.
    (2) Heat the sample transport system from the engine exhaust pipe to 
the HC analyzer for the raw gas sampling method as indicated in Figure 1 
in Appendix B of this subpart. The NOX analyzer for the raw 
gas sampling method may be heated as indicated in Figure 1 in Appendix B 
of this subpart. The HC analyzer and the NOX analyzer for the 
dilute sampling method may be heated as indicated in Figure 1 in 
Appendix B of this subpart.

[[Page 227]]



Sec. 90.415  Raw gaseous sampling procedures.

    Fit all heated sampling lines with a heated filter to extract solid 
particles from the flow of gas required for analysis. The sample line 
for HC measurement must be heated. The sample line for CO, 
CO2 and NOX analysis may be heated or unheated.



Sec. 90.416  Intake air flow measurement specifications.

    (a) If used, the engine intake air flow measurement method used must 
have a range large enough to accurately measure the air flow over the 
engine operating range during the test. Overall measurement accuracy 
must be two percent of full-scale value of the measurement device for 
all modes except the idle mode. For the idle mode, the measurement 
accuracy must be five percent or less of the full-
scale value. The Administrator must be advised of the method used prior 
to testing.
    (b) When an engine system incorporates devices that affect the air 
flow measurement (such as air bleeds, air injection, pulsed air, and so 
forth) resulting in understated exhaust emission results, make 
corrections to the exhaust emission results to account for such effects.



Sec. 90.417  Fuel flow measurement specifications.

    (a) Fuel flow measurement is required only for raw testing. Fuel 
flow is allowed for dilute testing. If the measured fuel flow is used in 
the dilute calculations for brake-specific fuel consumption (see Sec. 
90.426(e)), the fuel flow instrument must meet the requirements of this 
section.
    (b) The fuel flow measurement instrument must have a minimum 
accuracy of one percent of full-scale flow rate for each measurement 
range used. An exception is allowed for the idle mode. For this mode, 
the minimum accuracy is  five percent of full-
scale flow rate for the measurement range used. The controlling 
parameters are the elapsed time measurement of the event and the weight 
or volume measurement.



Sec. 90.418  Data evaluation for gaseous emissions.

    For the evaluation of the gaseous emissions recording, record the 
last four minutes of each mode and determine the average values for HC, 
CO, CO2 and NOX during each mode from the average 
concentration readings determined from the corresponding calibration 
data. Longer averaging times are acceptable, but the sampling period 
which is reported must be a continuous set of data.



Sec. 90.419  Raw emission sampling calculations--gasoline fueled engines.

    (a) Derive the final weighted brake-specific mass emission rates (g/
kW-hr) through the steps described in this section.
    (b) Air and fuel flow method. If both air and fuel flow mass rates 
are measured, use the following equations to determine the weighted 
emission values for the test engine:
[GRAPHIC] [TIFF OMITTED] TR03JY95.016

Where:

WHC = Mass rate of HC in exhaust [g/hr],

[[Page 228]]

GAIRD = Intake air mass flow rate on dry basis [g/hr],
GFUEL = Fuel mass flow rate [g/hr],
MHCexh = Molecular weight of hydrocarbons in the exhaust, see 
the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.017

Where:

[alpha] = Hydrogen/carbon atomic ratio of the fuel
[beta] = Oxygen/carbon atomic ratio of the fuel
Mexh = Molecular weight of the total exhaust, see the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.018

Where:

WHC = HC volume concentration in exhaust, ppmC wet
WCO = CO percent concentration in the exhaust, wet
DCO = CO percent concentration in the exhaust, dry
WCO2 = CO2 percent concentration in the exhaust, 
wet
DCO2 = CO2 percent concentration in the exhaust, 
dry
WNOX = NO volume concentration in exhaust, ppm wet
WO2 = O2 percent concentration in the exhaust, wet
WH2 = H2 percent concentration in exhaust, wet
K = correction factor to be used when converting dry measurements to a 
wet basis. Therefore, wet concentration=dry concentration x K,
where K is:
[GRAPHIC] [TIFF OMITTED] TR03JY95.019

DH2 = H2 percent concentration in exhaust, dry, 
calculated from the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.020

Wco = Mass rate of CO in exhaust, [g/hr]
Mco = Molecular weight of CO=28.01
WNOx = Mass rate of NOX in exhaust, [g/hr]
MNO2 = Molecular weight of NO2=46.01
KH = Factor for correcting the effects of humidity on 
NO2 formation for 4-stroke gasoline small engines, see the 
equation below:
[GRAPHIC] [TIFF OMITTED] TR03JY95.021

Where:
H = absolute humidity of the intake air in grams of moisture per 
kilogram of dry air, see Sec. 90.426(f) for a method by which H can be 
calculated.

    For two-stroke gasoline engines, KH should be set to 1.
    (c) Fuel flow method. The following equations are to be used when 
fuel flow is selected as the basis for mass emission calculations using 
the raw gas method.

[[Page 229]]

[GRAPHIC] [TIFF OMITTED] TR03JY95.022

Where:
WHC = Mass rate of HC in exhaust, [g/hr]
MHCexh = Molecular weight of hydrocarbons in the exhaust, see 
following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.023

MC = Molecular weight of carbon=12.01 [g/mole]
MH = Molecular weight of hydrogen=1.008 [g/mole]
MO = Molecular weight of oxygen=16.00 [g/mole]
[alpha] = Hydrogen to carbon ratio of the test fuel
[beta] = Oxygen to carbon ratio of the test fuel
MF = Molecular weight of test fuel
GFUEL = Fuel mass flow rate, [g/hr]
TC=Total carbon in exhaust, see following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.024

WCO = CO percent concentration in the exhaust, wet
WCO2 = CO2 percent concentration in the exhaust, 
wet
DCO = CO percent concentration in the exhaust, dry
DCO2 = CO2 percent concentration in the exhaust, 
dry
WHC = HC volume concentration in exhaust, ppmC wet
WNOX = NOX volume concentration in exhaust, ppm 
wet
K = correction factor to be used when converting dry measurements to a 
wet basis. Therefore, wet concentration=dry concentrationxK, where K is:
[GRAPHIC] [TIFF OMITTED] TR03JY95.025

DH2 = H2 percent concentration in exhaust, dry, 
calculated from the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.026

WCO = Mass rate of CO in exhaust, [g/hr]
MCO = Molecular weight of CO = 28.01
WNOX = Mass rate of NOX in exhaust, [g/hr]
MNO2 = Molecular weight of NO2=46.01
KH = Factor for correcting the effects of humidity on 
NO2 formation for 4-stroke gasoline small engines, see the 
following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.027

Where:

H = specific humidity of the intake air in grams of moisture per 
kilogram of dry air.
For two-stroke gasoline engines, KH should be set to 1.

    (d) Calculate the final weighted brake-specific emission rate for 
each individual gas component using the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.028

Where:
AWM = Final weighted brake-specific mass emission rate (HC, 
CO, NOX) [g/kW-hr]
Wi = Mass emission rate during mode i [g/hr]
WFi = Weighting factors for each mode according to Sec. 
90.410(a)
Pi = Gross average power generated during mode i [kW], 
calculated from the following equation,
[GRAPHIC] [TIFF OMITTED] TR03JY95.029

Where:

speed = average engine speed measured during mode i [rev./minute]
torque = average engine torque measured during mode i [N-m] (e) Compute 
the final

[[Page 230]]

reported brake-specific fuel consumption (BSFC) by use of the following 
formula:
[GRAPHIC] [TIFF OMITTED] TR03JY95.030

Where:
BSFC = brake-specific fuel consumption in grams of fuel per kilowatt-
hour (g/kW-hr).
GFUELi = Fuel mass flow rate of the engine during mode i [g/
hr]
WFi = Weighting factors for each mode according to Sec. 
90.410(a)
Pi = Gross average power generated during mode i [kW].



Sec. 90.420  CVS concept of exhaust gas sampling system.

    (a) A dilute exhaust sampling system is designed to directly measure 
the true mass of emissions in engine exhaust without the necessity of 
measuring either fuel flow or intake air flow. This is accomplished by 
diluting the exhaust produced by a test engine with ambient background 
air and measuring the total diluted exhaust flow rate and the 
concentration of emissions within the dilute flow. Total mass flow of an 
emission is then easily calculated.
    (b) A constant volume sampler (CVS) is typically used to control the 
total amount of dilute flow through the system. As the name implies, a 
CVS restricts flow to a known value dependent only on the dilute exhaust 
temperature and pressure.
    (c) For the testing described in this subpart, a CVS must consist 
of: a mixing tunnel into which the engine exhaust and dilutant 
(background) air are dumped; a dilute exhaust flow metering system; a 
dilute exhaust sample port; a background sample port; a dilute exhaust 
sampling system; and a background sampling system.
    (1) Mixing tunnel. The mixing tunnel must be constructed such that 
complete mixing of the engine exhaust and background air is assured 
prior to the sampling probe.
    (2) Exhaust flow metering system. A dilute exhaust flow metering 
system must be used to control the total flow rate of the dilute engine 
exhaust as described in Sec. 90.421.
    (3) Exhaust sample port. A dilute exhaust sample port must be 
located in or downstream of the mixing tunnel at a point where complete 
mixing of the engine exhaust and background air is assured.
    (4) Background sample port. A dilute exhaust sample port must be 
located in the stream of background air before it is mixed with the 
engine exhaust. The background probe must draw a representative sample 
of the background air during each sampling mode.
    (5) Exhaust sampling system. The dilute exhaust sampling system 
controls the flow of samples from the mixing tunnel to the analyzer 
system. This could be either a continuous sampling system or grab (bag) 
sampling system. If a critical flow venturi (CFV) is used on the dilute 
exhaust sample probe, this system must assure that the sample CFV is in 
choke flow during testing. If no CFV is used, this system must assure a 
constant volumetric flow rate through the dilute exhaust sample probe or 
must incorporate electronic flow compensation.
    (6) Background sampling system. The background sampling system 
controls the flow of samples from the background air supply to the 
analyzer system. This could be either a continuous sampling system or 
grab (bag) sampling system. This system must assure a constant 
volumetric flow rate through the background sample probe.



Sec. 90.421  Dilute gaseous exhaust sampling and analytical system 
description.

    (a) General. The exhaust gas sampling system described in this 
section is designed to measure the true mass of gaseous emissions in the 
exhaust of nonroad small spark-ignition engines. This system utilizes 
the Constant Volume Sampling (CVS) concept (described in Sec. 90.420) 
of measuring mass emissions of HC, NOX. CO, and 
CO2. Grab sampling for individual modes is an acceptable 
method of dilute testing for all constituents, HC, NOX. CO, 
and CO2. Continuous dilute sampling is not required for any 
of the exhaust constituents, but is allowable for all. Heated sampling 
is not required for any of the constituents, but is allowable for

[[Page 231]]

HC and NOX. The mass of gaseous emissions is determined from 
the sample concentration and total flow over the test period. As an 
option, the measurement of total fuel mass consumed over a cycle may be 
substituted for the exhaust measurement of CO2. General 
requirements are as follows:
    (1) This sampling system requires the use of a Positive Displacement 
Pump--Constant Volume Sampler (PDP-CVS) system with a heat exchanger, or 
a Critical Flow Venturi--Constant Volume Sampler (CFV-CVS) system with 
CFV sample probes and/or a heat exchanger or electronic flow 
compensation. Figure 2 in Appendix B of this subpart is a schematic 
drawing of the PDP-CVS system. Figure 3 in Appendix B of this subpart is 
a schematic drawing of the CFV-CVS system.
    (2) The HC analytical system requires:
    (i) Grab sampling (see Sec. 90.420, and Figure 2 or Figure 3 in 
Appendix B of this subpart) and analytical capabilities (see Sec. 
90.423, and Figure 4 in Appendix B of this subpart), or
    (ii) Continuously integrated measurement of diluted HC meeting the 
minimum requirements and technical specifications contained in paragraph 
(b)(2) of this section.
    (iii) The dilute HC analytical system for nonroad small spark-
ignition engines does not require a heated flame ionization detector 
(HFID).
    (iv) If used, the HFID sample must be taken directly from the 
diluted exhaust stream through a heated probe and integrated 
continuously over the test cycle.
    (v) The heated probe must be located in the sampling system far 
enough downstream of the mixing area to ensure a uniform sample 
distribution across the CVS duct at the sampling zone.
    (3) The CO and CO2 analytical system requires:
    (i) Grab sampling (see Sec. 90.420, and Figure 2 or Figure 3 in 
Appendix B of this subpart) and analytical capabilities (see Sec. 
90.423, and Figure 4 in Appendix B of this subpart), or
    (ii) Continuously integrated measurement of diluted CO and 
CO2 meeting the minimum requirements and technical 
specifications contained in paragraph (b)(4) of this section.
    (4) The NOX analytical system requires:
    (i) Grab sampling (see Sec. 90.420, and Figure 2 or Figure 3 in 
Appendix B of this subpart) and analytical capabilities (see Sec. 
90.423, and Figure 4 in Appendix B of this subpart), or
    (ii) A continuously integrated measurement of diluted NOX 
meeting the minimum requirements and technical specifications contained 
in paragraph (b)(4) of this section.
    (5) Since various configurations can produce equivalent results, 
exact conformance with these drawings is not required. Additional 
components such as instruments, valves, solenoids, pumps, and switches 
may be used to provide additional information and coordinate the 
functions of the component systems. Other components, such as snubbers, 
which are not needed to maintain accuracy on some systems, may be 
excluded if their exclusion is based upon good engineering judgment.
    (6) Other sampling and/or analytical systems may be used if shown to 
yield equivalent results and if approved in advance by the 
Administrator.
    (b) Component description. The components necessary for exhaust 
0sampling must meet the following requirements:
    (1) Exhaust dilution system. The PDP-CVS must conform to all of the 
requirements listed for the exhaust gas PDP-CVS in Sec. 90.420 of this 
chapter. The CFV-CVS must conform to all of the requirements listed for 
the exhaust gas CFV-CVS in Sec. 90.420 of this chapter. In addition, 
the CVS must conform to the following requirements:
    (i) The flow capacity of the CVS must be sufficient to maintain the 
diluted exhaust stream in the dilution system at a temperature of 190 
[deg]C or less at the sampling zone for hydrocarbon measurement and as 
required to prevent condensation at any point in the dilution system. 
Gaseous emission samples may be taken directly from this sampling point.
    (ii) For the CFV-CVS, either a heat exchanger or electronic flow 
compensation is required (see Figure 3 in Appendix B of this subpart).
    (iii) For the CFV-CVS when a heat exchanger is used, the gas mixture

[[Page 232]]

temperature, measured at a point immediately ahead of the critical flow 
venturi, must be within 11 [deg]C of the average 
operating temperature observed during the test with the simultaneous 
requirement that condensation does not occur. The temperature measuring 
system (sensors and readout) must have an accuracy and precision of 
2 [deg]C. For systems utilizing a flow compensator 
to maintain proportional flow, the requirement for maintaining constant 
temperature is not necessary.
    (2) Continuous HC measurement system. (i) The continuous HC sample 
system (as shown in Figure 2 or 3 in Appendix B of this subpart) uses an 
``overflow'' zero and span system. In this type of system, excess zero 
or span gas spills out of the probe when zero and span checks of the 
analyzer are made.
    (ii) No other analyzers may draw a sample from the continuous HC 
sample probe, line, or system, unless a common sample pump is used for 
all analyzers and the sample line system design reflects good 
engineering practice.
    (iii) The overflow gas flow rates into the sample line must be at 
least 105 percent of the sample system flow rate.
    (iv) The overflow gases must enter the sample line as close as 
practical to the outside surface of the CVS duct or dilution system.
    (v) The continuous HC sampling system consists of a probe (which for 
a HFID analyzer must raise the sample to the specified temperature) and, 
where used, a sample transfer system (which for a HFID must maintain the 
specified temperature). The HFID continuous hydrocarbon sampling system 
(exclusive of the probe) must:
    (A) Maintain a wall temperature of 190 11 
[deg]C as measured at every separately controlled heated component (that 
is, filters, heated line sections), using permanent thermocouples 
located at each of the separate components.
    (B) Have a wall temperature of 190 11 [deg]C 
over its entire length. The temperature of the system is demonstrated by 
profiling the thermal characteristics of the system where possible at 
initial installation and after any major maintenance performed on the 
system. The profiling is to be accomplished using the insertion 
thermocouple probing technique. The system temperature must be monitored 
continuously during testing at the locations and temperature described 
in Sec. 90.421(b)(2).
    (C) Maintain a gas temperature of 190 11 
[deg]C immediately before the heated filter and HFID. Determine these 
gas temperatures by a temperature sensor located immediately upstream of 
each component.
    (vi) The continuous hydrocarbon sampling probe:
    (A) Is defined as the first 25.4 to 76.2 cm of the continuous 
hydrocarbon sampling system.
    (B) Has a 0.483 cm minimum inside diameter.
    (C) Is installed in the dilution system at a point where the 
dilution air and exhaust are well mixed and provide a homogenous 
mixture.
    (D) Is sufficiently distant (radially) from other probes and the 
system wall so as to be free from the influence of any wakes or eddies.
    (E) For a continuous HFID sample probe, the probe must increases the 
gas stream temperature to 190 11 [deg]C at the 
exit of the probe. Demonstrate the ability of the probe to accomplish 
this using the insertion thermocouple technique at initial installation 
and after any major maintenance. Demonstrate compliance with the 
temperature specification by continuously recording during each test the 
temperature of either the gas stream or the wall of the sample probe at 
its terminus.
    (vii) The response time of the continuous measurement system must be 
taken into account when logging test data.
    (3) Sample mixing. (i) Configure the dilution system to ensure a 
well mixed, homogeneous sample prior to the sampling probe(s).
    (ii) Make the temperature of the diluted exhaust stream inside the 
dilution system sufficient to prevent water condensation.
    (iii) Direct the engine exhaust downstream at the point where it is 
introduced into the dilution system.
    (4) Continuously integrated NOX, CO, and CO2 
measurement systems--(i) Sample probe requirements:
    (A) The sample probe for continously intergrated NOX. CO, 
and CO2 must be in the same plane as the continuous HC

[[Page 233]]

probe, but sufficiently distant (radially) from other probes and the 
tunnel wall so as to be free from the influences of any wakes or eddies.
    (B) The sample probe for continously intergrated NOX. CO, 
and CO2 must be heated and insulated over the entire length, 
to prevent water condensation, to a minimum temperature of 55 [deg]C. 
Sample gas temperature immediately before the first filter in the system 
must be at least 55 [deg]C.
    (ii) Conform to the continuous NOX. CO, or CO2 
sampling and analysis system to the specifications of part 86, subpart D 
of this chapter with the following exceptions and revisions:
    (A) Heat the system components requiring heating only to prevent 
water condensation, the minimum component temperature is 55 [deg]C.
    (B) Coordinate analysis system response time with CVS flow 
fluctuations and sampling time/test cycle offsets, if necessary.
    (C) Use only analytical gases conforming to the specifications of 
Sec. 90.312 of this subpart for calibration, zero and span checks.
    (D) Use a calibration curve conforming to Sec. 90.321 for CO and 
CO2 and Sec. 90.318 for NOX for any range on a 
linear analyzer below 155 ppm.
    (iii) Convert the chart deflections or voltage output of analyzers 
with non-linear calibration curves to concentration values by the 
calibration curve(s) specified in Sec. 90.321 of this chapter before 
flow correction (if used) and subsequent integration takes place.



Sec. 90.422  Background sample.

    (a) Background samples are produced by drawing a sample of the 
dilution air during the exhaust collection phase of each test cycle 
mode.
    (1) An individual background sample may be produced and analyzed for 
each mode. Hence, a unique background value will be used for the 
emission calculations for each mode.
    (2) Alternatively, a single background sample may be produced by 
drawing a sample during the collection phase of each test cycle mode. 
Hence, a single cumulative background value will be used for the 
emission calculations for each mode.
    (b) For analysis of the individual sample described in paragraph 
(a)(1) of this section, a single value representing the average chart 
deflection over a 10-second stabilized period must be stored. All 
readings taken during the data logging period must be stable within 
 one percent of full scale.
    (c) Measure HC, CO, CO2, and NOX exhaust and 
background concentrations in the sample bag(s) with approximately the 
same flow rates and pressures used during calibration.



Sec. 90.423  Exhaust gas analytical system; CVS grab sample.

    (a) Schematic drawings. Figure 4 in Appendix B of this subpart is a 
schematic drawing of the exhaust gas analytical systems used for 
analyzing CVS grab ``bag'' samples from spark-ignition engines. Since 
various configurations can produce accurate results, exact conformance 
with the drawing is not required. Additional components such as 
instruments, valves, solenoids, pumps and switches may be used to 
provide additional information and coordinate the functions of the 
component systems. Other components such as snubbers, which are not 
needed to maintain accuracy in some systems, may be excluded if their 
exclusion is based upon good engineering judgment.
    (b) Major component description. The analytical system, Figure 4 in 
Appendix B of this subpart, consists of a flame ionization detector 
(FID) or a heated flame ionization detector (HFID) for the measurement 
of hydrocarbons, non-dispersive infrared analyzers (NDIR) for the 
measurement of carbon monoxide and carbon dioxide, and a 
chemiluminescence detector (CLD) (or heated CLD (HCLD)) for the 
measurement of oxides of nitrogen. The exhaust gas analytical system 
must conform to the following requirements:
    (1) The CLD (or HCLD) requires that the nitrogen dioxide present in 
the sample be converted to nitric oxide before analysis. Other types of 
analyzers may be used if shown to yield equivalent results and if 
approved in advance by the Administrator.
    (2) If CO instruments are used which are essentially free of 
CO2 and water

[[Page 234]]

vapor interference, the use of the conditioning column may be deleted. 
(See Sec. 90.317 and Sec. 90.320.)
    (3) A CO instrument is considered to be essentially free of 
CO2 and water vapor interference if its response to a mixture 
of three percent CO2 in N2, which has been bubbled 
through water at room temperature, produces an equivalent CO response, 
as measured on the most sensitive CO range, which is less than one 
percent of full-scale CO concentration on ranges above 300 ppm full 
scale or less than three ppm on ranges below 300 ppm full scale. (See 
Sec. 90.317.)
    (c) Alternate analytical systems. Analysis systems meeting the 
specifications and requirements of this subpart for dilute sampling may 
be used upon approval of the Administrator.
    (d) Other analyzers and equipment. Other types of analyzers and 
equipment may be used if shown to yield equivalent results and if 
approved in advance by the Administrator.



Sec. 90.424  Dilute sampling procedures--CVS calibration.

    (a) The CVS is calibrated using an accurate flowmeter and restrictor 
valve.
    (1) The flowmeter calibration must be traceable to the National 
Institute for Standards and Testing (NIST) and serves as the reference 
value (NIST ``true'' value) for the CVS calibration. (Note: In no case 
should an upstream screen or other restriction which can affect the flow 
be used ahead of the flowmeter unless calibrated throughout the flow 
range with such a device.)
    (2) The CVS calibration procedures are designed for use of a 
``metering venturi'' type flowmeter. Large radius or American Society of 
Mechanical Engineers (ASME) flow nozzles are considered equivalent if 
traceable to NIST measurements. Other measurement systems may be used if 
shown to be equivalent under the test conditions in this section and 
traceable to NIST measurements.
    (3) Measurements of the various flowmeter parameters are recorded 
and related to flow through the CVS.
    (4) Procedures using both PDP-CVS and CFV-CVS are outlined in the 
following paragraphs. Other procedures yielding equivalent results may 
be used if approved in advance by the Administrator.
    (b) After the calibration curve has been obtained, verification of 
the entire system may be performed by injecting a known mass of gas into 
the system and comparing the mass indicated by the system to the true 
mass injected. An indicated error does not necessarily mean that the 
calibration is wrong, since other factors can influence the accuracy of 
the system (for example, analyzer calibration, leaks, or HC hangup). A 
verification procedure is found in paragraph (e) of this section.
    (c) PDP-CVS calibration. (1) The following calibration procedure 
outlines the equipment, the test configuration, and the various 
parameters which must be measured to establish the flow rate of the CVS 
pump.
    (i) All the parameters related to the pump are simultaneously 
measured with the parameters related to a flowmeter which is connected 
in series with the pump.
    (ii) The calculated flow rate, in cm3/s, (at pump inlet 
absolute pressure and temperature) can then be plotted versus a 
correlation function which is the value of a specific combination of 
pump parameters.
    (iii) The linear equation which relates the pump flow and the 
correlation function is then determined.
    (iv) In the event that a CVS has a multiple speed drive, a 
calibration for each range used must be performed.
    (2) This calibration procedure is based on the measurement of the 
absolute values of the pump and flowmeter parameters that relate the 
flow rate at each point. Two conditions must be maintained to assure the 
accuracy and integrity of the calibration curve:
    (i) The temperature stability must be maintained during calibration. 
(Flowmeters are sensitive to inlet temperature oscillations; this can 
cause the data points to be scattered. Gradual changes in temperature 
are acceptable as long as they occur over a period of several minutes.)
    (ii) All connections and ducting between the flowmeter and the CVS 
pump must be absolutely void of leakage.

[[Page 235]]

    (3) During an exhaust emission test the measurement of these same 
pump parameters enables the user to calculate the flow rate from the 
calibration equation.
    (4) Connect a system as shown in Figure 5 in Appendix B of this 
subpart. Although particular types of equipment are shown, other 
configurations that yield equivalent results may be used if approved in 
advance by the Administrator. For the system indicated, the following 
measurements and accuracies are required:

                      Calibration Data Measurements
------------------------------------------------------------------------
                                                         Sensor-readout
           Parameter             Symbol      Units         tolerances
------------------------------------------------------------------------
Barometric pressure             PB        kPa          .340 kPa.
Ambient temperature...........  TA        [deg]C       .28
                                                        [deg]C.
Air temperature into metering   ETI       [deg]C       1.11
                                                        [deg]C.
Pressure drop between the       EDP       kPa          0.012
 venturi.                                               kPa.
Air flow......................  QS        m3/min.      0.5
                                                        percent of NIST
                                                        value.
Air temperature at CVS pump     PTI       [deg]C       1.11
                                                        [deg]C.
Pressure depression at CVS      PPI       kPa          0.055
                                                        kPa.
Pressure head at CVS pump       PPO       kPa          0.055
                                                        kPa.
Air temperature at CVS pump     PTO       [deg]C       1.11
                                                        [deg]C.
Pump revolutions during test    N         Revs         1 Rev.
Elapsed time for test period..  t         s            0.5 s.
------------------------------------------------------------------------

    (5) After the system has been connected as shown in Figure 5 in 
Appendix B of this subpart, set the variable restrictor in the wide open 
position and run the CVS pump for 20 minutes. Record the calibration 
data.
    (6) Reset the restrictor valve to a more restricted condition in an 
increment of pump inlet depression that will yield a minimum of six data 
points for the total calibration. Allow the system to stabilize for 
three minutes and repeat the data acquisition.
    (7) Data analysis:
    (i) The air flow rate, Qs, at each test point is 
calculated in standard cubic feet per minute 20 [deg]C, 101.3 kPa from 
the flowmeter data using the manufacturer's prescribed method.
    (ii) The air flow rate is then converted to pump flow, 
Vo, in cubic meter per revolution at absolute pump inlet 
temperature and pressure:
[GRAPHIC] [TIFF OMITTED] TR03JY95.031

Where:

Vo = Pump flow, m\3\/rev at Tp, Pp.
Qs = Meter air flow rate in standard cubic meters per minute, 
standard conditions are 20 [deg]C, 101.3 kPa.
n = Pump speed in revolutions per minute.
Tp = Absolute pump inlet temperature in Kelvin, =PTI+273 
[[deg]K]
Pp = Absolute pump inlet pressure, kPa. = PB-PPI

Where:

PB = barometric pressure, kPa
PPI = Pump inlet depression, kPa.

    (iii) The correlation function at each test point is then calculated 
from the calibration data:
[GRAPHIC] [TIFF OMITTED] TR03JY95.032

Where:

Xo = correlation function.
[Delta]p = The pressure differential from pump inlet to pump outlet 
[kPa]
    [Delta]p = Pe-Pp.

Where:

Pe = Absolute pump outlet pressure [kPa], Pe = 
PB+PPI

    (iv) A linear least squares fit is performed to generate the 
calibration equation which has the form:
[GRAPHIC] [TIFF OMITTED] TR03JY95.033

Where:

Do and M are the intercept and slope constants, respectively, 
describing the regression line.

    (8) A CVS system that has multiple speeds should be calibrated on 
each

[[Page 236]]

speed used. The calibration curves generated for the ranges will be 
approximately parallel and the intercept values, Do, will 
increase as the pump flow range decreases.
    (9) If the calibration has been performed carefully, the calculated 
values from the equation will be within  0.50 
percent of the measured value of Vo. Values of M will vary 
from one pump to another, but values of Do for pumps of the 
same make, model, and range should agree within  
three percent of each other. Calibrations should be performed at pump 
start-up and after major maintenance to assure the stability of the pump 
slip rate. Analysis of mass injection data will also reflect pump slip 
stability.
    (d) CFV-CVS calibration. (1) Calibration of the CFV is based upon 
the flow equation for a critical venturi. Gas flow is a function of 
inlet pressure and temperature:
[GRAPHIC] [TIFF OMITTED] TR03JY95.034

Where:

Qs = flow rate [m\3\/min.]
Kv = calibration coefficient
P = absolute pressure [kPa]
T = absolute temperature [[deg]K]

    The calibration procedure described in paragraph (d)(3) of this 
section establishes the value of the calibration coefficient at measured 
values of pressure, temperature, and air flow.
    (2) The manufacturer's recommended procedure must be followed for 
calibrating electronic portions of the CFV.
    (3) Measurements necessary for flow calibration are as follows:

                                          Calibration Data Measurements
----------------------------------------------------------------------------------------------------------------
            Parameter                    Symbol               Units                      Tolerances
----------------------------------------------------------------------------------------------------------------
Barometric Pressure (corrected).  PB                   kPa                  .34 kPa
Air temperature, into flowmeter.  ETI                  [deg]C               .28 [deg]C
Pressure drop between the inlet   EDP                  in. H2 O             .05 in H2 O
 and throat of metering venturi.
Air flow........................  QS                   m3/min               .5 percent of
                                                                             NIST value
CFV inlet depression............  PPI                  (kPa)                .055 kPa
Temperature at venturi inlet....  TV                   [deg]C               2.22 [deg]C
----------------------------------------------------------------------------------------------------------------

    (4) Set up equipment as shown in Figure 6 in Appendix B of this 
subpart and eliminate leaks. (Leaks between the flow measuring devices 
and the critical flow venturi will seriously affect the accuracy of the 
calibration.)
    (5) Set the variable flow restrictor to the open position, start the 
blower, and allow the system to stabilize. Record data from all 
instruments.
    (6) Vary the flow restrictor and make at least eight readings across 
the critical flow range of the venturi.
    (7) Data analysis. The data recorded during the calibration are to 
be used in the following calculations:
    (i) Calculate the air flow rate (designated as Qs) at 
each test point in standard cubic feet per minute from the flow meter 
data using the manufacturer's prescribed method.
    (ii) Calculate values of the calibration coefficient for each test 
point:
[GRAPHIC] [TIFF OMITTED] TR03JY95.035

Where:

Qs = Flow rate in standard cubic meters per minute, at the 
standard conditions of 20 [deg]C, 101.3 kPa.
Tv = Temperature at venturi inlet, [deg]K.
Pv = Pressure at venturi inlet, kPa = PB - 
PPI

Where:

PPI = Venturi inlet pressure depression, kPa.

    (iii) Plot Kv as a function of venturi inlet pressure. 
For choked flow, Kv will have a relatively constant value. As 
pressure decreases (vacuum increases), the venturi becomes unchoked and 
Kv decreases. (See Figure 7 in Appendix B to Subpart D.)
    (iv) For a minimum of eight points in the critical region, calculate 
an average Kv and the standard deviation.

[[Page 237]]

    (v) If the standard deviation exceeds 0.3 percent of the average 
Kv , take corrective action.
    (e) CVS system verification. The following ``gravimetric'' technique 
may be used to verify that the CVS and analytical instruments can 
accurately measure a mass of gas that has been injected into the system. 
(Verification can also be accomplished by constant flow metering using 
critical flow orifice devices.)
    (1) Obtain a small cylinder that has been charged with 99.5 percent 
or greater propane or carbon monoxide gas (CAUTION--carbon monoxide is 
poisonous).
    (2) Determine a reference cylinder weight to the nearest 0.01 grams.
    (3) Operate the CVS in the normal manner and release a quantity of 
pure propane into the system during the sampling period (approximately 
five minutes).
    (4) The calculations are performed in the normal way except in the 
case of propane. The density of propane (0.6109 kg/m\3\/carbon atom) is 
used in place of the density of exhaust hydrocarbons.
    (5) The gravimetric mass is subtracted from the CVS measured mass 
and then divided by the gravimetric mass to determine the percent 
accuracy of the system.
    (6) Good engineering practice requires that the cause for any 
discrepancy greater than  two percent must be 
found and corrected.



Sec. 90.425  CVS calibration frequency.

    Calibrate the CVS positive displacement pump or critical flow 
venturi following initial installation, major maintenance, or as 
necessary when indicated by the CVS system verification (described in 
Sec. 90.424(e)).



Sec. 90.426  Dilute emission sampling calculations--gasoline fueled 
engines.

    (a) The final reported emission test results must be computed by use 
of the following formula:
[GRAPHIC] [TIFF OMITTED] TR03JY95.036

Where:

AWM = Final weighted brake-specific mass emission rate for an 
emission (HC, CO, CO2, or NOX) [g/kW-hr]
Wi = Average mass flow rate of an emission (HC, CO, 
CO2, NOX) from a test engine during mode i [g/hr]
WFi = Weighting factor for each mode i as defined in Sec. 
90.410(a).
Pi = Gross average power generated during mode i [kW], 
calculated from the following equation,
[GRAPHIC] [TIFF OMITTED] TR03JY95.037

Where:

speed = average engine speed measured during mode i [rev./minute]
torque = average engine torque measured during mode i [N-m]
    KHi = NOX humidity correction factor for mode 
i. This correction factor only affects calculations for tion factor only 
affects calculations for NOX and is equal to one for all 
other emissions. KHi is also equal to 1 for all two-stroke 
engines.

    (b) The mass flow rate, Wi in g/hr, of an emission for 
mode i is determined from the following equations:
[GRAPHIC] [TIFF OMITTED] TR03JY95.038

Where:

Qi = Volumetric flow rate oandard conditions [m\3\/hr at 
STP].
Density = Density of a specific emission (DensityHC, 
DensityCO, DensityCO2, DensityNOx) [g/
m\3\].
DFi = Dilution factor of the dilute exhaust during mode i.
CDi = Concentration of the emission (HC, CO, NOX) 
in dilute exhaust extracted from the CVS during mode i [ppm].
CBi = Concentration of the emission (HC, CO, NOX) 
in the background sample during mode i [ppm].
STP = Standard temperature and pressure. All volumetric calculations 
made for the equations in this section are to be corrected to a standard 
temperature of 20 [deg]C and 101.3 kPa.


[[Page 238]]


    (c) Densities for emissions that are to be measured for this test 
procedure are:

DensityHC = 576.8 g/m\3\
DensityNOX = 1912 g/m\3\
DensityCO = 1164 g/m\3\
DensityCO2 = 1829 g/m\3\

    (1) The value of DensityHC above is calculated based on 
the assumption that the fuel used has a carbon to hydrogen ratio of 
1:1.85. For other fuels DensityHC can be calculated from the 
following formula:
[GRAPHIC] [TIFF OMITTED] TR03JY95.039

Where:

MHC = The molecular weight of the hydrocarbon molecule 
divided by the number of carbon atoms in the molecule [g/mole]
RSTP = Ideal gas constant for a gas at STP=0.024065 [m\3\-
mole].

    (2) The idealized molecular weight of the exhaust hydrocarbons, 
i.e., the molecular weight of the hydrocarbon molecule divided by the 
number of carbon atoms in the molecule, MHC, can be 
calculated from the following formula:
[GRAPHIC] [TIFF OMITTED] TR03JY95.040

Where:

MC = Molecular weight of carbon=12.01 [g/mole]
MH = Molecular weight of hydrogen=1.008 [g/mole]
MO = Molecular weight of oxygen=16.00 [g/mole]
[alpha] = Hydrogen to carbon ratio of the test fuel
[beta] = Oxygen to carbon ratio of the test fuel

    (3) The value of DensityNOX above assumes that 
NOX is entirely in the form of NO2
    (d) The dilution factor, DF, is the ratio of the volumetric flow 
rate of the background air to that of the raw engine exhaust. The 
following formula is used to determine DF:
[GRAPHIC] [TIFF OMITTED] TR03JY95.041

Where:

CDHC = Concentration of HC in the dilute sample [ppm]
CDCO = Concentration of CO in the dilute sample [ppm]
CDCO2 = Concentration of CO2 in the dilute sample 
[ppm]

    (e) The humidity correction factor KH is an adjustment 
made to the measured NOX. This corrects for the sensitivity 
that a spark-ignition engine has to the humidity of its combustion air. 
The following formula is used to determine KH for 
NOX calculations:
[GRAPHIC] [TIFF OMITTED] TR03JY95.042

Where:

H = Absolute humidity of the engine intake air [grams of water per 
kilogram of dry air].

    (f) Calculate the absolute humidity of the engine intake air H using 
the following formula:
[GRAPHIC] [TIFF OMITTED] TR03JY95.043

Where:

Pdew = Saturated vapor pressure at the dew point temperature 
[kPa]
Pb = Barometric pressure [kPa].

    (g) Compute the final reported brake-specific fuel consumption 
(BSFC) by use of the following formula:
[GRAPHIC] [TIFF OMITTED] TR03JY95.044

Where:

BSFC = brake-specific fuel consumption in grams of fuel per brake 
kilowatt-hour [g/kW-hr].
GFUELi = mass flow rate of engine fuel during mode i [g/hr]
WFi = Weighting factors for each mode according to Sec. 
90.410(a)
Pi = Gross average power generated during mode i [kW], 
calculated from the following equation,
[GRAPHIC] [TIFF OMITTED] TR03JY95.045

Where:

speed = average engine speed measured during mode i [rev./minute]

[[Page 239]]

torque = average engine torque measured during mode i [N-m]

    (h) The fuel mass flow rate, Fi, can be either measured 
or calculated using the following formula:
[GRAPHIC] [TIFF OMITTED] TR03JY95.046

Where:

MFUEL = Mass of fuel consumed by the engine during the mode 
[g]
T = Duration of the sampling period [hr]

    (i) The mass of fuel consumed during the mode sampling period, 
MFUEL, can be calculated from the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.047

Where:

Gs = Mass of carbon measured during the mode sampling period 
[g]
R2 = The fuel carbon weight fraction, which is the mass of 
carbon in fuel per mass of fuel [g/g]

    The grams of carbon measured during the mode, Gs, can be 
calculated from the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.048

Where:

HCmass=mass of hydrocarbon emissions for the mode sampling 
period [grams]
CO2mass=mass of carbon monoxide emissions for the mode 
sampling period [grams]
CO2mass=mass of carbon dioxide emissions for the mode 
sampling period [grams]
[alpha]=The atomic hydrogen to carbon ratio of the fuel



Sec. 90.427  Catalyst thermal stress resistance evaluation.

    (a) The purpose of the evaluation procedure specified in this 
section is to determine the effect of thermal stress on catalyst 
conversion efficiency for Phase 1 engines. The thermal stress is imposed 
on the test catalyst by exposing it to quiescent heated air in an oven. 
The evaluation of the effect of such stress on catalyst performance is 
based on the resultant degradation of the efficiency with which the 
conversions of specific pollutants are promoted. The application of this 
evaluation procedure involves the several steps that are described in 
the following paragraphs.
    (b) Determination of initial conversion efficiency. (1) A synthetic 
exhaust gas mixture having the composition specified in Sec. 90.329 is 
heated to a temperature of 450 [deg]C  5 [deg]C 
and passed through the new test catalyst or, optionally, a test catalyst 
that has been exposed to temperatures less than or equal to 500 [deg]C 
for less than or equal to two hours, under flow conditions that are 
representative of anticipated in-use conditions.
    (2) The concentration of each pollutant of interest, that is, 
hydrocarbons, carbon monoxide, or oxides of nitrogen, in the effluent of 
the catalyst is determined by means of the instrumentation that is 
specified for exhaust gas analysis in subpart D of this part.
    (3) The conversion efficiency for each pollutant is determined by:
    (i) Subtracting the effluent concentration from the initial 
concentration;
    (ii) Dividing this result by the initial concentration; and
    (iii) Multiplying this result by 100 percent.
    (c) Imposition of thermal stress. (1) The catalyst is placed in an 
oven that has been pre-heated to 1000 [deg]C and the temperature of the 
air in the oven is maintained at 1000 [deg]C  10 
[deg]C for six hours.
    (2) The catalyst is removed from the oven and allowed to cool to 
room temperature.
    (d) Determination of final conversion efficiency. The steps listed 
in paragraph (b) of this section are repeated.
    (e) Determination of conversion efficiency degradation.

[[Page 240]]

    (1) The final conversion efficiency determined in paragraph (c) of 
this section is subtracted from the initial conversion efficiency 
determined in paragraph (b) of this section.
    (2) This result is divided by the initial conversion efficiency.
    (3) This result is multiplied by 100 percent.
    (f) Determination of compliance with degradation limit. The percent 
degradation determined in paragraph (e) of this section must not be 
greater than 20 percent.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15244, Mar. 30, 1999]

               Appendix A to Subpart E of Part 90--Tables

      Table 1--Parameters to be Measured or Calculated and Recorded
------------------------------------------------------------------------
                    Parameter                              Units
------------------------------------------------------------------------
Airflow rate (dry), if applicable................  g/h
Fuel flow rate...................................  g/h
Engine Speed.....................................  rpm
Engine Torque Output.............................  N m
Power Output.....................................  kW
Air inlet temperature............................  [deg]C
Air humidity.....................................  mg/kg
Coolant temperature (liquid cooled)..............  [deg]C
Exhaust mixing chamber surface temperature, if     [deg]C
 applicable.
Exhaust sample line temperature, if applicable...  [deg]C
Total Accumulated hours of Engine Operation......  h
Barometric Pressure..............................  kPa
------------------------------------------------------------------------


                                             Table 2--Test Cycles for Class I-A, I-B, and Class I-V Engines
--------------------------------------------------------------------------------------------------------------------------------------------------------
                      Mode Speed                          1        2        3        4        5        6        7        8        9        10       11
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                       Rated Speed
                                                                    Intermediate Speed                Idle
Mode Points--A Cycle.................................  .......  .......  .......  .......  .......        1        2        3        4        5        6
Load Percent--A Cycle................................  .......  .......  .......  .......  .......      100       75       50       25       10        0
Weighting............................................  .......  .......  .......  .......  .......       9%      20%      29%      30%       7%       5%
Mode Points--B Cycle.................................        1        2        3        4        5  .......  .......  .......  .......  .......        6
Load Percent--B Cycle................................      100       75       50       25       10  .......  .......  .......  .......  .......        0
Weighting............................................       9%      20%      29%      30%       7%  .......  .......  .......  .......  .......       5%
Mode Points--C Cycle.................................        1  .......  .......  .......  .......  .......  .......  .......  .......  .......        2
Load Percent--C Cycle................................      100  .......  .......  .......  .......  .......  .......  .......  .......  .......        0
Weighting for Phase 1 Engines........................      90%  .......  .......  .......  .......  .......  .......  .......  .......  .......      10%
Weighting for Phase 2 Engines........................      85%  .......  .......  .......  .......  .......  .......  .......  .......  .......      15%
--------------------------------------------------------------------------------------------------------------------------------------------------------


[60 FR 34598, July 3, 1995, as amended at 65 FR 24313, Apr. 25, 2000]

[[Page 241]]

               Appendix B to Subpart E of Part 90--Figures
[GRAPHIC] [TIFF OMITTED] TC01MR92.087


[[Page 242]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.088


[[Page 243]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.089


[[Page 244]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.090


[[Page 245]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.006


[[Page 246]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.007


[[Page 247]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.008



                Subpart F_Selective Enforcement Auditing



Sec. 90.501  Applicability.

    The requirements of subpart F shall be applicable to all nonroad 
engines and vehicles subject to the provisions of subpart A of part 90.



Sec. 90.502  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions shall also apply to this subpart.
    Acceptable quality level (AQL) means the maximum percentage of 
failing engines that can be considered a satisfactory process average 
for sampling inspections.
    Configuration means any subclassification of an engine family which 
can be described on the basis of gross power, emission control system, 
governed speed, fuel system, engine calibration, and other parameters as 
designated by the Administrator.
    Inspection criteria means the pass and fail numbers associated with 
a particular sampling plan.
    Test engine means an engine in a test sample.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing.



Sec. 90.503  Test orders.

    (a) The Administrator shall require any testing under this subpart 
by means of a test order addressed to the manufacturer.
    (b) The test order will be signed by the Assistant Administrator for 
Air and Radiation or his or her designee. The test order will be 
delivered in person by an EPA enforcement officer or EPA authorized 
representative to a company representative or sent by registered mail, 
return receipt requested, to the manufacturer's representative

[[Page 248]]

who signed the application for certification submitted by the 
manufacturer, pursuant to the requirements of the applicable section of 
subpart B of this part. Upon receipt of a test order, the manufacturer 
shall comply with all of the provisions of this subpart and instructions 
in the test order.
    (c) Information included in test order. (1) The test order will 
specify the engine family to be selected for testing, the manufacturer's 
engine assembly plant or associated storage facility or port facility 
(for imported engines) from which the engines must be selected, the time 
and location at which engines must be selected, and the procedure by 
which engines of the specified family must be selected. The test order 
may specify the configuration to be audited and/or the number of engines 
to be selected per day. Engine manufacturers will be required to select 
a minimum of four engines per day unless an alternate selection 
procedure is approved pursuant to Sec. 90.507(a), or unless total 
production of the specified configuration is less than four engines per 
day. If total production of the specified configuration is less than 
four engines per day, the manufacturer will select the actual number of 
engines produced per day.
    (2) The test order may include alternate families to be selected for 
testing at the Administrator's discretion in the event that engines of 
the specified family are not available for testing because those engines 
are not being manufactured during the specified time, or are not being 
stored at the specified assembly plant, associated storage facilities or 
port of entry.
    (3) If the specified family is not being manufactured at a rate of 
at least two engines per day in the case of manufacturers specified in 
Sec. 90.508(g)(1), or one engine per day in the case of manufacturers 
specified in Sec. 90.508(g)(2), over the expected duration of the 
audit, the Assistant Administrator or his or her designated 
representative may select engines of the alternate family for testing.
    (4) In addition, the test order may include other directions or 
information essential to the administration of the required testing.
    (d) A manufacturer may submit a list of engine families and the 
corresponding assembly plants, associated storage facilities, or (in the 
case of imported engines) port facilities from which the manufacturer 
prefers to have engines selected for testing in response to a test 
order. In order that a manufacturer's preferred location be considered 
for inclusion in a test order for a particular engine family, the list 
must be submitted prior to issuance of the test order. Notwithstanding 
the fact that a manufacturer has submitted the list, the Administrator 
may order selection at other than a preferred location.
    (e) Upon receipt of a test order, a manufacturer shall proceed in 
accordance with the provisions of this subpart.
    (f)(1) During a given model year, the Administrator shall not issue 
to a manufacturer more Selective Enforcement Auditing (SEA) test orders 
than an annual limit determined by the following:
    (i) for manufacturers with a projected annual production of less 
than 100,000 engines bound for the United States market for that model 
year, the number is two;
    (ii) for manufacturers with a projected annual production of 100,000 
or more engines bound for the United States market for that model year, 
by dividing the manufacturer's total number of certified engine families 
by five and rounding to the nearest whole number, unless the number of 
engine families is less than eight, in which case the number is two.
    (2) If a manufacturer submits to EPA in writing prior to or during 
the model year a reliable sales projection update or adds engine 
families or deletes engine families from its production, that 
information will be used for recalculating the manufacturer's annual 
limit of SEA test orders.
    (3) Any SEA test order for which the family or configuration, as 
appropriate, fails under Sec. 90.510 or for which testing is not 
completed will not be counted against the annual limit.
    (4) When the annual limit has been met, the Administrator may issue 
additional test orders to test those families or configurations for 
which evidence

[[Page 249]]

exists indicating nonconformity, or for which the Administrator has 
reason to believe are not being appropriately represented or tested in 
Production Line Testing conducted under subpart H of this part, if 
applicable. An SEA test order issued pursuant to this provision will 
include a statement as to the reason for its issuance.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15244, Mar. 30, 1999]



Sec. 90.504  Testing by the Administrator.

    (a) The Administrator may require by test order under Sec. 90.503 
that engines of a specified family be selected in a manner consistent 
with the requirements of Sec. 90.507 and submitted to the Administrator 
at the place designated for the purpose of conducting emission tests. 
These tests will be conducted in accordance with Sec. 90.508 to 
determine whether engines manufactured by the manufacturer conform with 
the regulations with respect to which the certificate of conformity was 
issued.
    (b) Designating official data. (1) Whenever the Administrator 
conducts a test on a test engine or the Administrator and manufacturer 
each conduct a test on the same test engine, the results of the 
Administrator's test will comprise the official data for that engine.
    (2) Whenever the manufacturer conducts all tests on a test engine, 
the manufacturer's test data will be accepted as the official data, 
provided that if the Administrator makes a determination based on 
testing conducted under paragraph (a) of this section that there is a 
substantial lack of agreement between the manufacturer's test results 
and the Administrator's test results, no manufacturer's test data from 
the manufacturer's test facility will be accepted for purposes of this 
subpart.
    (c) If testing conducted under paragraph (a) of this section is 
unacceptable under Sec. 90.503, the Administrator shall:
    (1) Notify the manufacturer in writing of the Administrator's 
determination that the test facility is inappropriate for conducting the 
tests required by this subpart and the reasons therefor; and
    (2) Reinstate any manufacturer's data upon a showing by the 
manufacturer that the data acquired under paragraph (a) of this section 
was erroneous and the manufacturer's data was correct.
    (d) The manufacturer may request in writing that the Administrator 
reconsider his or her determination in paragraph (b)(2) of this section 
based on data or information which indicates that changes have been made 
to the test facility and these changes have resolved the reasons for 
disqualification.



Sec. 90.505  Maintenance of records; submittal of information.

    (a) The manufacturer of any new nonroad engine subject to any of the 
provisions of this subpart shall establish, maintain, and retain the 
following adequately organized and indexed records:
    (1) General records. A description of all equipment used to test 
engines, as specified in subpart D of this part, in accordance with 
Sec. 90.508 pursuant to a test order issued under this subpart.
    (2) Individual records. These records pertain to each audit 
conducted pursuant to this subpart and shall include:
    (i) The date, time, and location of each test;
    (ii) The number of hours of service accumulated on the engine when 
the test began and ended;
    (iii) The names of all supervisory personnel involved in the conduct 
of the audit;
    (iv) A record and description of any repairs performed prior to and/
or subsequent to approval by the Administrator, 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;
    (v) The date the engine was shipped from the assembly plant, 
associated storage facility or port facility and date the engine was 
received at the testing facility;
    (vi) A complete record of all emission tests performed pursuant to 
this subpart (except tests performed directly by EPA), including all 
individual worksheets and/or other documentation relating to each test, 
or exact copies thereof, to be in accordance with the record 
requirements specified in

[[Page 250]]

Sec. Sec. 90.405, 90.406, 90.418, and/or 90.425 as applicable.
    (vii) A brief description of any significant audit events commencing 
with the test engine selection process, but not described under 
paragraph (a)(2) of this section, including such extraordinary events as 
engine damage during shipment.
    (3) The manufacturer shall record test equipment description, 
pursuant to paragraph (a)(1) of this section, for each test cell that 
can be used to perform emission testing under this subpart.
    (b) The manufacturer shall retain all records required to be 
maintained under this subpart for a period of one year after completion 
of all testing in response to a test order. Records may be retained as 
hard copy or reduced to microfilm, floppy disc, and so forth, depending 
upon the manufacturer's record retention procedure, provided that in 
every case all the information contained in the hard copy is retained.
    (c) The manufacturer shall, upon request by the Administrator, 
submit the following information with regard to engine production:
    (1) Projected U.S. sales data for each engine configuration within 
each engine family for which certification is requested;
    (2) Number of engines, by configuration and assembly plant, 
scheduled for production for the time period designated in the request;
    (3) Number of engines, by configuration and by assembly plant, 
storage facility or port facility, scheduled to be stored at facilities 
for the time period designated in the request; and
    (4) Number of engines, by configuration and assembly plant, produced 
during the time period designated in the request that are complete for 
introduction into commerce.
    (d) Nothing in this section limits the Administrator's discretion in 
requiring the manufacturer to retain additional records or submit 
information not specifically required by this section.
    (e) The manufacturer shall address all reports, submissions, 
notifications, and requests for approvals made under this subpart to: 
Director, Manufacturers Operations Division, U.S. Environmental 
Protection Agency, 6405-J, 401 M St., SW., Washington, DC 20460.



Sec. 90.506  Right of entry and access.

    (a) To allow the Administrator to determine whether a manufacturer 
is complying with the provisions of this subpart, a test order is issued 
which authorizes EPA enforcement officers or their authorized 
representatives upon presentation of credentials to enter during 
operating hours any of the following places:
    (1) Any facility where any engine to be introduced into commerce, 
including ports of entry, or any emission-related component is 
manufactured, assembled, or stored;
    (2) Any facility where any tests conducted pursuant to a test order 
or any procedures or activities connected with these tests are or were 
performed;
    (3) Any facility where any engine which is being tested, was tested, 
or will be tested is present; and
    (4) Any facility where any record or other document relating to any 
of the above is located.
    (b) Upon admission to any facility referred to in paragraph (a) of 
this section, EPA enforcement officers or EPA authorized representatives 
are authorized to perform the following inspection-related activities:
    (1) To inspect and monitor any aspects of engine assembly, storage, 
testing and other procedures, and the facilities in which these 
procedures are conducted;
    (2) To inspect and monitor any aspect of engine test procedures or 
activities, including, but not limited to, engine selection, 
preparation, service accumulation, emission test cycles, and maintenance 
and verification of test equipment calibration;
    (3) To inspect and make copies of any records or documents related 
to the assembly, storage, selection and testing of an engine in 
compliance with a test order; and
    (4) To inspect and photograph any part or aspect of any engine and 
any component used in the assembly thereof that is reasonably related to 
the purpose of the entry.
    (c) EPA enforcement officers or EPA authorized representatives are 
authorized to obtain reasonable assistance

[[Page 251]]

without cost from those in charge of a facility to help the officers 
perform any function listed in this subpart, and they are authorized to 
request the recipient of a test order to make arrangements with those in 
charge of a facility operated for the manufacturer's benefit to furnish 
reasonable assistance without cost to EPA, whether or not the recipient 
controls the facility.
    (1) Reasonable assistance includes, but is not limited to, clerical, 
copying, interpretation and translation services, the making available 
on an EPA enforcement officer's or EPA authorized representative's 
request of personnel of the facility being inspected during their 
working hours to inform the EPA enforcement officer or EPA authorized 
representative of how the facility operates and to answer the officer's 
questions, and the performance on request of emission tests on any 
engine which is being, has been, or will be used for SEA testing.
    (2) A manufacturer may be compelled to cause the personal appearance 
of any employee at such a facility before an EPA enforcement officer or 
EPA authorized representative by written request for his or her 
appearance, signed by the Assistant Administrator for Air and Radiation, 
served on the manufacturer. Any such employee who has been instructed by 
the manufacturer to appear will be entitled to be accompanied, 
represented, and advised by counsel.
    (d) EPA enforcement officers or EPA authorized representatives are 
authorized to seek a warrant or court order authorizing the EPA 
enforcement officers or EPA authorized representatives to conduct 
activities related to entry and access as authorized in this section, as 
appropriate, to execute the functions specified in this section. EPA 
enforcement officers or authorized representatives may proceed ex parte 
to obtain a warrant whether or not the EPA enforcement officers or EPA 
authorized representatives first attempted to seek permission of the 
recipient of the test order or the party in charge of the facilities in 
question to conduct activities related to entry and access as authorized 
in this section.
    (e) A recipient of a test order shall permit an EPA enforcement 
officer(s) or EPA authorized representative(s) who presents a warrant or 
court order to conduct activities related to entry and access as 
authorized in this section and as described in the warrant or court 
order. The recipient shall also cause those in charge of its facility or 
a facility operated for its benefit to permit entry and access as 
authorized in this section pursuant to a warrant or court order whether 
or not the recipient controls the facility. In the absence of a warrant 
or court order, an EPA enforcement officer(s) or EPA authorized 
representative(s) may conduct activities related to entry and access as 
authorized in this section only upon the consent of the recipient of the 
test order or the party in charge of the facilities in question.
    (f) It is not a violation of this part or of the Clean Air Act for 
any person to refuse to permit an EPA enforcement officer(s) or an EPA 
authorized representative(s) to conduct activities related to entry and 
access as authorized in this section if the officer or representative 
appears without a warrant or court order.
    (g) A manufacturer is responsible for locating its foreign testing 
and manufacturing facilities in jurisdictions in which local foreign law 
does not prohibit an EPA enforcement officer(s) or an EPA authorized 
representative(s) from conducting the entry and access activities 
specified in this section. EPA will not attempt to make any inspections 
which it has been informed that local foreign law prohibits.



Sec. 90.507  Sample selection.

    (a) Engines comprising a test sample will be selected at the 
location and in the manner specified in the test order. If a 
manufacturer determines that the test engines cannot be selected in the 
manner specified in the test order, an alternative selection procedure 
may be employed, provided the manufacturer requests approval of the 
alternative procedure prior to the start of test sample selection, and 
the Administrator approves the procedure.
    (b) The manufacturer shall assemble the test engines of the family 
selected for testing using its normal mass production process for 
engines to be distributed into commerce. If, between

[[Page 252]]

the time the manufacturer is notified of a test order and the time the 
manufacturer finishes selecting test engines, the manufacturer 
implements any change(s) in its production processes, including quality 
control, which may reasonably be expected to affect the emissions of the 
engines selected, then the manufacturer shall, during the audit, inform 
the Administrator of such changes. If the test engines are selected at a 
location where they do not have their operational and emission control 
systems installed, the test order will specify the manner and location 
for selection of components to complete assembly of the engines. The 
manufacturer shall assemble these components onto the test engines using 
normal assembly and quality control procedures as documented by the 
manufacturer.
    (c) No quality control, testing, or assembly procedures will be used 
on the test engine or any portion thereof, including parts and 
subassemblies, that have not been or will not be used during the 
production and assembly of all other engines of that family, unless the 
Administrator approves the modification in assembly procedures pursuant 
to paragraph (b) of this section.
    (d) The test order may specify that an EPA enforcement officer(s) or 
authorized representative(s), rather than the manufacturer, select the 
test engines according to the method specified in the test order.
    (e) The order in which test engines are selected determines the 
order in which test results are to be used in applying the sampling plan 
in accordance with Sec. 90.510.
    (f) The manufacturer shall keep on hand all untested engines, if 
any, comprising the test sample until a pass or fail decision is reached 
in accordance with Sec. 90.510(e). The manufacturer may ship any tested 
engine which has not failed in accordance with Sec. 90.510(b). However, 
once the manufacturer ships any test engine, it relinquishes the 
prerogative to conduct retests as provided in Sec. 90.508(i).



Sec. 90.508  Test procedures.

    (a) For nonroad engines subject to the provisions of this subpart, 
the prescribed test procedures are the appropriate small SI engine test 
procedures as described in subpart E of this part.
    (b)(1) The manufacturer shall not adjust, repair, prepare, or modify 
the engines selected for testing and shall not perform any emission 
tests on engines selected for testing pursuant to the test order unless 
this adjustment, repair, preparation, modification, and/or tests are 
documented in the manufacturer's engine assembly and inspection 
procedures and are actually performed or unless these adjustments and/or 
tests are required or permitted under this subpart or are approved in 
advance by the Administrator.
    (2) The Administrator may adjust or cause to be adjusted any engine 
parameter which the Administrator has determined to be subject to 
adjustment for certification and Selective Enforcement Audit testing in 
accordance with Sec. 90.112(c), to any setting within the physically 
adjustable range of that parameter, as determined by the Administrator 
in accordance with Sec. 90.112(a), prior to the performance of any 
tests. However, if the idle speed parameter is one which the 
Administrator has determined to be subject to adjustment, the 
Administrator shall not adjust it to any setting which causes a lower 
engine idle speed than would have been possible within the physically 
adjustable range of the idle speed parameter if the manufacturer had 
accumulated 12 hours of service on the engine under paragraph (c) of 
this section, all other parameters being identically adjusted for the 
purpose of the comparison. The manufacturer may be requested to supply 
information needed to establish an alternate minimum idle speed. The 
Administrator, in making or specifying these adjustments, may consider 
the effect of the deviation from the manufacturer's recommended setting 
on emission performance characteristics as well as the likelihood that 
similar settings will occur on in-use engines. In determining 
likelihood, the Administrator may consider factors such as, but not 
limited to, the effect of the adjustment on engine performance 
characteristics and surveillance information from similar in-use 
engines.
    (c) Service Accumulation. Prior to performing exhaust emission 
testing on an SEA test engine, the manufacturer

[[Page 253]]

may accumulate on each engine a number of hours of service equal to the 
greater of 12 hours or the number of hours the manufacturer accumulated 
during certification on the emission data engine corresponding to the 
family specified in the test order.
    (1) Service accumulation must be performed in a manner using good 
engineering judgment to obtain emission results representative of normal 
production engines. This service accumulation must be consistent with 
the new engine break-in instructions contained in the applicable owner's 
manual.
    (2) The manufacturer shall accumulate service at a minimum rate of 
12 hours per engine during each 24-hour period, unless otherwise 
approved by the Administrator.
    (i) The first 24 hour period for service shall begin as soon as 
authorized checks, inspections, and preparations are completed on each 
engine.
    (ii) The minimum service or mileage accumulation rate does not apply 
on weekends or holidays.
    (iii) If the manufacturer's service or target is less than the 
minimum rate specified (12 hours per day), then the minimum daily 
accumulation rate shall be equal to the manufacturer's service target.
    (3) Service accumulation shall be completed on a sufficient number 
of test engines during consecutive 24-hour periods to assure that the 
number of engines tested per day fulfills the requirements of paragraphs 
(g)(1) and (g)(2) of this section.
    (d) The manufacturer shall not perform any maintenance on test 
engines after selection for testing, nor shall the Administrator allow 
deletion of any engine from the test sequence, unless requested by the 
manufacturer and approved by the Administrator before any engine 
maintenance or deletion.
    (e) The manufacturer shall expeditiously ship test engines from the 
point of selection to the test facility. If the test facility is not 
located at or in close proximity to the point of selection, the 
manufacturer shall assure that test engines arrive at the test facility 
within 24 hours of selection, except that the Administrator may approve 
more time for shipment based upon a request by the manufacturer 
accompanied by a satisfactory justification.
    (f) If an engine cannot complete the service accumulation or an 
emission test because of a malfunction, the manufacturer may request 
that the Administrator authorize either the repair of that engine or its 
deletion from the test sequence.
    (g) Whenever a manufacturer conducts testing pursuant to a test 
order issued under this subpart, the manufacturer shall notify the 
Administrator within one working day of receipt of the test order as to 
which test facility will be used to comply with the test order. If no 
test cells are available at a desired facility, the manufacturer must 
provide alternate testing capability satisfactory to the Administrator.
    (1) A manufacturer with projected nonroad engine sales for the 
United States market for the applicable year of 7,500 or greater shall 
complete emission testing at a minimum rate of two engines per 24-hour 
period, including each voided test.
    (2) A manufacturer with projected nonroad engine sales for the 
United States market for the applicable year of less than 7,500 shall 
complete emission testing at a minimum rate of one engine per 24-hour 
period, including each voided test.
    (3) The Administrator may approve a lower daily rate of emission 
testing based upon a request by a manufacturer accompanied by a 
satisfactory justification.
    (h) The manufacturer shall perform test engine selection, shipping, 
preparation, service accumulation, and testing in such a manner as to 
assure that the audit is performed in an expeditious manner.
    (i) Retesting. (1) The manufacturer may retest any engines tested 
during a Selective Enforcement Audit once a fail decision for the audit 
has been reached in accordance with Sec. 90.510(e).
    (2) The Administrator may approve retesting at other times based 
upon a request by the manufacturer accompanied by a satisfactory 
justification.
    (3) The manufacturer may retest each engine a total of three times. 
The manufacturer shall test each engine or vehicle the same number of 
times. The

[[Page 254]]

manufacturer may accumulate additional service before conducting a 
retest, subject to the provisions of paragraph (c) of this section.
    (j) A manufacturer may test engines with the test procedure 
specified in subpart E of this part to demonstrate compliance with the 
exhaust emission standards; however, if alternate procedures were used 
in certification pursuant to Sec. 90.120, then those alternate 
procedures shall be used.



Sec. 90.509  Calculation and reporting of test results.

    (a) Initial test results are calculated following the applicable 
test procedure specified in paragraph (a) of Sec. 90.508. The 
manufacturer shall round these results, in accordance with ASTM E29-93a, 
to the number of decimal places contained in the applicable emission 
standard expressed to one additional significant figure. ASTM E29-93a 
has been incorporated by reference. See Sec. 90.7.
    (b)(1) Final test results are calculated by summing the initial test 
results derived in paragraph (a) of this section for each test engine, 
dividing by the number of tests conducted on the engine, and rounding to 
the same number of decimal places contained in the applicable standard. 
For Phase 2 engines only, this result shall be expressed to one 
additional significant figure.
    (2) Final deteriorated test results (for Phase 2 test engines only) 
are calculated by applying the appropriate deterioration factors, from 
the certification process for the engine family, to the final test 
results, and rounding to the same number of decimal places contained in 
the applicable standard.
    (c) Within five working days after completion of testing of all 
engines pursuant to a test order, the manufacturer shall submit to the 
Administrator a report which includes the following information:
    (1) The location and description of the manufacturer's exhaust 
emission test facilities which were utilized to conduct testing reported 
pursuant to this section;
    (2) The applicable standards or compliance levels against which the 
engines were tested;
    (3) A description of the engine and its associated emission-related 
component selection method used;
    (4) For each test conducted;
    (i) Test engine description, including:
    (A) Configuration and engine family identification;
    (B) Year, make and build date;
    (C) Engine identification number; and
    (D) Number of hours of service accumulated on engine prior to 
testing;
    (ii) Location where service accumulation was conducted and 
description of accumulation procedure and schedule;
    (iii) Test number, date, test procedure used, initial test results 
before and after rounding and final test results for all exhaust 
emission tests, whether valid or invalid, and the reason for 
invalidation, if applicable;
    (iv) A complete description of any modification, repair, 
preparation, maintenance, and/or testing which was performed on the test 
engine and has not been reported pursuant to any other paragraph of this 
subpart and will not be performed on all other production engines;
    (v) Where an engine was deleted from the test sequence by 
authorization of the Administrator, the reason for the deletion;
    (vi) Any other information the Administrator may request relevant to 
the determination as to whether the new engines being manufactured by 
the manufacturer do in fact conform with the regulations with respect to 
which the certificate of conformity was issued; and
    (5) The following statement and endorsement:
    This report is submitted pursuant to sections 213 and 208 of the 
Clean Air Act. This Selective Enforcement Audit was conducted in 
complete conformance with all applicable regulations under 40 CFR part 
90 et seq. and the conditions of the test order. No emission-related 
changes to production processes or quality control procedures for the 
engine family tested have been made between receipt of the test order 
and conclusion of the audit. All data and information reported herein 
is, to the best of (Company Name) knowledge, true and accurate. I am 
aware of

[[Page 255]]

the penalties associated with violations of the Clean Air Act and the 
regulations thereunder. (Authorized Company Representative.)

[60 FR 34598, July 3, 1995, as amended at 64 FR 15244, Mar. 30, 1999]



Sec. 90.510  Compliance with acceptable quality level and passing and 
failing criteria for selective enforcement audits.

    (a) The prescribed acceptable quality level is 40 percent.
    (b) For Phase I engines, a failed engine is an engine whose final 
test results pursuant to Sec. 90.509(b), for one or more of the 
applicable pollutants exceed the emission standard. For Phase 2 engines, 
a failed engine is an engine whose final deteriorated test results 
pursuant to Sec. 90.509(b), for one or more of the applicable 
pollutants exceed the emission standard (FEL, if applicable).
    (c) The manufacturer shall test engines comprising the test sample 
until a pass decision is reached for all pollutants or a fail decision 
is reached for one pollutant. A pass decision is reached when the 
cumulative number of failed engines, as defined in paragraph (b) of this 
section, for each pollutant is less than or equal to the pass decision 
number, as defined in paragraph (d) of this section, appropriate to the 
cumulative number of engines tested. A fail decision is reached when the 
cumulative number of failed engines for one or more pollutants is 
greater than or equal to the fail decision number, as defined in 
paragraph (d) of this section, appropriate to the cumulative number of 
engines tested.
    (d) The pass and fail decision numbers associated with the 
cumulative number of engines tested are determined by using the tables 
in Appendix A to this subpart, ``Sampling Plans for Selective 
Enforcement Auditing of Small Nonroad Engines,'' appropriate to the 
projected sales as made by the manufacturer in its report to EPA under 
Sec. 90.505(c)(1). In the tables in Appendix A to this subpart, 
sampling plan ``stage'' refers to the cumulative number of engines 
tested. Once a pass or fail decision has been made for a particular 
pollutant, the number of engines with final test results exceeding the 
emission standard for that pollutant shall not be considered any further 
for the purposes of the audit.
    (e) Passing or failing of an SEA occurs when the decision is made on 
the last engine test required to make a decision under paragraph (c) of 
this section.
    (f) The Administrator may terminate testing earlier than required in 
paragraph (c) of this section.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15244, Mar. 30, 1999]



Sec. 90.511  Suspension and revocation of certificates of conformity.

    (a) The certificate of conformity is suspended with respect to any 
engine failing pursuant to Sec. 90.510(b) effective from the time that 
testing of that engine is completed.
    (b) The Administrator may suspend the certificate of conformity for 
a family which does not pass an SEA, pursuant to paragraph Sec. 
90.510(c), based on the first test or all tests conducted on each 
engine. This suspension will not occur before ten days after failure of 
the audit.
    (c) If the results of testing pursuant to these regulations indicate 
that engines of a particular family produced at one plant of a 
manufacturer do not conform to the regulations with respect to which the 
certificate of conformity was issued, the Administrator may suspend the 
certificate of conformity with respect to that family for engines 
manufactured by the manufacturer at all other plants.
    (d) Notwithstanding the fact that engines described in the 
application may be covered by a certificate of conformity, the 
Administrator may suspend such certificate in whole or in part if the 
Administrator finds any one of the following infractions to be 
substantial:
    (1) The manufacturer refuses to comply with the provisions of a test 
order issued by the Administrator under Sec. 90.503.
    (2) The manufacturer refuses to comply with any of the requirements 
of this subpart.
    (3) The manufacturer submits false or incomplete information in any 
report or information provided to the Administrator under this subpart.

[[Page 256]]

    (4) The manufacturer renders inaccurate any test data submitted 
under this subpart.
    (5) An EPA enforcement officer or EPA authorized representative is 
denied the opportunity to conduct activities related to entry and access 
as authorized in this subpart and a warrant or court order is presented 
to the manufacturer or the party in charge of a facility in question.
    (6) An EPA enforcement officer or EPA authorized representative is 
unable to conduct activities related to entry and access as authorized 
in Sec. 90.506 because a manufacturer has located a facility in a 
foreign jurisdiction where local law prohibits those activities.
    (e) The Administrator shall notify the manufacturer in writing of 
any suspension or revocation of a certificate of conformity in whole or 
in part, except that the certificate is immediately suspended with 
respect to any failed engines as provided for in paragraph (a) of this 
section.
    (f) The Administrator may revoke a certificate of conformity for a 
family when the certificate has been suspended pursuant to paragraph (b) 
or (c) of this section if the proposed remedy for the nonconformity, as 
reported by the manufacturer to the Administrator, is one requiring a 
design change or changes to the engine and/or emission control system as 
described in the application for certification of the affected family.
    (g) Once a certificate has been suspended for a failed engine, as 
provided for in paragraph (a) of this section, the manufacturer shall 
take the following actions:
    (1) Before the certificate is reinstated for that failed engine;
    (i) Remedy the nonconformity; and
    (ii) Demonstrate that the engine conforms to applicable standards by 
retesting the engine in accordance with these regulations.
    (2) Submit a written report to the Administrator, after successful 
completion of testing on the failed engine, which contains a description 
of the remedy and test results for each engine in addition to other 
information that may be required by this regulation.
    (h) Once a certificate for a failed family has been suspended 
pursuant to paragraph (b) or (c) of this section, the manufacturer shall 
take the following actions before the Administrator will consider 
reinstating the certificate:
    (1) Submit a written report to the Administrator which identifies 
the reason for the noncompliance of the engines, describes the proposed 
remedy, including a description of any proposed quality control and/or 
quality assurance measures to be taken by the manufacturer to prevent 
future occurrences of the problem, and states the date on which the 
remedies will be implemented.
    (2) Demonstrate that the engine family for which the certificate of 
conformity has been suspended does in fact comply with these regulations 
by testing engines selected from normal production runs of that engine 
family, at the plant(s), port facility(ies) or associated storage 
facility(ies) specified by the Administrator, in accordance with the 
conditions specified in the initial test order. If the manufacturer 
elects to continue testing individual engines after suspension of a 
certificate, the certificate is reinstated for an engine actually 
determined to be in conformance with the applicable standards through 
testing in accordance with the applicable test procedures, provided that 
the Administrator has not revoked the certificate pursuant to paragraph 
(f) of this section.
    (i) Once the certificate has been revoked for a family and the 
manufacturer desires to continue introduction into commerce of a 
modified version of that family, the following actions shall be taken 
before the Administrator may consider issuing a certificate for that 
modified family:
    (1) If the Administrator determines that the proposed change(s) in 
engine design may have an effect on emission performance deterioration, 
the Administrator shall notify the manufacturer, within five working 
days after receipt of the report in paragraph (f) of this section, 
whether subsequent testing under this subpart will be sufficient to 
evaluate the proposed change or changes or whether additional testing 
will be required; and

[[Page 257]]

    (2) After implementing the change or changes intended to remedy the 
nonconformity, the manufacturer shall demonstrate that the modified 
engine family does in fact conform with these regulations by testing 
engines selected from normal production runs of that modified engine 
family in accordance with the conditions specified in the initial test 
order. If the subsequent audit results in passing of the audit, the 
Administrator shall reissue the certificate or issue a new certificate, 
as the case may be, to include that family, provided that the 
manufacturer has satisfied the testing requirements of paragraph (i)(1) 
of this section. If the subsequent audit is failed, the revocation 
remains in effect. Any design change approvals under this subpart are 
limited to the family affected by the test order.
    (j) At any time subsequent to an initial suspension of a certificate 
of conformity for a test engine pursuant to paragraph (a) of this 
section, but not later than 15 days or such other period as may be 
allowed by the Administrator after notification of the Administrator's 
decision to suspend or revoke a certificate of conformity in whole or in 
part pursuant to paragraphs (b), (c), or (f) of this section, a 
manufacturer may request a hearing as to whether the tests have been 
properly conducted or any sampling methods have been properly applied.
    (k) Any suspension of a certificate of conformity under paragraph 
(d) of this section shall:
    (1) Be made only after the manufacturer concerned has been offered 
an opportunity for a hearing conducted in accordance with Sec. Sec. 
90.512, 90.513, and 90.514 and
    (2) Not apply to engines no longer in the possession of the 
manufacturer.
    (l) After the Administrator suspends or revokes a certificate of 
conformity pursuant to this section and prior to the commencement of a 
hearing under Sec. 90.512, if the manufacturer demonstrates to the 
Administrator's satisfaction that the decision to suspend, revoke, or 
void the certificate was based on erroneous information, the 
Administrator shall reinstate the certificate.
    (m) To permit a manufacturer to avoid storing non-test engines when 
conducting an audit of a family subsequent to a failure of an SEA and 
while reauditing the failed family it may request that the Administrator 
conditionally reinstate the certificate for that family. The 
Administrator may reinstate the certificate subject to the condition 
that the manufacturer commits to recall all engines of that family 
produced from the time the certificate is conditionally reinstated if 
the family fails the subsequent audit at the level of the standard and 
to remedy any nonconformity at no expense to the owner.



Sec. 90.512  Request for public hearing.

    (a) If the manufacturer disagrees with the Administrator's decision 
to suspend, revoke or void a certificate or disputes the basis for an 
automatic suspension pursuant to Sec. 90.511(a), the manufacturer may 
request a public hearing.
    (b) The manufacturer's request shall be filed with the Administrator 
not later than 15 days after the Administrator's notification of his or 
her decision to suspend, revoke or void, unless otherwise specified by 
the Administrator. The manufacturer shall simultaneously serve two 
copies of this request upon the Director of the Engine Programs and 
Compliance Division and file two copies with the Hearing Clerk of the 
Agency. Failure of the manufacturer to request a hearing within the time 
provided constitutes a waiver of the right to a hearing. Subsequent to 
the expiration of the period for requesting a hearing as of right, the 
Administrator may, in his or her discretion and for good cause shown, 
grant the manufacturer a hearing to contest the suspension, revocation 
or voiding.
    (c) A manufacturer shall include in the request for a public 
hearing:
    (1) A statement as to which engine configuration(s) within a family 
is to be the subject of the hearing;
    (2) A concise statement of the issues to be raised by the 
manufacturer at the hearing, except that in the case of the hearing 
requested under Sec. 90.511(j), the hearing is restricted to the 
following issues:

[[Page 258]]

    (i) Whether tests have been properly conducted (specifically, 
whether the tests were conducted in accordance with applicable 
regulations under this part and whether test equipment was properly 
calibrated and functioning);
    (ii) Whether sampling plans have been properly applied 
(specifically, whether sampling procedures specified in Appendix A of 
this subpart were followed and whether there exists a basis for 
distinguishing engines produced at plants other than the one from which 
engines were selected for testing which would invalidate the 
Administrator's decision under Sec. 90.511(c));
    (3) A statement specifying reasons why the manufacturer believes it 
will prevail on the merits of each of the issues raised; and
    (4) A summary of the evidence which supports the manufacturer's 
position on each of the issues raised.
    (d) A copy of all requests for public hearings will be kept on file 
in the Office of the Hearing Clerk and will be made available to the 
public during Agency business hours.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15245, Mar. 30, 1999]



Sec. 90.513  Administrative procedures for public hearing.

    (a) The Presiding Officer shall be an Administrative Law Judge 
appointed pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930 as 
amended).
    (b) The Judicial Officer shall be an officer or employee of the 
Agency appointed as a Judicial Officer by the Administrator, pursuant to 
this section, who shall meet the qualifications and perform functions as 
follows:
    (1) Qualifications. A Judicial Officer may be a permanent or 
temporary employee of the Agency who performs other duties for the 
Agency. The Judicial Officer shall not be employed by the Office of 
Enforcement or have any connection with the preparation or presentation 
of evidence for a hearing held pursuant to this subpart. The Judicial 
Officer shall be a graduate of an accredited law school and a member in 
good standing of a recognized Bar Association of any state or the 
District of Columbia.
    (2) Functions. The Administrator may consult with the Judicial 
Officer or delegate all or part of the Administrator's authority to act 
in a given case under this section to a Judicial Officer, provided that 
this delegation does not preclude the Judicial Officer from referring 
any motion or case to the Administrator when the Judicial Officer 
determines such referral to be appropriate.
    (c) For the purposes of this section, one or more Judicial Officers 
may be designated. As work requires, a Judicial Officer may be 
designated to act for the purposes of a particular case.
    (d) Summary decision. (1) In the case of a hearing requested under 
Sec. 90.511(j), when it clearly appears from the data and other 
information contained in the request for a hearing that no genuine and 
substantial question of fact exists with respect to the issues specified 
in Sec. 90.512(c)(2), the Administrator shall enter an order denying 
the request for a hearing and reaffirming the original decision to 
suspend or revoke a certificate of conformity, if this decision has been 
made pursuant to Sec. 90.511(e) at any time prior to the decision to 
deny the request for a hearing.
    (2) In the case of a hearing requested under Sec. 90.512 to 
challenge a proposed suspension of a certificate of conformity for the 
reasons specified in Sec. 90.511(d), when it clearly appears from the 
data and other information contained in the request for the hearing that 
no genuine and substantial question of fact exists with respect to the 
issue of whether the refusal to comply with the provisions of a test 
order or any other requirement of Sec. 90.503 was caused by conditions 
and circumstances outside the control of the manufacturer, the 
Administrator shall enter an order denying the request for a hearing and 
suspending the certificate of conformity.
    (3) Any order issued under paragraph (d)(1) or (d)(2) of this 
section has the force and effect of a final decision of the 
Administrator, as issued pursuant to Sec. 90.515.
    (4) If the Administrator determines that a genuine and substantial 
question of fact does exist with respect to any of the issues referred 
to in paragraphs (d)(1) and (d)(2) of this section, the Administrator 
shall grant the request for a hearing and publish a notice

[[Page 259]]

of public hearing in the Federal Register or by such other means as the 
Administrator finds appropriate to provide notice to the public.
    (e) Filing and service. (1) An original and two copies of all 
documents or papers required or permitted to be filed pursuant to this 
section and Sec. 90.512(c) must be filed with the Hearing Clerk of the 
Agency. Filing is considered timely if mailed, as determined by the 
postmark, to the Hearing Clerk within the time allowed by this section 
and Sec. 90.512(b). If filing is to be accomplished by mailing, the 
documents must be sent to the address set forth in the notice of public 
hearing referred to in paragraph (d)(4) of this section.
    (2) To the maximum extent possible, testimony will be presented in 
written form. Copies of written testimony will be served upon all 
parties as soon as practicable prior to the start of the hearing. A 
certificate of service will be provided on or accompany each document or 
paper filed with the Hearing Clerk. Documents to be served upon the 
Director of the Manufacturers Operations Division must be sent by 
registered mail to: Director, Manufacturers Operations Division, U.S. 
Environmental Protection Agency, 6405-J, 401 M St., SW., Washington, DC 
20460. Service by registered mail is complete upon mailing.
    (f) Computation of time. (1) In computing any period of time 
prescribed or allowed by this section, except as otherwise provided, the 
day of the act or event from which the designated period of time begins 
to run is not included. Saturdays, Sundays, and federal legal holidays 
are included in computing the period allowed for the filing of any 
document or paper, except that when the period expires on a Saturday, 
Sunday, or federal legal holiday, the period is extended to include the 
next following business day.
    (2) A prescribed period of time within which a party is required or 
permitted to do an act is computed from the time of service, except that 
when service is accomplished by mail, three days will be added to the 
prescribed period.
    (g) Consolidation. The Administrator or the Presiding Officer in his 
or her discretion may consolidate two or more proceedings to be held 
under this section for the purpose of resolving one or more issues 
whenever it appears that consolidation will expedite or simplify 
consideration of these issues. Consolidation does not affect the right 
of any party to raise issues that could have been raised if 
consolidation had not occurred.
    (h) Hearing date. To the extent possible, hearings under Sec. 
90.512 will be scheduled to commence within 14 days of receipt of the 
application in Sec. 90.512.



Sec. 90.514  Hearing procedures.

    The procedures provided in Sec. 86.1014-84 (i) to (s) apply for 
hearings requested pursuant to Sec. 90.512, suspension, revocation, or 
voiding of a certificate of conformity.



Sec. 90.515  Appeal of hearing decision.

    The procedures provided in Sec. 86.1014-84 (t) to (aa) apply for 
appeals filed with respect to hearings held pursuant to Sec. 90.514.



Sec. 90.516  Treatment of confidential information.

    The provisions for treatment of confidential information described 
in Sec. 90.4 apply to this subpart.

    Appendix A to Subpart F of Part 90--Sampling Plans for Selective 
              Enforcement Auditing of Small Nonroad Engines

                   Table 1--Sampling Plan Code Letter
------------------------------------------------------------------------
                                                                  Code
                  Annual engine family sales                     letter
------------------------------------------------------------------------
50-99........................................................         A
100-299......................................................         B
300-499......................................................          C
500 or greater...............................................         D
------------------------------------------------------------------------


               Table 2--Sample Plan for Code Letter ``A''
                      [Sample inspection criteria]
------------------------------------------------------------------------
                                        Pass   Fail          Pass   Fail
                Stage                   No.    No.   Stage   No.    No.1
------------------------------------------------------------------------
 1...................................  (\1\)  (\2\)     16      6     11
 2...................................  (\1\)  (\2\)     17      7     12
 3...................................  (\1\)  (\2\)     18      7     12
 4...................................      0  (\2\)     19      8     13
 5...................................      0  (\2\)     20      8     13
 6...................................      1      6     21      9     14
 7...................................      1      7     22     10     14
 8...................................      2      7     23     10     15
 9...................................      2      8     24     11     15
10...................................      3      8     25     11     16
11...................................      3      8     26     12     16
12...................................      4      9     27     12     17

[[Page 260]]

 
13...................................      5     10     28     13     17
14...................................      5     10     29     14     17
15...................................      6     11     30     16    17
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 3--Sampling Plan for Code Letter ``B''
                      [Sample Inspection Criteria]
------------------------------------------------------------------------
                                                          Pass     Fail
                         Stage                            No.      No.
------------------------------------------------------------------------
 1....................................................    (\1\)    (\2\)
 2....................................................    (\1\)    (\2\)
 3....................................................    (\1\)    (\2\)
 4....................................................    (\1\)    (\2\)
 5....................................................        0    (\2\)
 6....................................................        1        6
 7....................................................        1        7
 8....................................................        2        7
 9....................................................        2        8
10....................................................        3        8
11....................................................        3        9
12....................................................        4        9
13....................................................        4       10
14....................................................        5       10
15....................................................        5       11
16....................................................        6       12
17....................................................        6       12
18....................................................        7       13
19....................................................        8       13
10....................................................        8       14
21....................................................        9       14
22....................................................        9       15
23....................................................       10       15
24....................................................       10       16
25....................................................       11       16
26....................................................       11       17
27....................................................       12       17
28....................................................       12       18
29....................................................       13       18
30....................................................       13       19
31....................................................       14       19
32....................................................       14       20
33....................................................       15       20
34....................................................       16       21
35....................................................       16       21
36....................................................       17       22
37....................................................       17       22
38....................................................       18       22
39....................................................       18       22
40....................................................       21      22
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 4--Sampling Plan for Code Letter ``C''
                      [Sample Inspection Criteria]
------------------------------------------------------------------------
                                                          Pass     Fail
                         Stage                            No.      No.
------------------------------------------------------------------------
 1....................................................    (\1\)    (\2\)
 2....................................................    (\1\)    (\2\)
 3....................................................    (\1\)    (\2\)
 4....................................................    (\1\)    (\2\)
 5....................................................        0    (\2\)
 6....................................................        0        6
 7....................................................        1        7
 8....................................................        2        7
 9....................................................        2        8
10....................................................        3        9
11....................................................        3        9
12....................................................        4       10
13....................................................        4       10
14....................................................        5       11
15....................................................        5       11
16....................................................        6       12
17....................................................        6       12
18....................................................        7       13
19....................................................        7       13
20....................................................        8       14
21....................................................        8       14
22....................................................        9       15
23....................................................       10       15
24....................................................       10       16
25....................................................       11       16
26....................................................       11       17
27....................................................       12       17
28....................................................       12       18
29....................................................       13       18
30....................................................       13       19
31....................................................       14       19
32....................................................       14       20
33....................................................       15       20
34....................................................       15       21
35....................................................       16       21
36....................................................       16       22
37....................................................       17       22
38....................................................       18       23
39....................................................       18       23
40....................................................       19       24
41....................................................       19       24
42....................................................       20       25
43....................................................       20       25
44....................................................       21       26
45....................................................       21       27
46....................................................       22       27
47....................................................       22       27
48....................................................       23       27
49....................................................       23       27
50....................................................       26       27
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.


              Table 5--Sampling Plan for Code Letter ``D''
                      [Sample Inspection Criteria]
------------------------------------------------------------------------
                                                          Pass     Fail
                         Stage                            No.      No.
------------------------------------------------------------------------
 1....................................................    (\1\)    (\2\)
 2....................................................    (\1\)    (\2\)
 3....................................................    (\1\)    (\2\)
 4....................................................    (\1\)    (\2\)
 5....................................................        0    (\2\)
 6....................................................        0        6
 7....................................................        1        7
 8....................................................        2        8
 9....................................................        2        8
10....................................................        3        9
11....................................................        3        9

[[Page 261]]

 
12....................................................        4       10
13....................................................        4       10
14....................................................        5       11
15....................................................        5       11
16....................................................        6       12
17....................................................        6       12
18....................................................        7       13
19....................................................        7       13
20....................................................        8       14
21....................................................        8       14
22....................................................        9       15
23....................................................        9       15
24....................................................       10       16
25....................................................       11       16
26....................................................       11       17
27....................................................       12       17
28....................................................       12       18
29....................................................       13       19
30....................................................       13       19
31....................................................       14       20
32....................................................       14       20
33....................................................       15       21
34....................................................       15       21
35....................................................       16       22
36....................................................       16       22
37....................................................       17       23
38....................................................       17       23
39....................................................       18       24
40....................................................       18       24
41....................................................       19       25
42....................................................       19       26
43....................................................       20       26
44....................................................       21       27
45....................................................       21       27
46....................................................       22       28
47....................................................       22       28
48....................................................       23       29
49....................................................       23       29
50....................................................       24       30
51....................................................       24       30
52....................................................       25       31
53....................................................       25       31
54....................................................       26       32
55....................................................       26       32
56....................................................       27       33
57....................................................       27       33
58....................................................       28       33
59....................................................       28       33
60....................................................       32       33
------------------------------------------------------------------------
\1\ Test sample passing not permitted at this stage.
\2\ Test sample failure not permitted at this stage.



             Subpart G_Importation of Nonconforming Engines



Sec. 90.601  Applicability.

    (a) Except where otherwise indicated, this subpart is applicable to 
engines and vehicles which are offered for importation or imported into 
the United States and for which the Administrator has promulgated 
regulations under subpart B of this part prescribing emission standards, 
but which are not covered by certificates of conformity issued under 
section 213 and section 206(a) of the Clean Air Act (that is, which are 
nonconforming engines as defined below) and under subpart B of this part 
at the time of importation or conditional importation, as applicable. 
Compliance with regulations under this subpart shall not relieve any 
person or entity from compliance with other applicable provisions of the 
Clean Air Act.
    (b) Regulations prescribing further procedures for the importation 
of small SI engines into the Customs territory of the United States, as 
defined in 19 U.S.C. 1202, are set forth in U.S. Customs Service 
regulations.



Sec. 90.602  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart.
    Certificate of conformity. The document issued by the Administrator 
under section 213 and section 206(a) of the Act.
    Nonconforming engine. An engine which is not covered by a 
certificate of conformity prior to final or conditional admission (or 
for which such coverage has not been adequately demonstrated to EPA).
    Original engine manufacturer (OEM). The entity which originally 
manufactured the engine.
    Original production (OP) year. The calendar year in which the engine 
was originally produced by the OEM.
    Original production (OP) years old. The age of an engine as 
determined by subtracting the original production year of the engine 
from the calendar year of importation.
    Production changes. Those changes in the engine configuration, 
equipment or calibration which are made by an OEM in the course of 
engine production and required to be reported under Sec. 90.123.
    United States. United States includes the Customs territory of the 
United States as defined in 19 U.S.C. 1202, and the Virgin Islands, 
Guam, American Samoa and the Commonwealth of the Northern Mariana 
Islands.

[[Page 262]]



Sec. 90.603  [Reserved]



Sec. 90.604  General requirements.

    (a) A nonconforming engine offered for importation into the United 
States may only be imported for purposes other than resale under Sec. 
90.611, or under the provisions of Sec. 90.612, provided that an 
exemption or exclusion is granted by the Administrator.
    (b) Final admission shall not be granted unless:
    (1) The engine is imported for purposes other than resale under 
Sec. 90.611; or
    (2) The engine is exempted or excluded under Sec. 90.612.
    (c) An engine offered for importation may be admitted into the 
United States. In order to obtain admission, the importer must submit to 
the Administrator a written request for approval containing the 
following:
    (1) Identification of the importer and the importer's address, 
telephone number, and taxpayer identification number;
    (2) Identification of the engine owner, the owner's address, 
telephone number, and taxpayer identification number;
    (3) Identification of the engine including make, model, 
identification number, and original production year;
    (4) Information indicating under what provision of these regulations 
the engine is to be imported;
    (5) Identification of the place where the subject engine is to be 
stored until EPA approval of the importer's application to the 
Administrator for final admission;
    (6) Authorization for EPA enforcement officers to conduct 
inspections or testing otherwise permitted by the Act or regulations 
thereunder; and
    (7) Such other information as is deemed necessary by the 
Administrator.



Sec. 90.605-90.610  [Reserved]



Sec. 90.611  Importation for purposes other than resale.

    (a) Any individual may import on a one-time basis three or fewer 
nonconforming engines for purposes other than resale. Such importation 
by individuals is permitted without modification to the engines and 
without prior written approval of EPA. Importations under this provision 
shall be made by completing such applications as required by the 
Administrator. Such applications shall contain:
    (1) Identification of the importer of the engine and the importer's 
address, telephone number, and taxpayer identification number;
    (2) Identification of the engine owner, the owner's address, 
telephone number, and taxpayer identification number;
    (3) The number of engines imported under Sec. 90.611 by the 
individual;
    (4) A statement that the individual has not previously imported any 
engines under Sec. 90.611;
    (5) A statement that the individual is not importing the engines for 
the purpose of resale;
    (6) For each engine imported, identification of the engine including 
make, model, identification number, and original production year;
    (7) Information indicating under what provision of these regulations 
the engine is to be imported;
    (8) Authorization for EPA enforcement officers to conduct 
inspections permitted by the Act or regulations thereunder;
    (9) Such other information as is deemed necessary by the 
Administrator.
    (b) EPA will not require a U.S. Customs Service bond for a 
nonconforming engine which is imported under Sec. 90.611.



Sec. 90.612  Exemptions and exclusions.

    (a) Individuals shall be eligible for importing engines into the 
United States under the provisions of this section, unless otherwise 
specified.
    (b) Notwithstanding other requirements of this subpart, an engine 
entitled to one of the temporary exemptions of this paragraph may be 
conditionally admitted into the United States if prior written approval 
for the conditional admission is obtained from the Administrator. 
Conditional admission is to be under U.S. Customs Service bond. The 
Administrator may request that the U.S. Customs Service require a 
specific bond amount to ensure compliance with the requirements of the 
Act and this subpart. A written request for approval from the 
Administrator is to contain the identification

[[Page 263]]

required in Sec. 90.604(c) and information that demonstrates that the 
importer is entitled to the exemption. Noncompliance with provisions of 
this section may result in the forfeiture of the total amount of the 
bond or exportation of the engine. The following temporary exemptions 
are permitted by this paragraph:
    (1) Exemption for repairs or alterations. Upon written approval by 
EPA, an owner of engines may conditionally import under bond such 
engines solely for purpose of repair(s) or alteration(s). The engines 
may not be operated in the United States other than for the sole purpose 
of repair or alteration. They may not be sold or leased in the United 
States and are to be exported upon completion of the repair(s) or 
alteration(s).
    (2) Testing exemption. A test engine may be conditionally imported 
by a person subject to the requirements of Sec. 90.905. A test engine 
may be operated in the United States provided that the operation is an 
integral part of the test. This exemption is limited to a period not 
exceeding one year from the date of importation unless a request is made 
by the appropriate importer concerning the engine in accordance with 
Sec. 90.905(f) for a subsequent one-year period.
    (3) Display exemptions.
    (i) An engine intended solely for display may be conditionally 
imported subject to the requirements of Sec. 90.907.
    (ii) A display engine may be imported by any person for purposes 
related to a business or the public interest. Such purposes do not 
include collections normally inaccessible or unavailable to the public 
on a daily basis, display of an engine at a dealership, private use, or 
other purpose that the Administrator determines is not appropriate for 
display exemptions. A display engine may not be sold in the United 
States and may not be operated in the United States except for the 
operation incident and necessary to the display purpose.
    (iii) A temporary display exemption will be granted for 12 months 
(one year) or for the duration of the display purpose, whichever is 
shorter. Two extensions of up to 12 months (one year) each are available 
upon approval by the Administrator. In no circumstances, however, may 
the total period of exemption exceed 36 months (three years).
    (c) Notwithstanding any other requirement of this subpart, an engine 
may be finally admitted into the United States under this paragraph if 
prior written approval for such final admission is obtained from the 
Administrator. Conditional admission of these engines under this subpart 
is not permitted for the purpose of obtaining such written approval from 
the Administrator. A request for approval is to contain the 
identification information required in Sec. 90.604(c) and information 
that demonstrates that the importer is entitled to the exemption or 
exclusion. The following exemptions or exclusions are permitted by this 
paragraph:
    (1) National security exemption. An engine may be imported under the 
national security exemption found at Sec. 90.908.
    (2) Hardship exemption. The Administrator may exempt on a case-by-
case basis an engine from federal emission requirements to accommodate 
unforeseen cases of extreme hardship or extraordinary circumstances.
    (3) Exemption for engines identical to United States certified 
versions.
    (i) A person (including businesses) is eligible for importing an 
engine into the United States under the provisions of this paragraph. An 
exemption will be granted if the engine:
    (A) is owned by the importer;
    (B) is not offered for importation for the purpose of resale; and
    (C) is proven to be identical, in all material respects, to an 
engine certified by the original equipment manufacturer (OEM) for sale 
in the United States or is proven to have been modified to be identical, 
in all material respects, to an engine certified by the OEM for sale in 
the United States according to complete written instructions provided by 
the OEM's United States representative, or his/her designee.
    (ii) Proof of Conformity. (A) Documentation submitted pursuant to 
this section for the purpose of proving conformity of individual engines 
is to contain sufficiently organized data or evidence demonstrating that 
the engine

[[Page 264]]

identified pursuant to Sec. 90.604(c) is identical, in all material 
respects, to an engine identified in an OEM's application for 
certification.
    (B) If the documentation does not contain all the information 
required by this part, or is not sufficiently organized, EPA will notify 
the importer of any areas of inadequacy, and that the documentation will 
not receive further consideration until the required information or 
organization is provided.
    (C) If EPA determines that the documentation does not clearly or 
sufficiently demonstrate that an engine is eligible for importation, EPA 
will notify the importer in writing.
    (D) If EPA determines that the documentation clearly and 
sufficiently demonstrates that an engine is eligible for importation, 
EPA will grant approval for importation and notify the importer in 
writing.
    (d) Foreign diplomatic and military personnel may import a 
nonconforming engine without bond. At the time of admission, the 
importer shall submit to the Administrator the written report required 
in Sec. 90.604(a) and a statement from the U.S. Department of State 
confirming qualification for this exemption. Foreign military personnel 
may, in lieu of a statement from the U.S. Department of State, submit to 
the Administrator a copy of their orders for duty in the United States. 
The engine may not be sold in the United States and must be exported if 
the individual's diplomatic status is no longer applicable, as 
determined by the Department of State, or the foreign military orders 
for duty in the United States are no longer applicable, unless 
subsequently brought into conformity with U.S. emission requirements.
    (e) Competition exclusion. A nonconforming engine may be 
conditionally admitted by any person provided the importer demonstrates 
to the Administrator that the engine is used to propel a nonroad vehicle 
used solely for competition and obtains prior written approval from the 
Administrator. A nonconforming engine imported pursuant to this 
paragraph may not be operated in the United States except for that 
operation incident and necessary for the competition purpose, unless 
subsequently brought into conformity with United States emission 
requirements in accordance with Sec. 90.612(c)(3).
    (f) Exclusions/exemptions based on date of original manufacture. (1) 
Notwithstanding any other requirements of this subpart, engines 
originally manufactured prior to model year 1997 are excluded from the 
requirements of the Act in accordance with section 213 of the Act and 
may be imported by any person.
    (2) Notwithstanding other requirements of this subpart, an engine 
not subject to an exclusion under Sec. 90.612(f)(1) but greater than 20 
original production (OP) years old is entitled to an exemption from the 
requirements of the Act, provided that it has not been modified in those 
20 OP years. At the time of admission, the importer shall submit to the 
Administrator the written report required in Sec. 90.604(c).
    (g) Applications for exemptions and exclusions provided for in 
paragraphs (b), (c), and (e) of this section are to be mailed to: U.S. 
Environmental Protection Agency, Office of Mobile Sources, Engine 
Compliance Programs Group (6403-J), Washington, DC 20460, Attention: 
Imports.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15245, Mar. 30, 1999]



Sec. 90.613  Prohibited acts; penalties.

    (a) The importation of an engine which is not covered by a 
certificate of conformity other than in accordance with this subpart and 
the entry regulations of the U.S. Customs Service is prohibited. Failure 
to comply with this subpart is a violation of section 213(d) and section 
203 of the Act.
    (b) Unless otherwise permitted by this subpart, during a period of 
conditional admission, the importer of an engine shall not:
    (1) Register, license, or operate the engine in the United States; 
or
    (2) Sell or offer the engine for sale.
    (c) An engine conditionally admitted pursuant to Sec. 90.612(b), 
(d), or (e) and not granted final admission within the period of time 
specified for such conditional admission in the written prior approval 
obtained from EPA, or within such additional time as designated by the 
Administrator, is deemed to be unlawfully imported into the United 
States in violation of section 213(d) and

[[Page 265]]

section 203 of the Act, unless the engine has been delivered to the U.S. 
Customs Service for export or other disposition under applicable Customs 
laws and regulations. An engine not so delivered is subject to seizure 
by the U.S. Customs Service.
    (d) An importer who violates section 213(d) and section 203 of the 
Act is subject to a civil penalty under section 205 of the Act of not 
more than $25,000 for each engine subject to the violation. In addition 
to the penalty provided in the Act, where applicable, under the 
exemption provisions of Sec. 90.612(b), a person or entity who fails to 
deliver the engine to the U.S. Customs Service is liable for liquidated 
damages in the amount of the bond required by applicable Customs laws 
and regulations.



Sec. 90.614  Treatment of confidential information.

    The provisions for treatment of confidential information described 
in Sec. 90.4 apply to this subpart.



         Subpart H_Manufacturer Production Line Testing Program

    Source: 64 FR 15245, Mar. 30, 1999, unless otherwise noted.



Sec. 90.701  Applicability.

    (a) The requirements of this subpart are applicable to all Phase 2 
nonroad handheld and nonhandheld engines families subject to the 
provisions of subpart A of this part unless otherwise exempted in this 
subpart.
    (b) The procedures described in this subpart are optional for small 
volume engine manufacturers and small volume engine families as defined 
in this part. Small volume engine manufacturers and small volume engine 
families for which the manufacturer opts not to conduct testing under 
this subpart pursuant to this paragraph shall remain subject to the 
Selective Enforcement Auditing procedures of subpart F of this part.
    (c) Engine families for which the manufacturer opts to conduct in-
use testing pursuant to subpart M of this part are exempt from this 
subpart, but shall remain subject to the Selective Enforcement Auditing 
procedures of subpart F of this part.

[64 FR 15245, Mar. 30, 1999, as amended at 65 FR 24313, Apr. 25, 2000



Sec. 90.702  Definitions.

    The definitions in subpart A of this part apply to this subpart. The 
following definitions also apply to this subpart.
    Configuration means any subclassification of an engine family which 
can be described on the basis of gross power, emission control system, 
governed speed, injector size, engine calibration, and other parameters 
as designated by the Administrator.
    Test sample means the collection of engines selected from the 
population of an engine family for emission testing.



Sec. 90.703  Production line testing by the manufacturer.

    (a) Manufacturers of small SI engines shall test production line 
engines from each engine family according to the provisions of this 
subpart.
    (b) Production line engines must be tested using the test procedure 
specified in subpart E of this part except that the Administrator may 
approve minor variations that the Administrator deems necessary to 
facilitate efficient and economical testing where the manufacturer 
demonstrates to the satisfaction of the Administrator that such 
variations will not significantly impact the test results. Any 
adjustable engine parameter must be set to values or positions that are 
within the range recommended to the ultimate purchaser, unless otherwise 
specified by the Administrator. The Administrator may specify values 
within or without the range recommended to the ultimate purchaser.



Sec. 90.704  Maintenance of records; submission of information.

    (a) The manufacturer of any new small SI engine subject to any of 
the provisions of this subpart must establish, maintain, and retain the 
following adequately organized and indexed records:
    (1) General records. A description of all equipment used to test 
engines in accordance with Sec. 90.703. Subpart D of this part sets 
forth relevant equipment

[[Page 266]]

requirements in Sec. Sec. 90.304, 90.305, 90.306, 90.307, 90.308, 
90.309, 90.310 and 90.313.
    (2) Individual records. These records pertain to each production 
line test conducted pursuant to this subpart and include:
    (i) The date, time, and location of each test;
    (ii) The number of hours of service accumulated on the test engine 
when the test began and ended;
    (iii) The names of all supervisory personnel involved in the conduct 
of the production line test;
    (iv) A record and description of any adjustment, repair, preparation 
or modification performed prior to and/or subsequent to approval by the 
Administrator pursuant to Sec. 90.707(b)(1), 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;
    (v) 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;
    (vi) A complete record of all emission tests performed pursuant to 
this subpart (except tests performed directly by EPA), including all 
individual worksheets and/or other documentation relating to each test, 
or exact copies thereof, in accordance with the record requirements 
specified in Sec. Sec. 90.405 and 90.406; and
    (vii) A brief description of any significant events during testing 
not otherwise described under paragraph (a)(2) of this section, 
commencing with the test engine selection process and including such 
extraordinary events as engine damage during shipment.
    (3) The manufacturer must establish, maintain and retain general 
records, pursuant to paragraph (a)(1) of this section, for each test 
cell that can be used to perform emission testing under this subpart.
    (b) The manufacturer must retain all records required to be 
maintained under this subpart for a period of one year after completion 
of all testing required for the engine family in a model year. Records 
may be retained as hard copy (i.e., on paper) or reduced to microfilm, 
floppy disk, or some other method of data storage, depending upon the 
manufacturer's record retention procedure; provided, that in every case, 
all the information contained in the hard copy is retained.
    (c) The manufacturer must, upon request by the Administrator, submit 
the following information with regard to engine production:
    (1) Projected production or actual production for each engine 
configuration within each engine family for which certification has been 
requested and/or approved;
    (2) Number of engines, by configuration and assembly plant, 
scheduled for production or actually produced.
    (d) Nothing in this section limits the Administrator's discretion to 
require a manufacturer to establish, maintain, retain or submit to EPA 
information not specified by this section and otherwise permitted by 
law.
    (e) All reports, submissions, notifications, and requests for 
approval made under this subpart must be addressed to: Manager, Engine 
Compliance Programs Group (6403J), U.S. Environmental Protection Agency, 
Washington, DC 20460.
    (f) The manufacturer must electronically submit the results of its 
production line testing using EPA's standardized format. The 
Administrator may exempt manufacturers from this requirement upon 
written request with supporting justification.



Sec. 90.705  Right of entry and access.

    (a) To allow the Administrator to determine whether a manufacturer 
is complying with the provisions of this subpart or other subparts of 
this part, one or more EPA enforcement officers may enter during 
operating hours and upon presentation of credentials any of the 
following places:
    (1) Any facility, including ports of entry, where any engine to be 
introduced into commerce or any emission-related component is 
manufactured, assembled, or stored;
    (2) Any facility where any test conducted pursuant to this or any 
other subpart or any procedure or activity connected with such test is 
or was performed;
    (3) Any facility where any test engine is present; and

[[Page 267]]

    (4) Any facility where any record required under Sec. 90.704 or 
other document relating to this subpart or any other subpart of this 
part is located.
    (b) Upon admission to any facility referred to in paragraph (a) of 
this section, EPA enforcement officers are authorized to perform the 
following inspection-related activities:
    (1) To inspect and monitor any aspect of engine manufacture, 
assembly, storage, testing and other procedures, and to inspect and 
monitor the facilities in which these procedures are conducted;
    (2) To inspect and monitor any aspect of engine test procedures or 
activities, including test engine selection, preparation and service 
accumulation, emission test cycles, and maintenance and verification of 
test equipment calibration;
    (3) To inspect and make copies of any records or documents related 
to the assembly, storage, selection, and testing of an engine; and
    (4) To inspect and photograph any part or aspect of any engine and 
any component used in the assembly thereof that is reasonably related to 
the purpose of the entry.
    (c) EPA enforcement officers are authorized to obtain reasonable 
assistance without cost from those in charge of a facility to help the 
officers perform any function listed in this subpart and they are 
authorized to request the manufacturer to make arrangements with those 
in charge of a facility operated for the manufacturer's benefit to 
furnish reasonable assistance without cost to EPA.
    (1) Reasonable assistance includes, but is not limited to, clerical, 
copying, interpretation and translation services; the making available 
on an EPA enforcement officer's request of personnel of the facility 
being inspected during their working hours to inform the EPA enforcement 
officer of how the facility operates and to answer the officer's 
questions; and the performance on request of emission tests on any 
engine which is being, has been, or will be used for production line or 
other testing.
    (2) By written request, signed by the Assistant Administrator for 
Air and Radiation, and served on the manufacturer, a manufacturer may be 
compelled to cause the personal appearance of any employee at such a 
facility before an EPA enforcement officer. Any such employee who has 
been instructed by the manufacturer to appear will be entitled to be 
accompanied, represented, and advised by counsel.
    (d) EPA enforcement officers are authorized to seek a warrant or 
court order authorizing the EPA enforcement officers to conduct the 
activities authorized in this section, as appropriate, to execute the 
functions specified in this section. EPA enforcement officers may 
proceed ex parte to obtain a warrant or court order whether or not the 
EPA enforcement officers first attempted to seek permission from the 
manufacturer or the party in charge of the facility(ies) in question to 
conduct the activities authorized in this section.
    (e) A manufacturer must permit an EPA enforcement officer(s) who 
presents a warrant or court order to conduct the activities authorized 
in this section as described in the warrant or court order. The 
manufacturer must also cause those in charge of its facility or a 
facility operated for its benefit to permit entry and access as 
authorized in this section pursuant to a warrant or court order whether 
or not the manufacturer controls the facility. In the absence of a 
warrant or court order, an EPA enforcement officer(s) may conduct the 
activities authorized in this section only upon the consent of the 
manufacturer or the party in charge of the facility(ies) in question.
    (f) It is not a violation of this part or the Clean Air Act for any 
person to refuse to permit an EPA enforcement officer(s) to conduct the 
activities authorized in this section if the officer(s) appears without 
a warrant or court order.
    (g) A manufacturer is responsible for locating its foreign testing 
and manufacturing facilities in jurisdictions where local law does not 
prohibit an EPA enforcement officer(s) from conducting the entry and 
access activities specified in this section. EPA will not attempt to 
make any inspections which it has been informed local foreign law 
prohibits.

[[Page 268]]



Sec. 90.706  Engine sample selection.

    (a) At the start of each model year, the small SI engine 
manufacturer will begin to randomly select engines from each engine 
family for production line testing at a rate of one percent of the 
projected production of that family. Each engine will be selected from 
the end of the assembly line.
    (1) For newly certified engine families: After two engines are 
tested, the manufacturer will calculate the required sample size for the 
model year for each pollutant (HC+NOX(NMHC+NOX) 
and CO) according to the Sample Size Equation in paragraph (b) of this 
section.
    (2) For carry-over engine families: After one engine is tested, the 
manufacturer will combine the test with the last test result from the 
previous model year and then calculate the required sample size for the 
model year for each pollutant according to the Sample Size Equation in 
paragraph (b) of this section.
    (b)(1) Manufacturers will calculate the required sample size for the 
model year for each pollutant for each engine family using the Sample 
Size Equation in this paragraph. N is calculated for each pollutant from 
each test result. The higher of the two values for the number N 
indicates the number of tests required for the model year for an engine 
family. N is recalculated for each pollutant after each test. Test 
results used to calculate the variables in the following Sample Size 
Equation must be final deteriorated test results as specified in Sec. 
90.709(c).
[GRAPHIC] [TIFF OMITTED] TR30MR99.001

Where:

N