[Title 40 CFR ]
[Code of Federal Regulations (annual edition) - July 1, 2008 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

          40


          Parts 87 to 99

          Revised as of July 1, 2008


          Protection of Environment
          



________________________

          Containing a codification of documents of generalapplicability 
          and future effect

          As of July 1, 2008
          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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[[Page iii]]




                            Table of Contents



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

  Title 40:
          Chapter I--Environmental Protection Agency 
          (Continued)                                                3
  Finding Aids:
      Material Approved for Incorporation by Reference........    1045
      Table of CFR Titles and Chapters........................    1049
      Alphabetical List of Agencies Appearing in the CFR......    1069
      List of CFR Sections Affected...........................    1079

[[Page iv]]





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

                     Cite this Code: CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and sectionnumber. 
                       Thus, 40 CFR 87.1 refers 
                       to title 40, part 87, 
                       section1.

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

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of thegeneral and 
permanent rules published in the Federal Register by theExecutive 
departments and agencies of the Federal Government. The Codeis divided 
into 50 titles which represent broad areas subject toFederal regulation. 
Each title is divided into chapters which usuallybear the name of the 
issuing agency. Each chapter is furthersubdivided into parts covering 
specific regulatory areas.
    Each volume of the Code is revised at least once each calendaryear 
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 eachvolume.

LEGAL STATUS

    The contents of the Federal Register arerequired to be judicially 
noticed (44 U.S.C. 1507). The Code ofFederal Regulations is prima facie 
evidence of the text of theoriginal documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code ofFederal Regulations is kept up to date by the individual 
issues of theFederal Register. These two publications must be used 
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    To determine whether a Code volume has been amended since 
itsrevision date (in this case, July 1, 2008), consult the ``Listof CFR 
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daily Federal Register. These twolists will identify the Federal 
Register page number of the latestamendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Codecontains amendments published in the Federal 
Register since the lastrevision of that volume of the Code. Source 
citations for theregulations are referred to by volume number and page 
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datecertain for expiration, an appropriate note will be inserted 
followingthe text.

OMB CONTROL NUMBERS

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

[[Page vi]]

Manyagencies have begun publishing numerous OMB control numbers 
asamendments to existing regulations in the CFR. These OMB numbers 
areplaced as close as possible to the applicable recordkeeping 
orreporting requirements.

OBSOLETE PROVISIONS

    Provisions that become obsoletebefore the revision date stated on 
the cover of each volume are notcarried. Code users may find the text of 
provisions in effect on agiven date in the past by using the appropriate 
numerical list ofsections affected. For the period before January 1, 
1986, consulteither the List of CFR Sections Affected, 1949-1963,1964-
1972, or 1973-1985, published in seven separatevolumes. For the period 
beginning January 1, 1986, a ``List ofCFR Sections Affected'' is 
published at the end of each CFRvolume.

INCORPORATION BY REFERENCE

    What is incorporation byreference? Incorporation by reference was 
established by statuteand allows Federal agencies to meet the 
requirement to publishregulations in the Federal Register by referring 
to materials alreadypublished elsewhere. For an incorporation to be 
valid, the Director ofthe Federal Register must approve it. The legal 
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if itwere published in full in the Federal Register (5 U.S.C. 552(a)). 
Thismaterial, like any other properly issued regulation, has the force 
oflaw.
    What is a proper incorporation by reference? The Director ofthe 
Federal Register will approve an incorporation by reference onlywhen the 
requirements of 1 CFR part 51 are met. Some of the elementson which 
approval is based are:
    (a) The incorporation will substantially reduce the volume 
ofmaterial published in the Federal Register.
    (b) The matter incorporated is in fact available to the 
extentnecessary to afford fairness and uniformity in the 
administrativeprocess.
    (c) The incorporating document is drafted and submitted 
forpublication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume 
arelisted in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot befound? If 
you have any problem locating or obtaining a copy ofmaterial listed in 
the Finding Aids of this volume as an approvedincorporation by 
reference, please contact the agency that issued theregulation 
containing that incorporation. If, after contacting theagency, you find 
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Register, National Archives and RecordsAdministration, Washington DC 
20408, or call 202-741-6010.

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index is based on a consolidation of the ``Contents''entries in the 
daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyedto 
the revision dates of the 50 CFR titles.

[[Page vii]]


REPUBLICATION OF MATERIAL

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    Raymond A. Mosley,
    Director,
    Office of the Federal Register.
    July 1, 2008.







[[Page ix]]



                               THIS TITLE

    Title 40--Protection of Environment is composed ofthirty-one 
volumes. The parts in these volumes are arranged in thefollowing order: 
parts 1-49, parts 50-51, part 52(52.01-52.1018), part 52 (52.1019-End), 
parts53-59, part 60 (60.1-End), part 60 (Appendices), parts61-62, 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, parts81-84, part 85-Sec.  86.599-99, part 
86(86.600-1-End), parts 87-99, parts100-135, parts 136-149, parts 150-
189, parts190-259, parts 260-265, parts 266-299, parts300-399, parts 
400-424, parts 425-699, parts700-789, and part 790 to End. The contents 
of these volumesrepresent all current regulations codified under this 
title of the CFRas of July 1, 2008.

    Chapter I--Environmental Protection Agency appears inall thirty-one 
volumes. Regulations issued by the Council onEnvironmental Quality, 
including an Index to Parts 1500 through 1508,appear in the volume 
containing part 790 to End. The OMB controlnumbers for title 40 appear 
in Sec.  9.1 of this chapter.

    For this volume, Susannah C. Hurley and Moja N. Mwaniki wereChief 
Editors. The Code of Federal Regulations publication program isunder the 
direction of Michael L. White, assisted by Ann Worley.


[[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 Iappear at 65 FR 
47324, 47325, Aug. 2, 2000; 66 FR 34375, 34376, June28, 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....          38
90              Control of emissions from nonroad spark-
                    ignition engines at orbelow 19 kilowatts         171
91              Control of emissions from marine spark-
                    ignition engines........................         298
92              Control of air pollution from locomotives 
                    and locomotive engines..................         405
93              Determining conformity of Federal actions to 
                    State or Federalimplementation plans....         552
94              Control of air pollution from marine 
                    compression-ignition engines............         601
95              Mandatory patent licenses...................         686
96               NOX Budget Trading Program and 
                    Cair NOXand SO2 
                    Trading Programs for State 
                    Implementation Plans....................         688
97              Federal NOX Budget Trading 
                    Program and CAIRNOX and 
                    SO2 Trading Programs.........         853
98-99

[Reserved]

[[Page 5]]



                  SUBCHAPTER C_AIR PROGRAMS (CONTINUED)





PART 87_CONTROL OF AIR POLLUTION FROMAIRCRAFT 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.
87.8 Incorporation by reference.

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

87.10 Applicability.
87.11 Standard for fuel venting emissions.

      Subpart C_Exhaust Emissions (New Aircraft Gas TurbineEngines)

87.20 Applicability.
87.21 Standards for exhaust emissions.

    Subpart D_Exhaust Emissions (In-Use Aircraft Gas TurbineEngines)

87.30 Applicability.
87.31 Standards for exhaust emissions.

Subparts E-F [Reserved]

Subpart G_Test Procedures for Engine Exhaust GaseousEmissions (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 measuringgaseous 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 smokeexhaust 
          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 otherwisenoted.



                      Subpart A_General Provisions



Sec. 87.1  Definitions.

    (a) As used in this part, all terms not defined herein shall havethe 
meaning given them in the Act:
    Act means the Clean Air Act, as amended (42 U.S.C. 7401et seq.).
    Administrator means the Administrator of the EnvironmentalProtection 
Agency and any other officer or employee of theEnvironmental Protection 
Agency to whom authority involved may bedelegated.
    Aircraft means any airplane for which a U.S. standardairworthiness 
certificate or equivalent foreign airworthinesscertificate is issued.
    Aircraft engine means a propulsion engine which is installedin or 
which is manufactured for installation in an aircraft.
    Aircraft gas turbine engine means a turboprop, turbofan, orturbojet 
aircraft engine.
    Class TP means all aircraft turboprop engines.
    Class TF means all turbofan or turbojet aircraft engines oraircraft 
engines designed for applications that otherwise would havebeen 
fulfilled by turbojet and turbofan engines except engines ofclass T3, 
T8, and TSS.
    Class T3 means all aircraft gas turbine engines of the JT3Dmodel 
family.
    Class T8 means all aircraft gas turbine engines of the JT8Dmodel 
family.
    Class TSS means all aircraft gas turbine engines employedfor 
propulsion of aircraft designed to operate at supersonic flightspeeds.
    Commercial aircraft engine means any aircraft engine used orintended 
for use by an ``air carrier,'' (including thoseengaged in ``intrastate 
air transportation'') or a``commercial operator'' (including those 
engaged in``intrastate

[[Page 6]]

air transportation'') as these terms aredefined in the Federal Aviation 
Act and the Federal AviationRegulations.
    Commercial aircraft gas turbine engine means a turboprop,turbofan, 
or turbojet commercial aircraft engine.
    Emission measurement system means all of the equipmentnecessary to 
transport and measure the level of emissions. Thisincludes the sample 
system and the instrumentation system.
    Engine Model means all commercial aircraft turbine engineswhich are 
of the same general series, displacement, and designcharacteristics and 
are usually approved under the same typecertificate.
    Exhaust emissions means substances emitted to the atmospherefrom the 
exhaust discharge nozzle of an aircraft or aircraft engine.
    Fuel venting emissions means raw fuel, exclusive ofhydrocarbons in 
the exhaust emissions, discharged from aircraft gasturbine engines 
during all normal ground and flight operations.
    In-use aircraft gas turbine engine means an aircraft gasturbine 
engine which is in service.
    New aircraft turbine engine means an aircraft gas turbineengine 
which has never been in service.
    Power setting means the power or thrust output of an enginein terms 
of kilonewtons thrust for turbojet and turbofan engines andshaft power 
in terms of kilowatts for turboprop engines.
    Rated output (rO) means the maximum power/thrust availablefor 
takeoff at standard day conditions as approved for the engine bythe 
Federal Aviation Administration, including reheat contributionwhere 
applicable, but excluding any contribution due to waterinjection.
    Rated pressure ratio (rPR) means the ratio between thecombustor 
inlet pressure and the engine inlet pressure achieved by anengine 
operating at rated output.
    Sample system means the system which provides for thetransportation 
of the gaseous emission sample from the sample probe tothe inlet of the 
instrumentation system.
    Secretary means the Secretary of Transportation and anyother officer 
or employee of the Department of Transportation to whomthe authority 
involved may be delegated.
    Shaft power means only the measured shaft power output of aturboprop 
engine.
    Smoke means the matter in exhaust emissions which obscuresthe 
transmission of light.
    Smoke number (SN) means the dimensionless term quantifyingsmoke 
emissions.
    Standard day conditions means standard ambient conditions 
asdescribed in the United States Standard Atmosphere, 1976, 
(i.e.,Temperature =15 [deg]C, specific humidity =0.00 kg/ 
H2O/kg dry air, and pressure =101325 Pa.)
    Taxi/idle (in) means those aircraft operations involvingtaxi and 
idle between the time of landing roll-out and final shutdownof all 
propulsion engines.
    Taxi/idle (out) means those aircraft operations involvingtaxi and 
idle between the time of initial starting of the propulsionengine(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 
inboth upper and lower case:

CO Carbon Monoxide
FAA Federal Aviation Administration, Department ofTransportation
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]

[[Page 7]]



Sec. 87.3  General requirements.

    (a) This part provides for the approval or acceptance by 
theAdministrator or the Secretary of testing and sampling 
methods,analytical, techniques, and related equipment not identical to 
thosespecified in this part. Before either approves or accepts any 
suchalternate, equivalent, or otherwise nonidentical procedures 
orequipment, the Administrator or the Secretary shall consult with 
theother in determining whether or not the action requires 
rulemakingunder sections 231 and 232 of the Clean Air Act, as 
amended,consistent with the Administrator's and the 
Secretary'sresponsibilities under sections 231 and 232 of the Act. (42 
U.S.C.7571, 7572).
    (b) Under section 232 of the Act, the Secretary issues regulationsto 
insure compliance with this part.
    (c) With respect to aircraft of foreign registry, theseregulations 
shall apply in a manner consistent with any obligationassumed by the 
United States in any treaty, convention or agreementbetween the United 
States and any foreign country or foreigncountries.



Sec. 87.4  [Reserved]



Sec. 87.5  Special test procedures.

    The Administrator or the Secretary may, upon written applicationby a 
manufacturer or operator of aircraft or aircraft engines, approvetest 
procedures for any aircraft or aircraft engine that is notsusceptible to 
satisfactory testing by the procedures set forthherein. Prior to taking 
action on any such application, theAdministrator 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 
theSecretary determines that an emission standard cannot be met 
withinthe specified time without creating a safety hazard.



Sec. 87.7  Exemptions.

    (a) Exemptions based on flights for short durations atinfrequent 
intervals. The emission standards of this part do notapply to engines 
which power aircraft operated in the United Statesfor short durations at 
infrequent intervals. Such operations arelimited to:
    (1) Flights of an aircraft for the purpose of export to a 
foreigncountry, including any flights essential to demonstrate the 
integrityof an aircraft prior to its flight to a point outside the 
UnitedStates.
    (2) Flights to a base where repairs, alterations or maintenanceare 
to be performed, or to a point of storage, and flights for thepurpose of 
returning an aircraft to service.
    (3) Official visits by representatives of foreign governments.
    (4) Other flights the Secretary determines, after consultationwith 
the Administrator, to be for short durations at infrequentintervals. A 
request for such a determination shall be made before theflight takes 
place.
    (b) Exemptions for very low production models. The 
emissionsstandards of this part do not apply to engines of very low 
totalproduction after the date of applicability. For the purpose of 
thispart, ``very low production'' is limited to a maximumtotal 
production for United States civil aviation applications of nomore than 
200 units covered by the same type certificate after January1, 1984.
    (c) Exemptions for New Engines in Other Categories. Theemissions 
standards of this part do not apply to engines for which theSecretary 
determines, with the concurrence of the Administrator, thatapplication 
of any standard under Sec. 87.21 is notjustified, based upon 
consideration of:
    (1) Adverse economic impact on the manufacturer.
    (2) Adverse economic impact on the aircraft and airline industriesat 
large.
    (3) Equity in administering the standards among all 
economicallycompeting parties.
    (4) Public health and welfare effects.
    (5) Other factors which the Secretary, after consultation with 
theAdministrator, may deem relevant to the case in question.
    (d) Time Limited Exemptions for In Use Engines. Theemissions 
standards of this part do not apply to aircraft or aircraftengines for 
time periods which the Secretary determines, with theconcurrence of the 
Administrator, that any applicable standard underSec. 87.11(a),

[[Page 8]]

Sec. 87.31(a), orSec. 87.31(c), should not be applied based 
uponconsideration of the following:
    (1) Documentation demonstrating that all good faith efforts 
toachieve compliance with such standard have been made.
    (2) Documentation demonstrating that the inability to comply 
withsuch standard is due to circumstances beyond the control of the 
owneror operator of the aircraft.
    (3) A plan in which the owner or operator of the aircraft showsthat 
he will achieve compliance in the shortest time which isfeasible.
    (4) Applications for a determination that any requirements ofSec. 
87.11(a), Sec. 87.31(a) orSec. 87.31(c) do not apply shall be 
submitted in duplicateto the Secretary in accordance with procedures 
established by theSecretary.
    (e) The Secretary shall publish in the Federal Register thename of 
the organization to whom exemptions are granted and the periodof such 
exemptions.
    (f) No state or political subdivision thereof may attempt toenforce 
a standard respecting emissions from an aircraft or engine ifsuch 
aircraft or engine has been exempted from such standard underthis part.

[47 FR 58470, Dec. 30, 1982, as amended at 49 FR 31875, Aug.9, 1984; 49 
FR 41002, Oct. 18, 1984; 70 FR 69686, Nov. 17, 2005]



Sec. 87.8  Incorporation by reference.

    We have incorporated by reference the documents listed in 
thissection. The Director of the Federal Register approved 
theincorporation by reference as prescribed in 5 U.S.C. 552(a) and 1 
CFRpart 51. Anyone may inspect copies at the U.S. EPA, Air and 
RadiationDocket and Information Center, 1301 Constitution Ave., NW., 
Room B102,EPA West Building, Washington, DC 20460 or at the National 
Archivesand Records Administration (NARA). For information on the 
availabilityof this material at NARA, call 202-741-6030, or go to:http:/
/www.archives.gov/federal--register/code--of--federal--regulations/ibr--
locations.html.
    (a) ICAO material. Table 1 of Sec. 87.8 listsmaterial from the 
International Civil Aviation Organization that wehave incorporated by 
reference. The first column lists the number andname of the material. 
The second column lists the sections of thispart where we reference it. 
Anyone may purchase copies of thesematerials from the International 
Civil Aviation Organization, DocumentSales Unit, 999 University Street, 
Montreal, Quebec, Canada H3C 5H7.Table 1 follows:

                  Table 1 of Sec.  87.8--ICAOMaterials
------------------------------------------------------------------------
         Document number and name                 Part 87 reference
------------------------------------------------------------------------
International Civil Aviation Organization   87.8, 87.64, 87.71, 87.82,
 Annex 16, EnvironmentalProtection, Volume   87.89.
 II, Aircraft Engine Emissions, Second
 Edition, July1993, Including Amendment 3
 of March 20, 1997 (as indicated
 infootnoted pages.).
------------------------------------------------------------------------

    (b) [Reserved]

[70 FR 69686, Nov. 17, 2005]



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



Sec. 87.10  Applicability.

    (a) The provisions of this subpart are applicable to all newaircraft 
gas turbines of classes T3, T8, TSS and TF equal to orgreater than 36 
kilonewton rated output, manufactured on or afterJanuary 1, 1974, and to 
all in-use aircraft gas turbine engines ofclasses T3, T8, TSS and TF 
equal to or greater than 36 kilonewtonrated output manufactured after 
February 1, 1974.
    (b) The provisions of this subpart are also applicable to all 
newaircraft gas turbines of class TF less than 36 kilonewton rated 
outputand class TP manufactured on or after January 1, 1975 and to all 
in-use aircraft gas turbines of class TF less than 36 kilonewton 
ratedoutput 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 theatmosphere 
from any new or in-use aircraft gas turbine engine subjectto the 
subpart. This paragraph is directed at the elimination ofintentional 
discharge to the atmosphere of fuel drained from fuel

[[Page 9]]

nozzle manifolds after engines are shut down and does not apply tonormal 
fuel seepage from shaft seals, joints, and fittings.
    (b) Conformity with the standard set forth in paragraph (a) ofthis 
section shall be determined by inspection of the method designedto 
eliminate these emissions.



      Subpart C_Exhaust Emissions (New Aircraft Gas TurbineEngines)



Sec. 87.20  Applicability.

    The provisions of this subpart are applicable to all aircraft 
gasturbine engines of the classes specified beginning on the 
datesspecified.



Sec. 87.21  Standards for exhaust emissions.

    (a) Exhaust emissions of smoke from each new aircraft gas 
turbineengine of class T8 manufactured on or after February 1, 1974, 
shallnot exceed: Smoke number of 30.
    (b) Exhaust emissions of smoke from each new aircraft gas 
turbineengine of class TF and of rated output of 129 kilonewtons thrust 
orgreater, 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 
turbineengine of class T3 manufactured on or after January 1, 1978, 
shall notexceed: Smoke number of 25.
    (d) Gaseous exhaust emissions from each new commercial aircraftgas 
turbine engine shall not exceed:
    (1) Classes TF, T3, T8 engines greater than 26.7 kilonewtons 
ratedoutput:
    (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 manufactureof 
the first individual production model was on or before December 31,1995 
and for which the date of manufacture of the individual enginewas 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 manufactureof 
the first individual production model was after December 31, 1995or for 
which the date of manufacture of the individual engine wasafter 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.
    (vi) Engines of a type or model of which the date of manufactureof 
the first individual production model was after December 31, 2003:
    (A) Engines with a rated pressure ratio of 30 or less:
    (1) Engines with a maximum rated output greater than 89kilonewtons:
    Oxides of Nitrogen: (19 + 1.6(rPR)) grams/kilonewtons rO.
    (2) Engines with a maximum rated output greater than 26.7kilonewtons 
but not greater than 89 kilonewtons:
    Oxides ofNitrogen: (37.572 + 1.6(rPR) - 0.2087(rO)) grams/
kilonewtonsrO.
    (B) Engines with a rated pressure ratio greater than 30 but lessthan 
62.5:
    (1) Engines with a maximum rated output greater than 89kilonewtons:
    Oxides of Nitrogen: (7 + 2(rPR)) grams/kilonewtons rO.
    (2) Engines with a maximum rated output greater than 26.7kilonewtons 
but not greater than 89 kilonewtons:
    Oxides ofNitrogen: (42.71 + 1.4286(rPR) - 0.4013(rO) + 0.00642(rPRx 
rO)) grams/kilonewtons rO.
    (C) Engines with a rated pressure ratio of 62.5 or more:
    Oxidesof Nitrogen: (32 + 1.6(rPR)) grams/kilonewtons rO.
    (vii) The emission standards prescribed in paragraph (d)(1)(vi) 
ofthis section shall apply as prescribed beginning December 19, 2005.
    (2) Class TSS: Engines manufactured on or after January 1, 1984:

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


[[Page 10]]


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

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

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

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

    (3) Class TP of rated output equal to or greater than 1,000kilowatts 
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 samplerepresenting 
the operating cycles set forth in the applicable sectionsof subpart G of 
this part, and exhaust smoke emissions emitted duringoperations of the 
engine as specified in the applicable sections ofsubpart H of this part, 
measured and calculated in accordance with theprocedures 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; 70 FR 69686, Nov. 17, 2005]



    Subpart D_Exhaust Emissions (In-Use Aircraft Gas TurbineEngines)



Sec. 87.30  Applicability.

    The provisions of this subpart are applicable to all in-useaircraft 
gas turbine engines certified for operation within the UnitedStates 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 gasturbine 
engine of Class T8, beginning February 1, 1974, shall notexceed: Smoke 
number of 30.
    (b) Exhaust emissions of smoke from each in-use aircraft gasturbine 
engine of class TF and of rated output of 129 kilonewtonsthrust 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 thissection 
refer to exhaust smoke emissions emitted during operations ofthe engine 
as specified in the applicable section of subpart H of thispart, and 
measured and calculated in accordance with the proceduresset forth in 
this subpart.

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

Subparts E-F [Reserved]



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



Sec. 87.60  Introduction.

    (a) Except as provided under Sec. 87.5, the proceduresdescribed in 
this subpart shall be the test program to determine theconformity of new 
aircraft gas turbine engines with the applicablestandards set forth in 
this part.
    (b) The test consists of operating the engine at prescribed 
powersettings on an engine dynamometer (for engines producing 
primarilyshaft power) or thrust measuring test stand (for engines 
producingprimarily thrust). The exhaust gases generated during engine 
operationare sampled continuously for specific component analysis 
through theanalytical train.
    (c) The exhaust emission test is designed to measure 
hydrocarbons,carbon monoxide, carbon dioxide, and oxides of 
nitrogenconcentrations, and to determine mass emissions through 
calculationsduring a simulated aircraft landing-takeoff cycle (LTO). The 
LTO cycleis based on time in mode data during high activity periods at 
majorairports. The test for propulsion engines consists of at least 
thefollowing four modes of engine operation: taxi/idle, 
takeoff,climbout, and approach. The mass emission for the modes are 
combinedto yield the reported values.
    (d) When an engine is tested for exhaust emissions on an 
enginedynamometer or test stand, the complete

[[Page 11]]

engine shall be used withall accessories which might reasonably be 
expected to influenceemissions to the atmosphere installed and 
functioning, if nototherwise prohibited by Sec. 87.62(a)(2). Use of 
service airbleed and shaft power extraction to power auxiliary gearbox-
mountedcomponents required to drive aircraft systems is not permitted.
    (e) Other gaseous emissions measurement systems may be used ifshown 
to yield equivalent results and if approved in advance by 
theAdministrator 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 specificationslisted 
in this section shall be used. Additives used for the purposeof smoke 
suppression (such as organometallic compounds) shall not bepresent.

                 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 
engineoperating modes which simulate aircraft operation to determine 
itsmass emission rates. The actual power setting, when corrected 
tostandard day conditions, should correspond to the followingpercentages 
of rated output. Analytical correction for variations fromreference day 
conditions and minor variations in actual power settingshould 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 
powersetting of 7% rated thrust unless the Secretary determines that 
theunique characteristics of an engine model undergoing 
certificationtesting at 7% would result in substantially different HC 
and COemissions than if the engine model were tested at the 
manufacturersrecommended idle power setting. In such cases the Secretary 
shallspecify an alternative test condition.
    (3) The times in mode (TIM) shall be as specified below:

------------------------------------------------------------------------
                                                         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 engineswhich 
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 exhaustemissions.

    The system and procedures for sampling and measurement of 
gaseousemissions shall be as specified by Appendices 3 and 5 to ICAO 
Annex 16(incorporated by reference in Sec. 87.8).

[70 FR 69686, Nov. 17, 2005]



Sec. Sec. 87.65-87.70  [Reserved]



Sec. 87.71  Compliance with gaseous emission standards.

    Compliance with each gaseous emission standard by an aircraftengine 
shall be determined by comparing the pollutant level ingrams/kilonewton/
thrust/cycle or grams/kilowatt/cycle as

[[Page 12]]

calculated in Sec. 87.64 with the applicable emissionstandard under 
this part. An acceptable alternative to testing everyengine is described 
in Appendix 6 to ICAO Annex 16 (incorporated byreference in Sec. 87.8). 
Other methods of demonstratingcompliance may be approved by the 
Secretary with the concurrence ofthe Administrator.

[70 FR 69686, Nov. 17, 2005]



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



Sec. 87.80  Introduction.

    Except as provided under Sec. 87.5, the proceduresdescribed in this 
subpart shall be the test program to determine theconformity of new and 
in-use gas turbine engines with the applicablestandards set forth in 
this part. The test is essentially the same asthat described in 
Sec. Sec. 87.60 through 87.62, exceptthat the test is designed to 
determine the smoke emission level atvarious operating points 
representative of engine usage in aircraft.Other smoke measurement 
systems may be used if shown to yieldequivalent results and if approved 
in advance by the Administrator orthe Secretary.



Sec. 87.81  Fuel specifications.

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



Sec. 87.82  Sampling and analytical procedures for measuring smoke exhaustemissions.

    The system and procedures for sampling and measurement of 
smokeemissions shall be as specified by Appendix 2 to ICAO Annex 
16(incorporated by reference in Sec. 87.8).

[70 FR 69687, Nov. 17, 2005]



Sec. Sec. 87.83-87.88  [Reserved]



Sec. 87.89  Compliance with smoke emission standards.

    Compliance with each smoke emission standard shall be determinedby 
comparing the plot of SN as a function of power setting with 
theapplicable emission standard under this part. The SN at every 
powersetting must be such that there is a high degree of confidence 
thatthe standard will not be exceeded by any engine of the model 
beingtested. An acceptable alternative to testing every engine is 
describedin Appendix 6 to ICAO Annex 16 (incorporated by reference 
inSec. 87.8).

[70 FR 69687, Nov. 17, 2005]



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 emissionstandards for light-duty 
          vehicles and light-duty trucks.
88.105-94 Clean-fuel fleet emission standards forheavy-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 PilotTest Program.
88.205-94 California Pilot Test Program CreditsProgram.
88.206-94 State opt-in for the California Pilot TestProgram.

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 labelingrequirements for heavy-duty 
          vehicles.
88.306-94 Requirements for a converted vehicle toqualify as a clean-fuel 
          fleet vehicle.
88.307-94 Exemption from temporal transporationcontrol measures for 
          CFFVs.
88.308-94 Programmatic requirements for clean-fuelfleet 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.

[[Page 13]]

88.313-93 Incentives for the purchase ofInherently 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 otherwisenoted.



          Subpart A_Emission Standards for Clean-Fuel Vehicles



Sec. 88.101-94  General applicability.

    The clean-fuel vehicle standards and provisions of this subpartare 
applicable to vehicles used in subpart B of this part (the CleanFuel 
Fleet Program) and subpart C of this part (the California PilotTest 
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 
partshall have the meaning given them in 40 CFR part 86, subpart A.
    Adjusted Loaded Vehicle Weight is defined as the numericalaverage of 
the vehicle curb weight and the GVWR.
    Dual Fuel Vehicle (or Engine) means any motor vehicle (ormotor 
vehicle engine) engineered and designed to be operated on twodifferent 
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 onany mixture of 
two or more different fuels.
    Heavy Light-Duty Truck means any light-duty truck ratedgreater than 
6000 lbs. GVWR.
    Light Light-Duty Truck means any light-duty truck ratedthrough 6000 
lbs GVWR.
    Loaded Vehicle Weight is defined as the curb weight plus 300lbs.
    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 applicableLow-
Emission Vehicle standard.
    Non-methane Hydrocarbon Equivalent means the sum of thecarbon mass 
emissions of non-oxygenated non-methane hydrocarbons plusthe carbon mass 
emissions of alcohols, aldehydes, or other organiccompounds which are 
separately measured in accordance with theapplicable test procedures of 
40 CFR part 86, expressed as gasoline-fueled vehicle non-methane 
hydrocarbons. In the case of exhaustemissions, the hydrogen-to-carbon 
ratio of the equivalent hydrocarbonis 1.85:1. In the case of diurnal and 
hot soak emissions, thehydrogen-to-carbon ratios of the equivalent 
hydrocarbons are 2.33:1and 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 andthe 
GVWR.
    Transitional Low-Emission Vehicle means any light-dutyvehicle or 
light-duty truck conforming to the applicable TransitionalLow-Emission 
Vehicle standard.
    Ultra Low-Emission Vehicle means any light-duty vehicle orlight-duty 
truck conforming to the applicable Ultra Low-EmissionVehicle standard, 
or any heavy-duty vehicle with an engine conformingto 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-EmissionVehicle 
standard.

[57 FR 60046, Dec. 17, 1992. Redesignated and amended at 59 FR50074, 
Sept. 30, 1994]



Sec. 88.103-94  Abbreviations.

    The abbreviations of part 86 also apply to this subpart. 
Theabbreviations 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

[[Page 14]]

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 FR50074, 
Sept. 30, 1994]



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

    (a) A light-duty vehicle or light-duty truck will be considered asa 
TLEV, LEV, ULEV, or ZEV if it meets the applicable requirements ofthis 
section.
    (b) Light-duty vehicles certified to the exhaust emissionstandards 
for TLEVs, LEVs, and ULEVs in Tables A104-1 andA104-2 shall be 
considered as meeting the requirements of thissection for that 
particular vehicle emission category for model years1994-2000 for the 
California Pilot Program.
    (c) Light-duty vehicles certified to the exhaust emissionstandards 
for LEVs and ULEVs in Tables A104-1 and A104-2shall be considered as 
meeting the requirements of this section forthat particular vehicle 
emission category for model years 2001 andlater for the California Pilot 
Program, and for model years 1998 andlater for the Clean Fuel Fleet 
Program.
    (d) Light light-duty trucks certified to the exhaust 
emissionstandards for a specific weight category for TLEVs, LEVs, and 
ULEVs inTables A104-3 and A104-4 shall be considered as meetingthe 
requirements of this section for that particular vehicle 
emissioncategory. For model years 1994-2000 for the California 
PilotProgram.
    (e) Light Light-duty trucks certified to the exhaust 
emissionstandards for a specific weight category for LEVs and ULEVs in 
TablesA104-3 and A104-4 shall be considered as meeting therequirements 
of this section for that particular vehicle emissioncategory. For model 
years 2001 and later for the California PilotProgram, and for model 
years 1998 and later for the Clean Fuel FleetProgram.
    (f) Heavy light-duty trucks certified to the exhaust 
emissionstandards for a specific weight category of LEVs and ULEVs in 
TablesA104-5 and A104-6 for model years 1998 and later shallbe 
considered as meeting the requirements of this section for 
thatparticular vehicle emission category.
    (g) A light-duty vehicle or light-duty truck shall be certified asa 
ZEV if it is determined by engineering analysis that the 
vehiclesatisfies the following conditions:
    (1) The vehicle fuel system(s) must not contain either carbon 
ornitrogen compounds (including air) which, when burned, form any of 
thepollutants listed in Table A104-1 as exhaust emissions.
    (2) All primary and auxiliary equipment and engines must have 
noemissions of any of the pollutants listed in Table A104-1.
    (3) The vehicle fuel system(s) and any auxiliary engine(s) musthave 
no evaporative emissions in use.
    (4) Any auxiliary heater must not operate at ambient 
temperaturesabove 40 degrees Fahrenheit.
    (h) NMOG standards for flexible- and dual-fueled vehicles 
whenoperating on clean alternative fuel--(1) Light-dutyvehicles, and 
light light-duty trucks. Flexible- and dual-fueledLDVs and light LDTs of 
1996 model year and later shall meet allstandards in Table A104-7 for 
vehicles of the applicable modelyear, loaded vehicle weight, and vehicle 
emission category.
    (2) Light-duty trucks above 6,000 lbs GVWR. Flexible- anddual-fueled 
LDTs above 6,000 lbs. GVWR of 1998 model year and latershall meet all 
standards in Table A104-8 for vehicles of theapplicable test weight and 
vehicle emission category.
    (i) NMOG standards for flexible- and dual-fueled vehicles 
whenoperating on conventional fuel--(1) Light-duty vehicles,and light 
light-duty trucks. Flexible- and dual-fueled LDVs andlight LDTs of 1996 
model year and later shall meet all standards inTable A104-9 for 
vehicles of the applicable model year, loadedvehicle weight, and vehicle 
emission category.
    (2) Light-duty trucks above 6,000 lbs GVWR. Flexible- anddual-fueled 
LDTs of 1998 model year and later shall meet all standardsin Table A104-
10 for vehicles of the applicable test weight andvehicle emission 
category.
    (j) Other standards for flexible- and dual-fueled vehicles.When 
operating on clean alternative fuel, flexible- and dual- fueledlight-
duty vehicles and light light-duty trucks must also meet

[[Page 15]]

theappropriate 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 standardsand requirements. When operating on conventional 
fuel, flexible- anddual-fueled vehicles must also meet all other 
applicable standards andrequirements in 40 CFR part 86.
    (k) Motor vehicles subject to standards and requirements of 
thissection shall also comply with all applicable standards 
andrequirements of 40 CFR part 86, except that any exhaust 
emissionstandards in 40 CFR part 86 pertaining to pollutants for 
whichstandards are established in this section shall not apply. 
Forconverted vehicles, the applicable standards and requirements of 
40CFR part 86 and this part 88 shall apply based on the model year 
inwhich the conversion is performed, regardless of the model year 
inwhich the base vehicle was originally manufactured prior toconversion.
    (1) Gaseous-fueled, diesel-fueled, and electric clean-fuelvehicles 
are waived from cold CO test requirements of subpart C ofthis part if 
compliance is demonstrated by engineering analysis ortest data.
    (2) The standards in this section shall be administered andenforced 
in accordance with the California Regulatory RequirementsApplicable 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 Directorof 
the Federal Register in accordance with 5 U.S.C. 552(a) and 1 CFRpart 
51.
    (ii) Copies may be inspected at U.S. EPA, OAR, 401 M St., 
SW.,Washington, DC 20460, or at the National Archives and 
RecordsAdministration (NARA). For information on the availability of 
thismaterial 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 obtainedfrom Barclay's 
Law Publishers, 400 Oyster Point Boulevard, P.O. Box3066, South San 
Francisco, CA 94080, phone (415) 244-6611.

                        Tables to Sec. 88.104-94

  TableA104-1--Intermediate Useful Life Standards (g/mi) forLight-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  ...........
             ULEV..............................         .040          1.7       \2\ .2         .008  ...........
----------------------------------------------------------------------------------------------------------------
\1\ Applies to diesel vehicles only.
\2\ Applies to ILEVs.


      Table A104-2--FullUseful 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.


TableA104-3--Intermediate Useful Life Standards (g/mi) forLight 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  ...........

[[Page 16]]

 
                         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--FullUseful Life Standards (g/mi) for Light Light-Duty Trucks for HCs, CO,NOX. HCHO, and PM
----------------------------------------------------------------------------------------------------------------
                                Vehicle
       LVW (lbs)            emissioncategory         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.


TableA104-5--Intermediate Useful Life Standards (g/mi) forHeavy 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\[th]nsp;
                                                                                              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--FullUseful Life Standards (g/mi) for Heavy Light-Duty Trucks for HCs, CO,NOX. HCHO, and PM
----------------------------------------------------------------------------------------------------------------
                                Vehicle
      ALVW (lbs)            emissioncategory         NMOG          CO          NOX          HCHO        PM\1\
----------------------------------------------------------------------------------------------------------------
0-3750................  LEV....................    \2\ 0.180      \2\ 5.0          0.6  \2\[th]nsp;     \2\ 0.08
                                                                                              0.022
                        ULEV...................         .107          2.5        \2\.3         .012          .04
3751-5750.............  LEV....................      \2\.230      \2\ 6.4          1.0      \2\.027       \2\.10
                        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 CleanAlternative Fuel for Light Light-Duty
                     Trucks and Light-Duty Vehicles
------------------------------------------------------------------------
                                               50,000 mile
                 Vehicle type                      NMOG     100,000 mile
                                                 standard   NMOGstandard
------------------------------------------------------------------------
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
------------------------------------------------------------------------


[[Page 17]]


    Table A104-8--NMOG Standards(g/mi) for Flexible- and Dual-Fueled
  Vehicles When Operating on CleanAlternative 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 onConventional Fuel for Light Light-Duty Trucks
                         and Light-Duty Vehicles
------------------------------------------------------------------------
                                               50,000 mile
                 Vehicle type                      NMOG     100,000 mile
                                                 standard   NMOGstandard
------------------------------------------------------------------------
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 onConventional 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]



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

    (a) Exhaust emissions from engines used in heavy-duty low 
emissionvehicles shall meet one of the following standards:
    (1) Combined emissions of oxides of nitrogen and 
nonmethanehydrocarbons (or nonmethane hydrocarbon equivalent) shall not 
exceed3.8 grams per brake horsepower-hour.
    (2) Combined emissions of oxides of nitrogen and 
nonmethanehydrocarbons (or nonmethane hydrocarbon equivalent) shall not 
exceed3.5 grams per brake horsepower-hour when tested (certified) on 
fuelmeeting the specifications of California certification fuel.
    (b) Exhaust emissions from engines used in heavy-duty low 
emissionvehicles shall meet conventional vehicle standards set forth in 
Part86 for total hydrocarbon, carbon monoxide, particulate, and 
organicmaterial hydrocarbon equivalent.
    (c) Exhaust emissions from engines used in ultra-low emissionheavy-
duty vehicles shall meet each of the following standards:
    (1) The combined emissions of oxides of nitrogen and 
nonmethanehydrocarbons (or nonmethane hydrocarbon equivalent) shall not 
exceed2.5 grams per brake horsepower-hour.
    (2) Carbon monoxide emissions shall not exceed 7.2 grams per 
brakehorsepower-hour.
    (3) Particulate emissions shall not exceed 0.05 grams per 
brakehorsepower-hour.
    (4) Formaldehyde emissions shall not exceed 0.025 grams per 
brakehorsepower-hour.
    (d) Exhaust emissions from engines used in inherently-low 
emissionheavy-duty vehicles shall meet each of the following standards:

[[Page 18]]

    (1) The combined emissions of oxides of nitrogen andnonmethane 
hydrocarbons (or nonmethane hydrocarbon equivalent) shallnot exceed 2.5 
grams per brake horsepower-hour.
    (2) Carbon monoxide emissions shall not exceed 14.4 grams perbrake 
horsepower-hour.
    (3) Particulate emissions shall not exceed 0.10 grams per 
brakehorsepower-hour.
    (4) Formaldehyde emissions shall not exceed 0.05 grams per 
brakehorsepower-hour.
    (e) The standards set forth in paragraphs (a), (b), (c), and (d)of 
this section refer to the exhaust emitted while the vehicle isbeing 
tested in accordance with the applicable test procedures setforth in 40 
CFR part 86, subpart N.
    (f)(1) A heavy-duty zero-emission vehicle (ZEV) has a standard 
ofzero emissions for nonmethane hydrocarbons, oxides of nitrogen, 
carbonmonoxide, formaldehyde, and particulates.
    (2) A heavy-duty vehicle shall be certified as a ZEV if it 
isdetermined by engineering analysis that the vehicle satisfies 
thefollowing conditions:
    (i) The vehicle fuel system(s) must not contain either carbon 
ornitrogen compounds (including air) which, when burned, form 
nonmethanehydrocarbons, oxides of nitrogen, carbon monoxide, 
formaldehyde, orparticulates as exhaust emissions.
    (ii) All primary and auxiliary equipment and engines must have 
noemissions of nonmethane hydrocarbons, oxides of nitrogen, 
carbonmonoxide, formaldehyde, and particulates.
    (iii) The vehicle fuel system(s) and any auxiliary engine(s) 
musthave no evaporative emissions.
    (iv) Any auxiliary heater must not operate at ambient 
temperaturesabove 40 degrees Fahrenheit.
    (g) All heavy-duty engines used in low emission, ultra-lowemission, 
or zero emission vehicles shall also comply with allapplicable standards 
and requirements of 40 CFR part 86, except thatany exhaust emission 
standards in 40 CFR part 86 pertaining topollutants for which standards 
are established in this section shallnot 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 applyto the 
following:
    (a) State Implementation Plan revisions for the State ofCalifornia 
and other states pursuant to compliance with section 249 ofthe 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 
the1992 model year.
    Averaging for clean-fuel vehicles means the sale of clean-fuel 
vehicles that meet more stringent standards than required, whichallows 
the manufacturer to sell fewer clean-fuel vehicles than wouldotherwise 
be required.
    Banking means the retention of credits, by the 
manufacturergenerating the emissions credits, for use in future model-
yearcertification as permitted by regulation.
    Sales means vehicles that are produced, sold, anddistributed (in 
accordance with normal business practices andapplicable franchise 
agreements) in the State of California, includingowners of covered 
fleets under subpart C of part 86 of this chapter.The manufacturer can 
choose at their option from one of the followingthree 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 adealer, 
distributer, fleet operator, broker, or any other entity whichcomprises 
the first point of sale.
    (iii) Sales is defined as equivalent to the production of 
vehiclesfor the state of California. This option can be revoked if it 
isdetermined that the production and actual sales numbers do not 
exhibita functional equivalence

[[Page 19]]

per the language ofSec. 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 
86apply 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 cleanfuel 
vehicles in California for this program shall correspond to TableB204.
    (b) (1) When manufacturers of vehicles subject to the regulationsof 
this section file a report pursuant to 40 CFR 86.085-37(b),such report 
shall include the following information: the number oflight-duty 
vehicles and light-duty trucks sold only in California, andthe number of 
clean-fuel vehicles sold for the Pilot program beginningwith model year 
1996.
    (2) For model years 1996 and 1997, manufacturers may exclude 
heavylight-duty trucks from the reporting required by this section.
    (c) (1) Except as provided in paragraph (d) of this section, 
eachvehicle manufacturer must sell clean-fuel vehicles in California in 
anamount equal to the required annual sales volume calculated 
inparagraph (c)(2) of this section.
    (2) The required annual clean fuel vehicle sales volume for agiven 
manufacturer is expressed in the following equation rounded tothe 
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 salesin 
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 salesin 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 ofall 
manufacturers three and four model years earlier than the year 
inquestion (for MY 1996 and 1997 RMS calculations). Sales 
ofmanufacturers which meet the criteria of (d) of this paragraph willnot 
be included.
 = the average of total LDV and LDT sales in California ofall 
manufacturers three and four model years earlier than the year 
inquestion (for MY 1998 and later RMS calculations). Sales 
ofmanufacturers which meet the criteria of (d) of this paragraph willnot 
be included.
TCPPS = Pilot program annual CFV sales requirement (either 150,000or 
300,000) for the model year in question.

    (i) A manufacturer's share of required annual sales for modelyears 
1996 and 1997 will be based on LDV and light LDT sales only.Once the 
heavy LDT standards are effective beginning with model year1998, a 
manufacturer's required sales share will be based on all LDVand LDT 
sales.
    (ii) A manufacturer certifying for the first time in Californiashall 
calculate annual required sales share based on projectedCalifornia sales 
for the model year in question. In the second year,the manufacturer 
shall use actual sales from the previous year. In thethird year, the 
manufacturer will use sales from two model years priorto the year in 
question. In the fourth year, the manufacturer will usesales from three 
years prior to the year in question. In the fifthyear and subsequent 
years, the manufacturer will use average salesfrom three and four years 
prior to the year in question.
    (d) (1) Small volume manufacturer is defined in the Pilot programas 
one whose average annual LDV and LDT sales in California are lessthan or 
equal to 3,000 units during a consecutive three-year periodbeginning no 
earlier than model year 1993.
    (i) A manufacturer with less than three consecutive years of salesin 
California shall use a single year of sales or, if available, theaverage 
of two years of sales in California to determine whether theyfall at or 
below the threshold of 3,000 units.
    (ii) A manufacturer certifying for the first time in Californiashall 
be considered a small volume manufacturer if their projectedCalifornia 
sales level is at or below 3,000 units for a given year.Once the 
manufacturer has actual sales data for one year, this actualsales

[[Page 20]]

data shall be used to determine whether the manufacturerqualifies as a 
small volume manufacturer.
    (iii) A manufacturer which does not qualify as a small 
volumemanufacturer in model year 1996 but whose average annual LDV and 
LDTsales fall to or below the 3,000 unit threshold between 1996 and 
2001shall be treated as a small volume manufacturer and shall be 
subjectto requirements for small volume manufacturers as specified 
inparagraph (d)(2) of this section beginning with the next model year.
    (2) A manufacturer which qualifies as a small volume 
manufacturerprior to model year 2001 is not required to comply with the 
salesrequirements of this section until model year 2001.

             Table B204--Pilot Program Vehicle SalesSchedule
------------------------------------------------------------------------
                                                                Required
             Model years                   Vehicle types         annual
                                                                 sales
------------------------------------------------------------------------
1996 and 1997.......................  LDTs (<6000 GVWR and       150,000
                                       <=5750 LVW); andLDVs.
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 thiscredit 
program to enable vehicle manufacturers who are required toparticipate 
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 applicableemission 
standards and other requirements contained in subpart A ofthis part.
    (b) Credit generation. (1) Credits may be generated by anyof the 
following means:
    (i) Sale of qualifying clean-fuel vehicles earlier than 
required.Manufacturers may earn these credits starting with the 1992 
modelyear, contingent upon the requirements of paragraph (g) of 
thissection.
    (ii) Sale of a greater number of qualifying clean-fuel vehiclesthan 
required.
    (iii) Sale of qualifying clean-fuel vehicles that meet morestringent 
emission standards than those required.
    (2) For light-duty vehicles and light-duty trucks, credit 
valuesshall be determined in accordance with the following:
    (i) For model-years through 2000, credit values shall bedetermined 
in accordance with table B-1 of this subpart.
    (ii) For the 2001 and subsequent model-years, credit values shallbe 
determined according to table B-2 of this subpart. The saleof light-duty 
vehicles classified as Transitional Low-EmissionVehicles 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 whichsold 
vehicles count toward compliance with the sales requirement. 
Theremaining balance of vehicles will be considered as sold beyond 
thesales requirement for credit calculations.
    (3) Vehicles greater than 8500 lbs gvwr may not generate credits.
    (c) Credit use. (1) All credits generated in accordance withthese 
provisions may be freely averaged, traded, or banked for lateruse. 
Credits may not be used to remedy any nonconformity determined 
byenforcement 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 
partialcompliance 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 
shallsurrender credits equal to the credit value for the 
correspondingvehicle class and model year found in table B-1.3 or 
tableB-2.3 of this subpart.
    (d) Participation in the credit program. (1) Duringcertification, 
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 
mustdemonstrate:

[[Page 21]]

    (i) That at the end of the model-year production, there is anet 
vehicle credit balance of zero or more with any credits obtainedfrom 
averaging, trading, or banking.
    (ii) It is recommended but not required that the source of 
thecredits to be used to comply with the minimum sales requirements 
bestated. All such reports should include all credits involved 
inaveraging, trading, or banking.
    (3) During the model year, manufacturers must:
    (i) Monitor projected versus actual production to be certain 
thatcompliance with the sales requirement is achieved at the end of 
themodel year.
    (ii) Provide the end of model year reports required under 
thissubpart.
    (iii) Maintain the records required under this subpart.
    (4) Projected credits based on information supplied in 
thecertification application may be used to obtain a certificate 
ofconformity. However, any such credits may be revoked based on reviewof 
end-of-model year reports, follow-up audits, and any otherverification 
steps deemed appropriate by the Administrator.
    (5) Compliance under averaging, banking, and trading will 
bedetermined at the end of the model year.
    (6) If EPA or the manufacturer determines that a reporting 
erroroccurred on an end-of-year report previously submitted to EPA 
underthis section, the manufacturer's credits and credit calculations 
willbe recalculated.
    (i) If EPA review of a manufacturer's end-of-year report indicatesan 
inadvertent credit shortfall, the manufacturer will be permitted 
topurchase 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 themanufacturer's 
favor (i.e., resulting in a positive credit balance) orif the 
manufacturer discovers such an error within 90 days of EPAreceipt of the 
end-of-year report, the credits will be restored foruse 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 thisprogram, credits can 
be banked starting in the 1992 model year.
    (ii) A manufacturer may bank credits only after the end of themodel 
year and after EPA has reviewed its end-of-year report. Duringthe model 
year and before submittal of the end-of-year report, creditsoriginally 
designated in the certification process for banking will beconsidered 
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 maintaintheir original 
value for an infinite period of time.
    (ii) A manufacturer withdrawing banked credits shall indicate 
soduring certification and in its credit reports.
    (3) Banked credits may be used in averaging, trading, or in 
anycombination thereof, during the certification period. Credits 
declaredfor banking from the previous model year but unreviewed by EPA 
mayalso be used. However, they may be revoked at a later time 
followingEPA review of the end-of-year report or any subsequent audit 
actions.
    (g) Early credits. Beginning in model year 1992 appropriatecredits, 
as determined from the given credit table, will be given forthe sale of 
vehicles certified to the clean-fuel vehicle standards forTLEVs, LEVs, 
ULEVs, and ZEVs, where appropriate. For LDVs and lightLDTs (<6000 lbs 
GVWR), early credits can be earned from model year1992 to the beginning 
of the Pilot Program sales requirements in 1996.For heavy LDTs 
(6000 lbs GVWR), early credits can be earned frommodel years 
1992 through 1997. The actual calculation of early creditsshall 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 orpart 
of an ozone nonattainment area classified as serious, severe, orextreme 
under subpart D of Title I.
    (b) A state may opt into the program by submitting SIP revisionsthat 
meet the requirements of this section.

[[Page 22]]

    (c) For a state that chooses to opt in, SIP provisions can nottake 
effect until one year after the state has provided notice to ofsuch 
provisions to motor vehicle manufacturers and fuel suppliers.
    (d) A state that chooses to opt into the program can not require 
asales or production mandate for CFVs or clean alternative fuels.States 
may not subject fuel or vehicle suppliers to penalties orsanctions for 
failing to produce or sell CFVs or clean alternativefuels.
    (e) (1) A state's SIP may include incentives for the sale or usein 
such state of CFVs required in California by the Clean Fuel 
FleetProgram, and the use of clean alternative fuels required to be 
madeavailable in California by the California Pilot Program.
    (2) Incentives may include:
    (i) A registration fee on non-CFVs of at least 1 percent of thetotal 
cost of the vehicle. These fees shall be used to:
    (A) Provide financial incentives to purchasers of CFVs and 
vehicledealers 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 
tripreduction requirements.
    (iii) Preferences for CFVs in the use of existing parking places.

[59 FR 50078, Sept. 30, 1994]



                   Sec. Tables to Subpart B of Part 88

       Table B-1--Credit Tablefor Phase I Vehicle Equivalents for Light-Duty Vehicles and Light-DutyTrucks
                  Table B-1.1--Credit Generation: SellingMore Clean-Fuel Vehicles Than Required
                                   [Phase I: Effective Through2000 Model-Year]
----------------------------------------------------------------------------------------------------------------
                                                                                LDT <=6000 gvwr
                                    LDV &LDT    LDT  <=6000 gvwr   LDT  <=6000      3750lvw      gvwr       eq>3750 alvw       5750 alvw
 
----------------------------------------------------------------------------------------------------------------
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
ZEV.............................         2.00             2.56            2.00           2.56             3.12
----------------------------------------------------------------------------------------------------------------


                    Table B-1.2--CreditGeneration: Selling More Stringent Clean Fuel Vehicles
----------------------------------------------------------------------------------------------------------------
                                                                                     LDT  6000 gvwr   LDT  <=6000
         Vehicleemission  category           <=6000 gvwr      gvwr         gvwr        <=3750alvw        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 Neededin 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
                                      <=3750 lvw   <=5750 lvw                      <=5750alvw          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.


[[Page 23]]


      Table B-2--CreditTable for Phase II: Vehicle Equivalents for Light-Duty Vehicles andLight-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--CreditGeneration: Selling More Stringent Clean-Fuel Vehicles
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 gvwr     eq>6000 gvwr
       Vehicleemission  category         <=6000 gvwr      gvwr         gvwr        <=3750alvw    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 Neededin 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
                                  <=3750 lvw     <=5750 lvw                        <=5750alvw          alvw
 
----------------------------------------------------------------------------------------------------------------
LEV............................         1.00           1.26             0.71             0.91             1.11
----------------------------------------------------------------------------------------------------------------


[59 FR 50079, Sept. 30, 1994]



                   Subpart C_Clean-Fuel Fleet Program

    Source: 58 FR 11901, Mar. 1, 1993, unless otherwisenoted.



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 
madepursuant 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 
UnitedStates that are subject to the fleet programs established by a 
state'sSIP revision.
    (b) The requirements of Sec. Sec. 88.302-93,88.303-93, 88.311-93, 
88.312-93, and88.313-93 of this part apply to fleets which 
voluntarilypurchase and operate Inherently Low-Emission Vehicles 
(ILEVs).
    (c) References in this subpart to engine families and 
emissioncontrol systems shall be deemed to refer to durability groups 
and testgroups as applicable for manufacturers certifying new light-
dutyvehicles 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 tothis 
subpart. The definitions in this section apply to this subpart.
    Combination heavy-duty vehicle means a vehicle with a GVWRgreater 
than 8,500 pounds (3,900 kilograms) which is comprised of atruck-tractor 
and one or more pieces of trailered equipment. Thetruck-tractor is a 
self-propelled motor vehicle built on one chassiswhich encompasses the 
engine, passenger compartment, and a means ofcoupling to a cargo 
carrying trailer(s). The truck-tractor itself isnot designed to carry 
cargo.
    Inherently Low-Emission Vehicle means any LDV or LDTconforming to

[[Page 24]]

the applicable Inherently Low-Emission Vehiclestandard, or any HDV with 
an engine conforming to the applicableInherently Low-Emission Vehicle 
standard. No dual-fuel or flexible-fuel vehicles shall be considered 
Inherently Low-Emission Vehiclesunless they are certified to the 
applicable standard(s) on all fueltypes for which they are designed to 
operate.
    Partially-Covered Fleet pertains to a vehicle fleet in acovered area 
which contains both covered fleet vehicles and non-covered fleet 
vehicles, i.e., exempt from covered fleet purchaserequirements.
    Single-unit heavy-duty vehicle means a self-propelled motorvehicle 
with a GVWR greater than 8,500 pounds (3,900 kilograms) builton 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 part86 also apply to 
this part. All terms used in this part, but notdefined in this section 
or in Sec. 88.302-93 and 40CFR part 86 shall have the meaning assigned 
to them in the Clean AirAct.
    Can be centrally fueled means the sum of those vehicles thatare 
centrally fueled and those vehicles that are capable of beingcentrally 
fueled.
    (1) Capable of being centrally fueled means a fleet, or thatpart of 
a fleet, consisting of vehicles that could be refueled 100percent of the 
time at a location that is owned, operated, orcontrolled by the covered 
fleet operator, or is under contract withthe covered fleet operator. The 
fact that one or more vehicles in afleet is/are not capable of being 
centrally fueled does not exempt anentire 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 
alocation that is owned, operated, or controlled by the covered 
fleetoperator, or is under contract with the covered fleet operator. 
Anyvehicle that is under normal operations garaged at home at night 
butthat is, in fact, centrally fueled 100 percent of the time shall 
beconsidered to be centrally fueled for the purpose of this 
definition.The fact that one or more vehicles in a fleet is/are not 
centrallyfueled does not exempt an entire fleet from the program. The 
fact thata vehicle is not centrally fueled does not mean it could not 
becentrally fueled in accordance with the definition of ``capableof 
being centrally fueled.''
    (3) Location means any building, structure, facility, orinstallation 
which; is owned or operated by a person, or is under thecontrol of a 
person; is located on one or more contiguous propertiesand contains or 
could contain a fueling pump or pumps for the use ofthe vehicles owned 
or controlled by that person.
    Clean-fuel vehicle aftermarket conversion certifier meansthe 
business or entity that obtains a certificate of conformity withthe 
clean-fuel vehicle standards and requirements for a vehicle/
engineconversion configuration pursuant to the requirements of 40 CFR 
part86 and this part 88.
    Control means: (1) When it is used to join all entitiesunder common 
management, means any one or a combination of thefollowing:
    (i) A third person or firm has equity ownership of 51 percent ormore 
in each of two or more firms;
    (ii) Two or more firms have common corporate officers, in whole orin 
substantial part, who are responsible for the day-to-day operationof the 
companies.
    (iii) One firm leases, operates, supervises, or in 51 percent 
orgreater part owns equipment and/or facilities used by another personor 
firm, or has equity ownership of 51 percent or more of anotherfirm.
    (2) When it is used to refer to the management of vehicles, meansa 
person has the authority to decide who can operate a particularvehicle, 
and the purposes for which the vehicle can be operated.
    (3) When it is used to refer to the management of people, means 
aperson has the authority to direct the activities of another person 
oremployee in a precise situation, such as at the workplace.

[[Page 25]]

    Conversion configuration means any combination ofvehicle/engine 
conversion hardware and a base vehicle of a specificengine family.
    Covered fleet operator means a person who operates a fleetof 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 (evenif the 
covered fleet vehicles are garaged outside of it). For purposesof this 
definition, the vehicle types described in the definition ofcovered 
fleet (section 241(5) of the Act) as exempt from theprogram will not be 
counted toward the ten-vehicle criterion.
    Dealer demonstration vehicle means any vehicle that isoperated by a 
motor vehicle dealer (as defined in section 216(4) ofthe Act) solely for 
the purpose of promoting motor vehicle sales,either on the sales lot or 
through other marketing or salespromotions, or for permitting potential 
purchasers to drive thevehicle for pre-purchase or pre-lease evaluation.
    Emergency vehicle means any vehicle that is legallyauthorized by a 
governmental authority to exceed the speed limit totransport people and 
equipment to and from situations in which speedis required to save lives 
or property, such as a rescue vehicle, firetruck, or ambulance.
    Law enforcement vehicle means any vehicle which is primarilyoperated 
by a civilian or military police officer or sheriff, or bypersonnel of 
the Federal Bureau of Investigation, the Drug EnforcementAdministration, 
or other agencies of the federal government, or bystate highway patrols, 
municipal law enforcement, or other similar lawenforcement agencies, and 
which is used for the purpose of lawenforcement activities including, 
but not limited to, chase,apprehension, surveillance, or patrol of 
people engaged in orpotentially engaged in unlawful activities. For 
federal lawenforcement vehicles, the definition contained in Executive 
Order12759, 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 fleetpurchase 
requirements, means September 1 through August 31.
    Motor vehicles held for lease or rental to the generalpublic means a 
vehicle that is owned or controlled primarily forthe purpose of short-
term rental or extended-term leasing (with orwithout maintenance), 
without a driver, pursuant to a contract.
    New covered fleet vehicle means a vehicle that has not 
beenpreviously controlled by the current purchaser, regardless of 
themodel year, except as follows: Vehicles that were manufactured 
beforethe start of the fleet program for such vehicle's weight 
class,vehicles transferred due to the purchase of a company not 
previouslycontrolled by the purchaser or due to a consolidation of 
businessoperations, vehicles transferred as part of an employee 
transfer, orvehicles transferred for seasonal requirements (i.e., for 
less than120 days) are not considered new. States are permitted to 
discontinuethe use of the fourth exception for fleet operators who abuse 
thediscretion afforded them. This definition of new covered fleet 
vehicleis distinct from the definition of new vehicle as it applies 
tomanufacturer certification, including the certification of vehicles 
tothe clean fuel standards.
    Owned or operated, leased or otherwise controlled by suchperson 
means either of the following:
    (1) Such person holds the beneficial title to such vehicle; or
    (2) Such person uses the vehicle for transportation purposespursuant 
to a contract or similar arrangement, the term of suchcontract or 
similar arrangement is for a period of 120 days or more,and such person 
has control over the vehicle pursuant to thedefinition 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 Statesand any officer, 
agent, or employee thereof.
    Under normal circumstances garaged at personal residencemeans a 
vehicle that, when it is not in use, is normally parked at thepersonal 
residence of the individual who usually operates it, ratherthan at a 
central refueling, maintenance, and/or business location.Such vehicles 
are not considered to be

[[Page 26]]

capable of being centralfueled (as defined in this subpart) and are 
exempt from the programunless they are, in fact, centrally fueled.
    Vehicle used for motor vehicle manufacturer product evaluationsand 
tests means a vehicle that is owned and operated by a motorvehicle 
manufacturer (as defined in section 216(1) of the Act), ormotor vehicle 
component manufacturer, or owned or held by a universityresearch 
department, independent testing laboratory, or other suchevaluation 
facility, solely for the purpose of evaluating theperformance 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 
86apply to this subpart. The abbreviations in this section apply to 
thissubpart.

    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 CFFVcredit 
program to enable covered fleet owners/operators to meet thefleet 
vehicle purchase requirements of the CAA both by purchasingclean-fuel 
vehicles (CFVs) directly and by trading and banking CFFVcredits for 
vehicle purchases.
    (2) All credit-generating vehicles must meet the applicableemission 
standards and other requirements contained in 40 CFR part 88,subpart A.
    (b) Program administration. (1)(i) Each state in which thereis all 
or part of a covered area, as defined in CAA section 246(a)(2),shall 
promulgate regulations as necessary for implementing thisrequirement.
    (ii) The state shall submit a SIP revision before May 15, 1994 tothe 
Administrator stipulating the specific mechanism by which the 
CFFVprogram is to be administered and enforced. The credit program 
shallcommence upon EPA approval of the SIP in accordance with CAA 
section246(f)(5).
    (2) A fleet owner who purchases/leases a CFFV only to generateCFFV 
credit shall be subject to the same requirements of the state'sCFFV 
program as a covered fleet owner who purchases/leases a CFFV 
todemonstrate compliance with covered fleet purchase requirements.
    (3) While in the covered area, a dual-fuel/flexible-fuel 
vehiclewhich a fleet owner purchases to comply with covered fleet 
purchaserequirements must be operated at all times on the fuel(s) on 
which itwas certified as a CFFV. If the fleet owner receives credit for 
adual-fuel/flexible-fuel vehicle purchase, the vehicle must be 
operatedat the same emission level for which the vehicle generated 
CFFVcredit.
    (c) Credit generation. (1) States shall grant CFFV creditsto a 
covered fleet owner for any of the following qualifying CFFVpurchases:
    (i) Purchase of a CFFV during any period subsequent to theapproval 
of the SIP revision but prior to the effective date forcommencement of a 
state's CFFV purchase requirement if the purchasemeets all other CFFV 
requirements applicable to such purchases,including the statutory 
requirement to use only the fuel on which thevehicle was certified as a 
CFFV;
    (ii) Purchase of a greater number of CFFVs than is required underthe 
SIP revision;
    (iii) Purchase of a CFFV which meets more stringent 
emissionstandards than required under the SIP revision; or
    (iv) Purchase of a CFFV in an exempt or non-covered vehiclecategory 
by the owner/operator of a covered or partially-coveredfleet.
    (2) A state may retroactively grant CFFV credit(s) to a fleetowner 
for the purchase of a CFFV prior to the approval of the state'sSIP 
revision if the purchase met all CFFV credit program 
requirementsapplicable to such purchases, including:
    (i) The vehicle purchased would have to have been certified toCFFV 
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 beenoperated 
only on the

[[Page 27]]

clean alternative fuel on which the vehiclehad been certified as a CFFV.
    (3) For LDVs and LDTs, credit values shall be determined 
inaccordance with Table C94-1. The state shall use TableC94-1 
exclusively in determining LDV and LDT CFFV creditvalues. 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 
TableC94-1, a state may specify in its SIP revision that TableC94-2 will 
be used to determine LDV and LDT CFFV credit valuesin one or more 
affected nonattainment areas. Any state choosing to doso must provide 
adequate justification, based on air quality benefits,at the time the 
SIP revision is submitted. If the use of TableC94-2 is approved by EPA, 
the State shall use TableC94-2 exclusively in determining LDV and LDT 
CFFV credit valuesfor vehicles in the subject area or areas. Table C94-
2.1applies to paragraphs (b)(1) (i), (ii) and (iv) of this section; 
TableC94-2.2 applies to paragraph (b)(1)(iii) of this section.
    (5) In lieu of determining credit values in accordance with 
TableC94-1, a state containing a carbon monoxide nonattainmentarea(s) 
having a design value above 16.0 parts per million may specifyin its SIP 
revision that Table C94-3 will be used to determineLDV and LDT CFFV 
credit values in one or more affected nonattainmentareas. Any state 
choosing to do so must provide adequatejustification, based on air 
quality benefits, at the time the SIPrevision is submitted. If the use 
of Table C94-3 is approved byEPA, the state shall use Table C94-3 
exclusively in determiningLDV and LDT CFFV credit values for vehicles in 
the subject area orareas. 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 
withTable C94-4. The state shall use Table C94-4 exclusivelyin 
determining heavy-duty vehicle CFFV credit values. TableC94-4.1 applies 
to paragraphs (c)(1) (i), (ii) and (iv) of thissection, and Table C94-
4.2 applies to paragraph (c)(1)(iii) ofthis section.
    (7) In lieu of determining credit values in accordance with 
TableC94-4, a state containing a carbon monoxide nonattainmentarea(s) 
having a design value above 16 parts per million may specifyin its SIP 
revision that Table C94-5 will be used to determineheavy-duty vehicle 
CFFV credit values in one or more affectednonattainment areas. Any state 
choosing to do so must provide adequatejustification, based on air 
quality benefits, at the time the SIPrevision is submitted. If the use 
of Table C94-5 is approved byEPA, the State shall use Table C94-5 
exclusively in determiningheavy-duty vehicle CFFV credit values for 
vehicles in the subject areaor 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 allowpurchase of any 
clean-fuel single-unit or combination HDV with a GVWRgreater than 26,000 
pounds (11,800 kilograms) to generate CFFV creditfor the fleet vehicle 
purchaser.
    (ii) States must exclude from generating CFFV credit the purchaseof 
any combination HDV with a GVWR greater than 26,000 pounds 
(11,800kilograms) which pays all or a portion of its fuel taxes, as 
evidencedby fuel tax stickers on the combination HDV, to a state(s) 
which isnot part of that covered nonattainment area.
    (10) Light-duty CFFV credits. Credits generated by thepurchase of a 
qualifying clean-fuel fleet LDV or a LDT shall bedesignated at the time 
of issuance as light-duty CFFV credits.
    (11) Heavy-duty CFFV credits. Credits generated by thepurchase of a 
qualifying clean-fuel fleet HDV shall be designated atthe time of 
issuance as heavy-duty CFFV credits. Further, creditsgenerated by the 
purchase of a light heavy-duty or a medium heavy-dutyqualifying CFFV 
shall be designated at the time of issuance as lightheavy-duty and 
medium heavy-duty CFFV credits, respectively.

[[Page 28]]

    (d) Credit use. (1) All credits generated in accordancewith these 
provisions may be freely traded or banked for later use,subject to the 
provisions contained in this subpart, without discountor depreciation of 
such credits.
    (2) A covered fleet owner or operator desiring to demonstrate fullor 
partial compliance with covered fleet purchase requirements by 
theredemption of credits shall surrender sufficient credits 
asestablished in this paragraph. In lieu of purchasing a CFFV, a 
fleetowner or operator shall surrender credits equal to the credit 
valuefor the corresponding vehicle class and credit calculation method 
usedin 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 coverednonattainment 
area may be traded within those boundaries whether ornot that area 
encompasses parts of more than one state.
    (4) Credits issued as a result of CFFV purchase requirements inone 
nonattainment area may not be used to demonstrate compliance inanother 
nonattainment area, even if a state contains more than onecovered 
nonattainment area.
    (5) Credit allocation. (i) Credits generated by the purchase ofLDVs 
and LDTs of 8,500 pounds (3,900 kilograms) GVWR or less may beused to 
demonstrate compliance with covered fleet purchaserequirements 
applicable to LDVs or LDTs of 8,500 pounds (3,900kilograms) GVWR or 
less.
    (ii) Credits generated by the purchase of vehicles of more than8,500 
pounds (3,900 kilograms) GVWR may not be used to demonstratecompliance 
with the covered fleet purchase requirements for vehiclesweighing 8,500 
pounds (3,900 kilograms) GVWR or less.
    (iii) Credits generated by the purchase of vehicles of 8,500pounds 
(3,900 kilograms) GVWR or less may not be used to demonstratecompliance 
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 
particularweight subclass may be used to demonstrate compliance with 
requiredheavy-duty vehicle purchases for the same or lighter 
weightsubclasses. These credits may not be used to demonstrate 
compliancewith required HDV purchases for vehicles of heavier weight 
subclassesthan the weight subclass of the vehicle which generated the 
credits.



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

    (a) All clean-fuel heavy-duty engines and vehicles used as 
LEVs,ULEVs, and ZEVs that are also regulated under 40 CFR part 86 
shallcomply with the labeling requirements of 40 CFR 86.095-35 (orlater 
applicable sections), and shall also include an unconditionalstatement 
on the label indicating that the engine or vehicle is a LEV,ULEV, or 
ZEV, and meets all of the applicable requirements of thispart 88.
    (b) All heavy-duty clean-fuel fleet vehicles not regulated under40 
CFR part 86 shall have a permanent legible label affixed to theengine or 
vehicle in a readily visible location, which contains thefollowing 
information:
    (1) The label heading: vehicle emissions classificationinformation 
(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 
applicablerequirements of the U.S. Environmental Protection Agency 
clean-fuelfleet vehicle program, as described in this part 88, but 
notnecessarily 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-fuelfleet vehicle.

    (a) For purposes of meeting the requirements of section 246 of 
theClean Air Act or the SIP revisions, conversions of engines or 
vehicleswhich satisfy the requirements of this section shall be treated 
as apurchase of a clean-fuel vehicle under subpart C of this part.
    (b) The engine or vehicle must be converted using a 
conversionconfiguration which has been certified according to the 
provisions of40 CFR part 86 using applicable emission standards and 
otherprovisions from part 88 for clean-fuel engines and vehicles. 
Thefollowing requirements will also apply:

[[Page 29]]

    (1) If the installation of the certified conversionconfiguration is 
performed by an entity other than aftermarketconversion certifier, the 
aftermarket conversion certifier shallsubmit a list of such installers 
to the Administrator. Additionalinstallers must be added to this list 
and the revised list submittedto the Administrator within 5 working days 
from the time they areauthorized to perform conversion installations by 
the clean-fuelvehicle aftermarket conversion certifier.
    (2) If the installation of the certified conversion configurationis 
performed by an entity other than the certificate holder, thecertificate 
holder shall provide instructions for installation of theaftermarket 
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 
theSmall-Volume Manufacturers Certification Program pursuant to 
therequirements of 40 CFR 86.094-14 is permitted, the 10,000 salesvolume 
limit in 40 CFR 86.094-14(b)(1) is waived for acertifier of a clean-fuel 
vehicle aftermarket conversion.
    (4) Clean-fuel vehicle aftermarket conversion certifiers that 
aresubject to the post-installation emissions testing requirements 
inparagraph (c) of this section and who will satisfy these 
requirementsby using the two speed idle test procedure detailed in 
paragraph (c)(2)(ii) of this section must conduct the following testing 
at the timeof certification in order to generate the required 
certification COemissions reference values. The certification CO 
emissions referencevalues generated must be submitted to the 
Administrator at the time ofapplication for certification.
    (i) For dual and flexible fuel vehicles, certification 
referencevalues must be generated for each certification test fuel 
required forexhaust emissions testing pursuant to 40 CFR 86.113 or 40 
CFR 86.1313.
    (ii) For light-duty vehicles and light-duty trucks the test 
fuelsused during the emissions testing required by paragraph (b)(3) of 
thissection must comply with the fuel specifications for exhaust 
emissionstesting found in 40 CFR 86.113. For heavy-duty engines the test 
fuelsused during the emissions testing required by paragraph (b)(3) of 
thissection must comply with the fuel specifications for exhaust 
emissionstesting found in 40 CFR 86.1313.
    (iii) Single, consecutive idle mode and high-speed mode segmentsof 
the two speed idle test must be conducted pursuant to therequirements of 
40 CFR 85.2215 and as modified by the provisions ofparagraph 
(c)(4)(ii)(D) of this section and this paragraph todetermine the 
required certification CO emission reference values.
    (A) The certification CO emission reference value for the idlemode 
of the test will be the simple average of all emissionsmeasurements 
taken during an idle mode of 90 seconds duration pursuantto 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 emissionsmeasurements 
taken during a high-speed mode of 180 seconds durationpursuant to the 
requirements in 40 CFR 85.2215(a).
    (c) Except as provided in paragraph (c)(1) of this section, 
eachconverted vehicle manufactured by a clean-fuel vehicle 
aftermarketconversion certifier with aggregate sales of less than 
10,000converted vehicles within a given calendar year must satisfy the 
post-installation emissions testing requirements of paragraph (c)(2) 
ofthis section. If a vehicle fails to satisfy the emissions 
testingrequirements such vehicle may not be considered a clean- fuel 
vehicleuntil such noncompliance is rectified and compliance is 
demonstrated.
    (1) A clean-fuel vehicle aftermarket conversion certifier 
withestimated sales of 300 or fewer engines and vehicles in a 
calendaryear and which sells or converts vehicles outside of a non-
attainmentarea (as classified under subpart D of Title I) which has 
aninspection and maintenance program that includes a test of 
carbonmonoxide emissions may submit a request to the Administrator for 
anexemption from the post-installation emission test requirements 
ofparagraph (c) of this section. If granted, such an exemption 
wouldapply to converted vehicles that

[[Page 30]]

have the conversion installationperformed outside of a nonattainment 
area which has an inspection andmaintenance program that includes a test 
of carbon monoxide emissions.
    (i) The request for exemption submitted to the Administrator 
mustinclude the following:
    (A) The estimated number of engines and vehicles that will 
beconverted in the calendar year.
    (B) Sufficient information to demonstrate that complying with 
thepost-installation emission test requirement represents a 
severefinancial hardship.
    (C) A description of any emission related quality controlprocedures 
used.
    (ii) Within 120 days of receipt of the application for exemption,the 
Administrator will notify the applicant either that an exemptionis 
granted or that sufficient cause for an exemption has not 
beendemonstrated and that all of the clean-fuel vehicle 
aftermarketconversion certifier's vehicles are subject to the post-
installationtest requirement of paragraph (c)(2) of this section.
    (iii) If the clean-fuel vehicle aftermarket conversion 
certifiergranted an exemption originally estimates that 300 or 
fewerconversions would be performed in the calendar year, and then 
laterrevises the estimate to more than 300 for the year, the 
certifiershall inform the Administrator of such revision. A post-
installationemissions test for each conversion performed after the 
estimate isrevised is required pursuant to the requirements of paragraph 
(c)(2)of this section. The estimated number of conversions from such 
aclean-fuel vehicle aftermarket conversion certifier must be greaterthan 
300 in the following calendar year.
    (2) A clean-fuel vehicle aftermarket conversion certifier 
withaggregate sales less than 10,000 converted vehicles within a 
givencalendar year shall conduct post-installation emissions testing 
usingeither of the following test methods:
    (i) The carbon monoxide (CO) emissions of the converted vehiclemust 
be determined in the manner in which CO emissions are 
determinedaccording to the inspection and maintenance requirements 
applicable inthe area in which the vehicle is converted or is expected 
to beoperated.
    (A) For dual-fuel vehicles, a separate test is required for eachfuel 
on which the vehicle is capable of operating. For flexible fuelvehicles, 
a single test is required on a fuel that falls within therange of fuel 
mixtures for which the vehicle was designed. The testfuel(s) used must 
be commercially available.
    (B) A converted vehicle shall be considered to meet therequirements 
of this paragraph if the vehicle's measured exhaust COconcentration(s) 
is lower than the cutpoint(s) used to determine COpass/fail under the 
inspection and maintenance program in the area inwhich the conversion is 
expected to be operated.
    (1) If CO pass/fail criteria are not available for a vehiclefuel 
type then pass/fail criteria specific to gasoline use are to beused for 
vehicles of that fuel type.
    (2) [Reserved]
    (ii) The carbon monoxide (CO) emissions of the converted vehiclemust 
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 idletest must 
be observed except as detailed in paragraph (c)(2)(ii)(D) ofthis 
section.
    (A) For dual and flexible fuel vehicles, a separate test isrequired 
for each certification test fuel required for exhaustemissions testing 
pursuant to 40 CFR 86.113 or 40 CFR 86.1313.
    (B) For light-duty vehicles and light-duty trucks the test fuelsused 
during the emissions testing required by paragraph (c)(4) of thissection 
must comply with the fuel specifications for exhaust emissionstesting 
found in 40 CFR 86.113. For heavy-duty engines the test fuelsused during 
the emissions testing required by paragraph (c)(2) of thissection must 
comply with the fuel specifications for exhaust emissionstesting found 
in 40 CFR 86.1313.
    (C) A converted vehicle shall be considered to meet therequirements 
of this paragraph if the following criteria aresatisfied:
    (1) The vehicle's measured idle mode exhaust COconcentration(s) must 
be lower than the sum of 0.4 percent CO plus theidle mode certification 
CO emissions reference value as determinedaccording to the requirements 
of paragraph (b)(3) of this section.

[[Page 31]]

    (2) The vehicle's measured high-speed mode exhaust 
COconcentration(s) must be lower than the sum of 0.4 percent CO plus 
thehigh-speed certification CO emissions reference value as 
determinedaccording to the requirements of paragraph (b)(3) of this 
section.
    (D) For the purposes of the post-installation emissions 
testingrequired by paragraph (c) of this section, the following 
adjustmentsto the two speed idle test-EPA 91 in 40 CFR 85.2215 are 
necessary.
    (1) Testing of hydrocarbon emissions and equipmentassociated 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 detailedin paragraph 
(c)(2)(ii)(C) of this section. All HC pass/fail criteriain 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 COplus 
CO2 above six percent does not apply. However, 
theAdministrator may reconsider requiring that the void test criteria 
in40 CFR 85.2215(a)(3) and (b)(2)(iv) be applied, and may issue 
anadvisory memorandum to this effect in the future.
    (4) The ambient temperature levels encountered by thevehicle during 
testing must comply with the specifications in 40 CFR86.130 or 40 CFR 
86.1330.
    (d) The clean-fuel vehicle aftermarket conversion certifier shallbe 
considered a manufacturer for purposes of Clean Air Act sections206 and 
207 and related enforcement provisions, and must acceptliability for in-
use performance of all the vehicles produced underthe 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 conversioncertifier 
shall be the original useful life of the vehicle prior toconversion.
    (2) [Reserved]
    (e) Tampering. (1) The conversion from an engine or vehiclecapable 
of operating on gasoline or diesel fuel only to a clean-fuelengine or 
vehicle shall not be considered a violation of the tamperingprovisions 
of Clean Air Act section 203(a)(3), if such conversion isdone pursuant 
to a conversion configuration certificate by theaftermarket conversion 
certifier or by an installer listed on thecertificate.
    (2) In order to comply with the provisions of this subpart, 
anaftermarket conversion installer must:
    (i) Install a certified aftermarket conversion system for whichthe 
installer is listed by the certifier; and
    (ii) Perform such installation according to instructions providedby 
the aftermarket conversion certifier.
    (f) Data collection. The clean-fuel vehicle aftermarketconversion 
certifier is responsible for maintaining records of eachengine and 
vehicle converted for use in the Clean Fuel Fleets programfor a period 
of 5 years. The records are to include the engine orvehicle make, engine 
or vehicle model, engine or vehicle model year,and engine or vehicle 
identification number of converted engines andvehicles; the 
certification number of the conversion configuration;the brand names and 
part numbers of the parts included in theconversion configuration; the 
date of the conversion and the facilityat 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 bylaw 
to participate in the clean-fuel fleet program or any vehiclegenerating 
credits under Sec. 88.304-94(c) fromtransportation control measures 
(TCMs) existing wholly or partiallyfor air quality reasons included in 
an approved state implementationplan which restrict vehicle usage based 
primarily on temporalconsiderations, such as time-of-day and day-of-week 
exemptions.However, CFFVs shall not qualify for TCMs where the temporal 
elementis secondary to some other control element

[[Page 32]]

and, in no case, shallsuch 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 
qualifyingCFFVs being operated after SIP approval, but prior to the 
effectivedate for commencement of a state's CFFV credit program.
    (c) Temporal TCM exemptions provided for in paragraph (a) of 
thissection are not effective outside of the areas for which states can 
berequired to establish CFFV credit programs.
    (1) Such exemptions shall remain effective only while the 
subjectvehicle remains in compliance with applicable CFFV emissions 
standardsand other CFFV credit program requirements.
    (2) CFFV TCM exemptions shall not be transferred between 
vehicleswithin 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 amulti-
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 thatthe clean 
fuel vehicle purchase requirements begin to apply no laterthan 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) ofthe Act, 
fleets owned or operated by any agency, department, orinstrumentality of 
the United States shall comply with the applicablestate regulations 
concerning CFFVs established in the SIP revision.Such fleets shall be 
treated in the same manner as private or othergovernment fleets under 
the applicable state regulations.
    (1) Federal agencies shall obtain CFFVs from original 
equipmentmanufacturers, to the extent possible, as required under 
section 248of the CAA.
    (2) The Secretary of Defense may exempt any vehicle(s) from 
theprovisions of any CFFV credit program established in the SIP 
revisionby certifying to the Administrator in writing that inclusion of 
thespecified vehicle(s) in such a program could have an adverse impact 
onthe national security. The Secretary of Defense shall also provide 
acopy of this statement of exemption to the state agency 
administeringthe CFFV credit program in the covered area in which the 
specifiedvehicle(s) is registered/operated.
    (b) [Reserved]



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

    (a) Certification. (1) Emissions Testing Procedures. Avehicle shall 
be certified as an ILEV if that vehicle satisfies thefollowing 
conditions:
    (i) The vehicle shall be certified under the appropriate 
exhaustemissions standards from paragraph (c) or (d) of this 
sectiondepending on the vehicle's weight classification.
    (ii) The vehicle shall be certified as having fuel vapor 
emissionswhich are five or less total grams per test as measured by the 
currentFederal Test Procedure (FTP), modified for ILEV certification, 
from 40CFR 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 
evaporativeemissions, the fuel vapor emissions shall be measured using 
the FTPregulations in effect at the time the vehicle is to be certified 
as anILEV. For purposes of this section, the vehicle's fuel vapor 
emissionsshall consist of the total grams of diurnal, hot soak, running 
loss,and resting loss emissions, as appropriate, for the particularfuel/
vehicle/engine combination to be tested. In determining ILEVevaporative 
emissions, the diurnal emissions measurement procedureshall consist of a 
single diurnal heat build using an ambient or fueltemperature range of 
72[deg]-96 [deg]F (22[deg]-36[deg]C), as appropriate for the applicable 
FTP regulations (40 CFRpart 86).

[[Page 33]]

    (B) Conventional Federal Test Procedure. A vehicle with 
noevaporative emissions control system components may have 
itsevaporative emissions certified for its particular GVWR weightclass/
subclass if it passes the conventional evaporative emissions FTPfrom 40 
CFR part 86, subpart B for LDVs and LDTs or from 40 CFR part86, subpart 
M for HDVs, as applicable.
    (iii) The vehicle must meet other special requirements applicableto 
conventional or clean-fuel vehicles and their fuels as described inany 
other parts of this chapter, including 40 CFR parts 86 and 88.
    (2) Vehicles which have a closed or sealed fuel system may 
becertified at the administrator's option by engineering evaluation 
inlieu of testing. These vehicles will be certified as ILEVs only if 
aleak in the fuel system would result in the vehicle becominginoperative 
due to loss of fuel supply, or if half the fuel escapeswithin 24 hours.
    (b) Identification. In the application for a vehicle'scertification 
as an ILEV, the manufacturer or the manufacturer's agentshall provide 
for positive identification of the vehicle's status asan 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 orboldface letters) that the 
vehicle is certified to applicable emissionstandards for ILEV exhaust 
and evaporative emission standards.
    (c) Light-duty vehicles and light-duty trucks. ILEVs in LDVand LDT 
classes shall have exhaust emissions which do not exceed theLEV exhaust 
emission standards for NMOG, CO, HCHO, and PM and the ULEVexhaust 
emission standards for NOX listed in TablesA104-1 through 
A104-6 for light-duty CFVs. Exhaustemissions shall be measured in 
accordance with the test proceduresspecified in Sec. 88.104-94(k). An 
ILEV must be ableto operate on only one fuel, or must be certified as an 
ILEV on allfuels on which it can operate. These vehicles shall also 
comply withall requirements of 40 CFR part 86 which are applicable 
toconventional gasoline-fueled, methanol-fueled, diesel-fueled, 
naturalgas-fueled or liquified petroleum gas-fueled LDVs/LDTs of the 
samevehicle class and model year.
    (d) Heavy-duty vehicles. ILEVs in the HDV class shall haveexhaust 
emissions which do not exceed the exhaust emission standardsin grams per 
brake horsepower-hour listed inSec. 88.105-94(d). Exhaust emissions 
shall bemeasured in accordance with the test procedures specified 
inSec. 88.105-94(e). An ILEV must be able to operate ononly one fuel, 
or must be certified as an ILEV on all fuels on whichit can operate. 
These vehicles shall also comply with all requirementsof 40 CFR part 86 
which are applicable in the case of conventionalgasoline-fueled, 
methanol-fueled, diesel-fueled, natural gas-fueled orliquified petroleum 
gas-fueled HDVs of the same weight class and modelyear.
    (e) Applicability. State actions to opt out of the clean-fuel fleet 
program under section 182(c) of the Act do not affect theapplicability 
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 requirementsthat 
differ from Sec. 88.311-93. Where a paragraph inSec. 88.311-93 is 
identical and applicable toSec. 88.311-98, this may be indicated by 
specifyingthe corresponding paragraph and the statement ``[Reserved]. 
Forguidance see Sec. 88.311-93.''
    (a) heading through (a)(1)(ii) [Reserved]. For guidance seeSec. 
88.311-93.
    (iii) The vehicle must meet other special requirements applicableto 
conventional or clean-fuel vehicles and their fuels as described inany 
other regulations in 40 CFR chapter I, subchapter C, including 40CFR 
parts 86 and 88 (e.g., onboard refueling provisions).
    (b) through (e) [Reserved]. For guidance seeSec. 88.311-93.

[59 FR 16309, Apr. 6, 1994]

    Effective Date Note: The new information collectionrequirements for 
Sec. 88.311-98 published in theFederal Register at 59 FR 16309, Apr. 6, 
1994, which apply to1998 and later model year vehicles, have not been 
approved by theOffice of Management and Budget (OMB) and are not 
effective.

[[Page 34]]



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

    (a) Label design. (1) Label design shall consist of eitherof the 
following specifications:
    (i) The label shall consist of a white rectangular 
background,approximately 12 inches (30 centimeters) high by 18 inches 
(45centimeters) wide, with ``CLEAN AIR VEHICLE'' printed incontrasting 
block capital letters at least 4.3 inches (10.6centimeters) tall and 1.8 
inches (4.4 centimeters) wide with a strokewidth not less than 0.5 
inches (1.3 centimeters). In addition, thewords ``INHERENTLY LOW-
EMISSION VEHICLE'' must be presentin lettering no smaller than 1 inch 
(2.5 centimeters) high. Nothingshall be added to the label which impairs 
readability. Labels shallinclude a serialized identification number; or
    (ii) The label shall consist of a white truncated-
circularbackground, approximately 10 inches (25 centimeters) in diameter 
by 7inches (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 onthe 
label in contrasting block capital letters at least 2 inches 
(5centimeters) tall and 1.5 inches (3.8 centimeters) wide with a 
strokewidth not less than 0.4 inches (1.0 centimeter). In addition, 
thewords ``CLEAN AIR VEHICLE'' must be present in letteringno smaller 
than 0.8 inches (2.0 centimeters) high. Nothing shall beadded to the 
label which impairs readability. Labels shall include aserialized 
identification number.
    (2) The ILEV label shall be fabricated or affixed to a vehicle 
insuch a manner that its removal from the vehicle cannot be 
accomplishedwithout defacing or destroying the label in whole or in 
part.
    (3) Along with the manufacturer's application to certify aparticular 
ILEV engine class, the manufacturer or the manufacturer'sagent shall 
submit to EPA ILEV labels or reasonable facsimiles of thetypes which may 
be mounted on a certified ILEV vehicle of that class.
    (b) Eligibility. Vehicle manufacturers or their agents mustinstall 
ILEV labels on a certified ILEV vehicle at the time of itssale to an 
eligible fleet owner if the vehicle is to be eligible forexpanded TCM 
exemptions. An eligible fleet owner is one who is in acovered area and 
owns a total of at least ten motor vehicles(including the ILEV(s) being 
purchased) which operate in the owner'sfleet. All of the following shall 
be provided to demonstrateeligibility: Photocopies of no less than nine 
motor vehicleregistrations indicating registration in the ILEV 
purchaser's name, asigned statement by the ILEV purchaser that these 
vehicles areoperational in the purchaser's fleet and that the ILEV being 
purchasedwill also be operated in this fleet, and a signed statement by 
theILEV purchaser that the ILEV labels will be removed and disposed 
ofwhen the vehicle is sold, given, leased (except as part of a 
dailyrental fleet), or offered for long-term loan to someone who has 
notdemonstrated eligibility for expanded TCMs available to 
ILEVsaccording to these criteria.
    (c) ILEV Label installation. (1) Except as provided for inthis 
paragraph (c), no person shall attach an ILEV label or anyfacsimile of 
an ILEV label to any vehicle.
    (2)(i) The manufacturer or the manufacturer's agent shall 
attachthree labels on the vehicle in plain sight: One on the rear of 
thevehicle and one on each of two sides of the vehicle. Each label 
shallconform to the specifications of paragraph (a) of this section.
    (ii) In the case that an ILEV label of the proportions specifiedin 
paragraph (a)(1) of this section cannot be attached to the rear ofthe 
ILEV, the manufacturer or the manufacturer's agent shall attach tothe 
rear of the vehicle an ILEV label of either of the followingproportions:
    (A) The label shall consist of a white rectangular 
background,approximately 4 inches (10 centimeters) high by 24 inches 
(60centimeters) wide, with ``CLEAN AIR VEHICLE'' printed incontrasting 
block capital letters at least 2.8 inches (7 centimeters)tall and 1.3 
inches (3.3 centimeters) wide with a stroke width notless than 0.3 
inches (0.8 centimeter). In addition, the words``INHERENTLY LOW-EMISSION 
VEHICLE'' must be present inlettering

[[Page 35]]

no smaller than 0.6 inches (1.5 centimeters) high.Nothing shall be added 
to the label which impairs readability. Labelsshall include a serialized 
identification number; or
    (B) The label shall consist of a white truncated-circularbackground, 
approximately 5 inches (12.5 centimeters) in diameter by3.5 inches (8.8 
centimeters) in height. The bottom edge of thetruncated-circular 
background shall be approximately 1 inch (2.5centimeters) from the 
center. The acronym ``ILEV'' shallbe printed on the label in contrasting 
block capital letters at least1 inch (2.5 centimeters) tall and 0.8 
inches (2.0 centimeters) widewith a stroke width not less than 0.3 
inches (0.8 centimeters). Inaddition, the words ``CLEAN AIR VEHICLE'' 
must be presentin lettering no smaller than 0.4 inches (1.0 centimeter) 
high. Nothingshall be added to the label which impairs readability. 
Labels shallinclude a serialized identification number.
    (d) Label removal. Fleet ILEV owners shall remove anddispose of the 
ILEV labels on a vehicle before selling or transferringownership of an 
ILEV or offering it for lease (unless the ILEV is partof a daily rental 
fleet) or long-term loan. This provision shall notapply if the person 
who is receiving the vehicle demonstrateseligibility for expanded TCM 
exemptions under the federal ILEV programas described in paragraph (b) 
of this section, or is otherwisequalified under state regulations which 
expressly expand ILEV labeleligibility.
    (e) Label replacement. (1) The manufacturer shall makereplacement 
ILEV labels available to the fleet owner of a qualifyingILEV to replace 
any ILEV label which has been lost or removed due tovehicle damage, 
repair, sale, or lease. The fleet owner's requestshall include proof of 
ownership of the ILEV in question and proof ofthe fleet owner's 
eligibility for ILEV TCM exemptions, as outlined inparagraph (c) of this 
section. Each label shall be imprinted with thesame serial number as 
initially assigned to the damaged/missing ILEVlabel(s) for that vehicle. 
Any portion of a damaged label remaining onthe ILEV shall be removed 
from the vehicle and submitted with therequest as proof of loss.
    (2) Upon receipt of the replacement ILEV label(s), the fleet 
ownershall attach the new ILEV label(s) only to the vehicle for 
whichreplacement 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 ILEVsprovided in 
this section are not effective outside of nonattainmentareas for which 
states are required to establish CFFV programs undersection 246 of the 
CAA, unless specifically added by states forqualifying vehicles.
    (2) Incentives for purchasing ILEVs shall not be transferredbetween 
vehicles within the same fleet nor shall they be sold ortraded.
    (3) No vehicle over 26,000 pounds (11,800 kilograms) GVWR shall 
beeligible for the following ILEV incentives.
    (b) Exemption from temporal TCMs. A fleet vehicle which hasbeen 
certified and labeled as an ILEV according to the provisions ofthis 
section and which continues to be in compliance with applicableemissions 
standards and other ILEV program requirements shall beexempted from TCMs 
existing for air quality reasons included inapproved state 
implementation plans which restrict vehicle usage basedprimarily 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 ILEVaccording 
to the provisions of Sec. Sec. 88.311 and 88.312and which continues to 
be in compliance with applicable emissionsstandards and other ILEV 
program requirements shall be exempt fromTCMs which restrict a vehicle's 
access to certain roadway lanes basedon the number of occupants in that 
vehicle, usually known as high-occupancy vehicle (HOV) lanes. These 
exemptions shall not apply ifthey would create a clear and direct safety 
hazard.

[[Page 36]]

    (2) In a state containing a covered area, or areas, thegovernor may 
petition the Administrator for a waiver from theexemption from HOV lane 
restrictions for ILEVs for any section of HOVlane in the covered area(s) 
that can be shown to be congestedprimarily due to the operation or 
projected operation of ILEVs. Thewaiver application shall demonstrate 
the infeasibility of other meansof alleviating HOV/CAV lane congestion, 
such as adding an additionalHOV/CAV lane, further increasing vehicle 
occupancy requirements andreducing the use of the lane by noneligible 
vehicles.



                   Sec. Tables to Subpart C of Part 88

               Table C94-1--Fleet CreditTable Based on Reduction in NMOG. Vehicle Equivalents for Light-DutyVehicles and Light-Duty Trucks
                            TableC94-1.1--Credit Generation: Purchasing More Clean-FuelVehicles Than Required by the Mandate
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                                                                           LDT 6000   eq>6000 GVWR,
                                NMOG                                 <=6000GVWR,   GVWR, 6000 GVWR,      GVWR, 5750
                                                                      <=3750 LVW    eq>3750 LVW      <=3750 ALVW     eq>3750ALVW <=5750        ALVW
                                                                                     <=5750 LVW                             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
--------------------------------------------------------------------------------------------------------------------------------------------------------


                  Table C94-1.2--CreditGeneration: Purchasing a ULEV or ZEV To Meet the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  6000 GVWR,   3750   eq>6000 GVWR,
              NMOG                  GVWR,     3750    <=3750 ALVW      ALVW, <=5750   5750
                                  <=3750 LVW  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--CreditNeeded in Lieu of Purchasing a LEV To Meet the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  6000 GVWR,   3750   eq>6000 GVWR,
              NMOG                  GVWR,     3750    <=3750 ALVW      ALVW <=5750      <=5750 ALVW
                                  <=3750 LVW  LVW  <=5750 LVW                         ALVW
 
----------------------------------------------------------------------------------------------------------------
LEV............................         1.00           1.26             0.71             0.91             1.11
----------------------------------------------------------------------------------------------------------------


  Table C94-2--Fleet CreditTable Based on Reduction in NMOG+NOX. Vehicle Equivalentsfor Light-Duty Vehicles and
                                                Light-Duty Trucks
        TableC94-2.1--Credit Generation: Purchasing More Clean-FuelVehicles Than Required by the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  6000 GVWR,   3750   eq>6000 GVWR,
            NMOG+NOX                GVWR,       eq>3750 LVW       <=3750ALVW      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

[[Page 37]]

 
ZEV............................         1.73           2.72             1.73             2.72             3.97
----------------------------------------------------------------------------------------------------------------


                  Table C94-2.2--CreditGeneration: 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--CreditNeeded 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
----------------------------------------------------------------------------------------------------------------


Table C94-3--Fleet CreditTable Based on Reduction in Carbon Monoxide. Vehicle Equivalents forLight-Duty Vehicles
                                              and Light-Duty Trucks
        TableC94-3.1--Credit Generation: Purchasing More Clean-FuelVehicles Than Required by the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                  LDT 6000 GVWR,     LDT 3750   eq>6000 GVWR,
                 CO                  <=6000GVWR,    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--CreditGeneration: Purchasing a ULEV or ZEV To Meet the Mandate
----------------------------------------------------------------------------------------------------------------
                                                                                 LDT  6000 GVWR,    LDT  6000 GVWR,   3750   eq>6000 GVWR,
               CO                   GVWR,     3750    <=3750 ALVW      ALVW <=5750    5750
                                  <=3750 LVW  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
----------------------------------------------------------------------------------------------------------------


[[Page 38]]


                   Table C94-3.3--CreditNeeded 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       <=3750ALVW      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 TableBased on Reduction in NMHC+NOX. Vehicle
  Equivalents forHeavy-Duty Vehicles--Table C94-4.1--CreditGeneration:
     Purchasing More Clean-Fuel Vehicles Than Required by theMandate
------------------------------------------------------------------------
                                              Light    Medium
                 NMHC+NOX                      HDV       HDV    HeavyHDV
------------------------------------------------------------------------
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 Lieuof Purchasing a LEV to Meet the
                                 Mandate
------------------------------------------------------------------------
                                                        Light    Medium
                      NMHC+NOX                           HDV       HDV
------------------------------------------------------------------------
LEV.................................................      1.00      1.00
------------------------------------------------------------------------


    Table C94-5--Fleet Credit TableBased on Reduction in Co. Vehicle
        Equivalents for Heavy-DutyVehicles--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
------------------------------------------------------------------------


  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 Lieuof Purchasing a LEV to Meet the
                                 Mandate
------------------------------------------------------------------------
                                                       Light
                         CO                             HDV    MediumHDV
------------------------------------------------------------------------
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-USENONROAD 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 NonroadInternal Combustion 
          Engines

        Subpart B_Emission Standards and Certification Provisions

89.101 Applicability.
89.102 Effective dates, optional inclusion, flexibility forequipment 
          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 allowablemaintenance 
          intervals.

[[Page 39]]

89.110 Emission control information label.
89.111 Averaging, banking, and trading of exhaust emissions.
89.112 Oxides of nitrogen, carbon monoxide, hydrocarbon, andparticulate 
          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 ofconformity.
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.
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 systemdescription.
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 systemdescription.
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

[[Page 40]]

                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 passingand failing 
          criteria for selective enforcement audits.
89.511 Suspension and revocation of certificates ofconformity.
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 SelectiveEnforcement 
          Auditing of Nonroad Engines

         Subpart G_Importation of Nonconforming Nonroad Engines

89.601 Applicability.
89.602 Definitions.
89.603 General requirements for importation of nonconformingnonroad 
          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'srecords.
89.608 ``In Use'' inspections and recallrequirements.
89.609 Final admission of modification nonroad engines andtest nonroad 
          engines.
89.610 Maintenance instructions, warranties, emissionlabeling.
89.611 Exemptions and exclusions.
89.612 Prohibited acts; penalties.
89.613 Treatment of confidential information.
89.614 Importation of partially complete engines.

                      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 precertificationexemption.
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.
89.913 What provisions apply to engines certified under themotor-vehicle 
          program?
89.914 What provisions apply to vehicles certified under themotor-
          vehicle program?
89.915 Staged-assembly exemption.
89.916 Emergency-vessel exemption for marine engines below37 kW.

       Subpart K_General Enforcement Provisions and ProhibitedActs

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.
89.1009 What special provisions apply to branded engines?

    Authority: 42 U.S.C. 7401-7671q.

    Source: 59 FR 31335, June 17, 1994, unless otherwisenoted.



                            Subpart A_General



Sec. 89.1  Applicability.

    (a) This part applies for all compression-ignition nonroad 
engines(see definition of ``nonroad engine'' inSec. 89.2) except those 
specified in paragraph (b) of thissection. This means that the engines 
for which this part appliesinclude but are not limited to the following:
    (1) Compression-ignition engines exempted from the requirements of40 
CFR Part 92 by 40 CFR 92.907;
    (2) Compression-ignition engines exempted from the requirements of40 
CFR Part 94 by 40 CFR 94.907;

[[Page 41]]

    (3) Portable compression-ignition engines that are used in butnot 
installed in marine vessels (as defined in the General Provisionsof the 
United States Code, 1 U.S.C. 3);
    (4) Non-propulsion compression-ignition engines used inlocomotives; 
and
    (5) Compression-ignition marine engines with rated power under 37kW.
    (b) (1) Aircraft engines. This part does not apply forengines used 
in aircraft (as defined in 40 CFR 87.1).
    (2) Mining engines. This part does not apply for enginesused in 
underground mining equipment and regulated by the MiningSafety 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 enginesthat:
    (i) Are subject to the standards of 40 CFR part 92; or
    (ii) Are exempted from the requirements of 40 CFR part 92 
byexemption provisions of 40 CFR part 92 other than those specified in40 
CFR 92.907.
    (4) Marine engines. This part does not apply for enginesthat:
    (i) Are subject to the standards of 40 CFR part 94;
    (ii) Are exempted from the requirements of 40 CFR part 94 
byexemption provisions of 40 CFR part 94 other than those specified in40 
CFR 94.907 or 94.912.
    (iii) Are marine engines (as defined in 40 CFR part 94) with 
ratedpower at or above 37kW that are manufactured in calendar years 
inwhich the standards of 40 CFR part 94 are not yet applicable.
    (5) Hobby engines. This part does not apply for engines witha per-
cylinder displacement of less than 50 cubic centimeters.
    (6) Tier 4 engines. This part does not apply to engines thatare 
subject to emission standards under 40 CFR part 1039. See 40 CFR1039.1 
to determine when that part 1039 applies. Note that certainrequirements 
and prohibitions apply to engines built on or afterJanuary 1, 2006 if 
they are installed in stationary applications or inequipment that will 
be used solely for competition, as described in 40CFR 1039.1 and 40 CFR 
1068.1; those provisions apply instead of theprovisions of this part 89.
    (c) In certain cases, the regulations in this part 89 apply 
toengines at or above 250 kW that would otherwise be covered by 40 
CFRpart 1048. See 40 CFR 1048.620 for provisions related to 
thisallowance.
    (d) This part applies as specified in 40 CFR part 60 subpart IIII,to 
compression-ignition engines subject to the standards of 40 CFRpart 60, 
subpart IIII.

[64 FR 73330, Dec. 29, 1999, as amended at 69 FR 39212, June29, 2004; 70 
FR 40444, July 13, 2005; 71 FR 39184, July 11, 2006; 72FR 53126, Sept. 
18, 2007]



Sec. 89.2  Definitions.

    The following definitions apply to part 89. All terms not 
definedherein have the meaning given them in the Act.
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401et seq.
    Adjustable parameter means any device, system, or element ofdesign 
which is physically capable of being adjusted (including thosewhich are 
difficult to access) and which, if adjusted, may affectemissions or 
engine performance during emission testing.
    Administrator means the Administrator of the EnvironmentalProtection 
Agency or his or her authorized representative.
    Aircraft means any vehicle capable of sustained air travelabove 
treetop heights.
    Amphibious vehicle means a vehicle with wheels or tracksthat is 
designed primarily for operation on land and secondarily foroperation in 
water.
    Auxiliary emission control device (AECD) means any elementof design 
that senses temperature, vehicle speed, engine RPM,transmission gear, or 
any other parameter for the purpose ofactivating, modulating, delaying, 
or deactivating the operation of anypart of the emission control system.
    Auxiliary marine diesel engine means a marine diesel enginethat is 
not a propulsion marine diesel engine.
    Blue Sky Series engine means a nonroad engine meeting 
therequirements of Sec. 89.112(f).
    Certification means, with respect to new nonroad engines,obtaining a 
certificate of conformity for an engine

[[Page 42]]

familycomplying with the nonroad engine emission standards and 
requirementsspecified in this part.
    Compression-ignition means relating to a type ofreciprocating, 
internal-combustion engine that is not a spark-ignitionengine.
    Constant-speed engine means an engine that is governed tooperate 
only at rated speed.
    Crankcase emissions means airborne substances emitted to 
theatmosphere from any portion of the engine crankcase ventilation 
orlubrication systems.
    Designated Enforcement Officer means the Director, AirEnforcement 
Division (2242A), U.S. Environmental Protection Agency,1200 Pennsylvania 
Ave., NW.,Washington, DC 20460.
    Emission control system means any device, system, or elementof 
design which controls or reduces the emission of substances from 
anengine.
    Engine, as used in this part, refers to nonroad engine.
    Engine manufacturer means any person engaged in themanufacturing or 
assembling of new nonroad engines or importing suchengines for resale, 
or who acts for and is under the control of anysuch person in connection 
with the distribution of such engines.Engine manufacturer does not 
include any dealer with respect to newnonroad engines received by such 
person in commerce.
    Engine used in a locomotive means either an engine placed inthe 
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 
theEnvironmental Protection Agency so designated in writing by 
theAdministrator (or by his or her designee).
    Exhaust gas recirculation means an emission controltechnology that 
reduces emissions by routing exhaust gases that hadbeen exhausted from 
the combustion chamber(s) back into the engine tobe mixed with incoming 
air prior to or during combustion. The use ofvalve timing to increase 
the amount of residual exhaust gas in thecombustion chamber(s) that is 
mixed with incoming air prior to orduring combustion is not considered 
to be exhaust gas recirculationfor the purposes of this part.
    Family emission limit (FEL) means an emission level that isdeclared 
by the manufacturer to serve in lieu of an emission standardfor 
certification purposes and for the averaging, banking, and 
tradingprogram. A FEL must be expressed to the same number of decimal 
placesas the applicable emission standard.
    Full load governed speed is the maximum full load speed asspecified 
by the manufacturer in the sales and service literature andcertification 
application. This speed is the highest engine speed withan advertised 
power greater than zero.
    Gross power means the power measured at the crankshaft orits 
equivalent, the engine being equipped only with the standardaccessories 
(such as oil pumps, coolant pumps, and so forth) necessaryfor its 
operation on the test bed. Alternators must be used, ifnecessary, to run 
the engine. Fans, air conditioners, and otheraccessories may be used at 
the discretion of the manufacturer, but nopower adjustments for these 
accessories may be made.
    Identification number means a specification (for example,model 
number/serial number combination) which allows a particularnonroad 
engine to be distinguished from other similar engines.
    Intermediate speed means peak torque speed if peak torquespeed 
occurs from 60 to 75 percent of rated speed. If peak torquespeed is less 
than 60 percent of rated speed, intermediate speed means60 percent of 
rated speed. If peak torque speed is greater than 75percent of rated 
speed, intermediate speed means 75 percent of ratedspeed.
    Marine engine means a nonroad engine that is installed orintended to 
be installed on a marine vessel. This includes a portableauxiliary 
marine engine only if its fueling, cooling, or exhaustsystem is an 
integral part of the vessel. There are two kinds ofmarine engines:
    (1) Propulsion marine engine means a marine engine that moves 
avessel through the water or directs the vessel's movement.

[[Page 43]]

    (2) Auxiliary marine engine means a marine engine not used 
forpropulsion.
    Marine vessel has the meaning given in 1 U.S.C. 3, exceptthat it 
does not include amphibious vehicles. The definition in 1U.S.C. 3 very 
broadly includes every craft capable of being used as ameans of 
transportation on water.
    Model year (MY) means the manufacturer's annual new modelproduction 
period which includes January 1 of the calendar year, endsno later than 
December 31 of the calendar year, and does not beginearlier than January 
2 of the previous calendar year. Where amanufacturer has no annual new 
model production period, model yearmeans calendar year.
    New for purposes of this part, means a nonroad engine,nonroad 
vehicle, or nonroad equipment the equitable or legal title towhich has 
never been transferred to an ultimate purchaser. Where theequitable or 
legal title to the engine, vehicle, or equipment is nottransferred to an 
ultimate purchaser until after the engine, vehicle,or equipment is 
placed into service, then the engine, vehicle, orequipment will no 
longer be new after it is placed into service. Anonroad engine, vehicle, 
or equipment is placed into service when itis used for its functional 
purposes. With respect to imported nonroadengines, nonroad vehicles, or 
nonroad equipment, the term newmeans an engine, vehicle, or piece of 
equipment that is not covered bya certificate of conformity issued under 
this part at the time ofimportation, and that is manufactured after the 
effective date of aregulation 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 intothe United States).
    Nonroad engine means:
    (1) Except as discussed in paragraph (2) of this definition, 
anonroad engine is any internal combustion engine:
    (i) In or on a piece of equipment that is self-propelled or servesa 
dual purpose by both propelling itself and performing anotherfunction 
(such as garden tractors, off-highway mobile cranes andbulldozers); or
    (ii) In or on a piece of equipment that is intended to bepropelled 
while performing its function (such as lawnmowers and stringtrimmers); 
or
    (iii) That, by itself or in or on a piece of equipment, isportable 
or transportable, meaning designed to be and capable of beingcarried or 
moved from one location to another. Indicia oftransportability 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 
usedsolely for competition, or is subject to standards promulgated 
undersection 202 of the Act; or
    (ii) the engine is regulated by a federal New Source 
PerformanceStandard promulgated under section 111 of the Act; or
    (iii) the engine otherwise included in paragraph (1)(iii) of 
thisdefinition remains or will remain at a location for more than 
12consecutive months or a shorter period of time for an engine locatedat 
a seasonal source. A location is any single site at a 
building,structure, facility, or installation. Any engine (or engines) 
thatreplaces an engine at a location and that is intended to perform 
thesame or similar function as the engine replaced will be included 
incalculating the consecutive time period. An engine located at 
aseasonal source is an engine that remains at a seasonal source 
duringthe full annual operating period of the seasonal source. A 
seasonalsource is a stationary source that remains in a single location 
on apermanent basis (i.e., at least two years) and that operates at 
thatsingle location approximately three months (or more) each year. 
Thisparagraph does not apply to an engine after the engine is removed 
fromthe location.
    Nonroad equipment means equipment that is powered by nonroadengines.
    Nonroad vehicle means a vehicle that is powered by a nonroadengine 
as defined in this section and that is not a motor vehicle or avehicle 
used solely for competition.

[[Page 44]]

    Nonroad vehicle or nonroad equipment manufacturer meansany person 
engaged in the manufacturing or assembling of new nonroadvehicles or 
equipment or importing such vehicles or equipment forresale, or who acts 
for and is under the control of any such person inconnection with the 
distribution of such vehicles or equipment. Anonroad vehicle or 
equipment manufacturer does not include any dealerwith respect to new 
nonroad vehicles or equipment received by suchperson in commerce. A 
nonroad vehicle or equipment manufacturer doesnot include any person 
engaged in the manufacturing or assembling ofnew nonroad vehicles or 
equipment who does not install an engine aspart of that manufacturing or 
assembling process. All nonroad vehicleor equipment manufacturing 
entities that are under the control of thesame person are considered to 
be a single nonroad vehicle or nonroadequipment manufacturer.
    Opacity means the fraction of a beam of light, expressed inpercent, 
which fails to penetrate a plume of smoke.
    Operating hours means:
    (1) For engine storage areas or facilities, all times during 
whichpersonnel other than custodial personnel are at work in the 
vicinityof the storage area or facility and have access to it.
    (2) For all other areas or facilities, all times during which 
anassembly line is in operation or all times during which 
testing,maintenance, service accumulation, production or compilation 
ofrecords, or any other procedure or activity related to 
certificationtesting, to translation of designs from the test stage to 
theproduction stage, or to engine manufacture or assembly is 
beingcarried out in a facility.
    Post-manufacture marinizer means a person who produces amarine 
diesel engine by substantially modifying a certified oruncertified 
complete or partially complete engine, and is notcontrolled by the 
manufacturer of the base engine or by an entity thatalso controls the 
manufacturer of the base engine. For the purpose ofthis definition, 
``substantially modify'' means changingan engine in a way that could 
change engine emission characteristics.
    Presentation of credentials means the display of thedocument 
designating a person as an EPA enforcement officer or EPAauthorized 
representative.
    Propulsion marine diesel engine means a marine diesel enginethat is 
intended to move a vessel through the water or direct themovement of a 
vessel.
    Rated speed is the maximum full load governed speed forgoverned 
engines and the speed of maximum horsepower for ungovernedengines.
    Spark-ignition means relating to a gasoline-fueled engine orother 
engines with a spark plug (or other sparking device) and withoperating 
characteristics significantly similar to the theoreticalOtto combustion 
cycle. Spark-ignition engines usually use a throttleto regulate intake 
air flow to control power during normal operation.
    Specific emissions means emissions expressed on the basis ofobserved 
brake power, using units of g/kW-hr. Observed brake powermeasurement 
includes accessories on the engine if these accessoriesare required for 
running an emission test (except for the coolingfan). When it is not 
possible to test the engine in the grossconditions, for example, if the 
engine and transmission form a singleintegral unit, the engine may be 
tested in the net condition. Powercorrections from net to gross 
conditions will be allowed with priorapproval of the Administrator.
    Sulfur-sensitive technology means an emission-controltechnology that 
experiences a significant drop in emission-controlperformance or 
emission-system durability when an engine is operatedon low-sulfur fuel 
(i.e., fuel with a sulfur concentration up to500 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 amanufacturer 
uses during certification to determine compliance withemission 
standards.
    Tier 1 engine means an engine subject to the Tier 1 
emissionstandards listed in Sec. 89.112(a).
    Tier 2 engine means an engine subject to the Tier 2 
emissionstandards listed in Sec. 89.112(a).

[[Page 45]]

    Tier 3 engine means an engine subject to the Tier 3emission 
standards listed in Sec. 89.112(a).
    Ultimate purchaser means, with respect to any new nonroadengine, new 
nonroad vehicle, or new nonroad equipment, the firstperson who in good 
faith purchases such new nonroad engine, nonroadvehicle, 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 NorthernMariana 
Islands, Guam, American Samoa, and the U.S. Virgin Islands.
    Used solely for competition means exhibiting features thatare not 
easily removed and that would render its use other than incompetition 
unsafe, impractical, or highly unlikely.
    U.S.-directed production volume means the number of 
nonroadequipment, vehicle, or marine diesel engine units produced by 
amanufacturer for which the manufacturer has reasonable assurance 
thatsale was or will be made to ultimate purchasers in the United 
States.

[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 FR73331, Dec. 
29, 1999; 67 FR 68339, Nov. 8, 2002; 69 FR 39212, June 29,2004; 70 FR 
40444, July 13, 2005; 72 FR 53126, Sept. 18, 2007]



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 ofthe 
subpart. Tables are numbered consecutively by order of appearancein the 
appendix. The table title will indicate the model year (ifapplicable) 
and the topic.
    (b) Figures for each subpart appear in an appendix at the end ofthe 
subpart. Figures are numbered consecutively by order of appearancein the 
appendix. The figure title will indicate the model year (ifapplicable) 
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. Theincorporation by 
reference was approved by the Director of the FederalRegister in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copiesmay be 
inspected at US EPA, OAR, 1200 Pennsylvania Ave., NW.,Washington, DC 
20460, or at the National Archives and RecordsAdministration (NARA). For 
information on the availability of thismaterial 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 materialthat 
has been incorporated by reference in this part.
    (1) ASTM material. The following table sets forth materialfrom the 
American Society for Testing and Materials which has beenincorporated by 
reference. The first column lists the

[[Page 46]]

number andname of the material. The second column lists the section(s) 
of thispart, other than Sec. 89.6, in which the matter isreferenced. 
The second column is presented for information only andmay not be all 
inclusive. Copies of these materials may be obtainedfrom American 
Society for Testing and Materials, 100 Barr HarborDrive, West 
Conshohocken, PA 19428-2959.

------------------------------------------------------------------------
           Document number and name             40 CFR part89 reference
------------------------------------------------------------------------
ASTM D86-97:
    ``Standard Test Method for Distillation    Appendix A to Subpart D.
     of PetroleumProducts at Atmospheric
     Pressure''.
ASTM D93-97:
    ``Standard Test Methods for Flash Point    Appendix A to Subpart D.
     by Pensky-MartensClosed 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 toSubpart D
     Crude Petroleumand Petroleum Products''
     (Hydrometer Method).
ASTM D445-97:
    ``Standard Test Method for Kinematic       Appendix A to Subpart D.
     Viscosity ofTransparent and Opaque
     Liquids (the Calculation of Dynamic
     Viscosity)''.
ASTM D613-95:
    ``Standard Test Method for Cetane Number   Appendix A to Subpart D.
     of Diesel FuelOil''.
ASTM D1319-98:
    ``Standard Test Method for Hydrocarbon     Appendix A to Subpart D.
     Types in LiquidPetroleum Products by
     Fluorescent IndicatorAdsorption''.
ASTM D2622-98:
    ``Standard Test Method for Sulfur in       Appendix A to Subpart D.
     Petroleum Products byWavelength
     Dispersive X-ray
     FluorescenceSpectrometry''.
ASTM D5186-96:
    ``Standard Test Method for                 Appendix A to Subpart D.
     ``Determination of theAromatic Content
     and Polynuclear Aromatic Content of
     Diesel Fuels andAviation Tubine Fuels By
     Supercritical FluidChromatography''.
ASTM E29-93a:
    ``Standard Practice for Using Significant  89.120;89.207; 89.509.
     Digits in TestData to Determine
     Conformance with Specifications''.
------------------------------------------------------------------------

    (2) SAE material. The following table sets forth materialfrom the 
Society of Automotive Engineers which has been incorporatedby reference. 
The first column lists the number and name of thematerial. The second 
column lists the section(s) of this part, otherthan Sec. 89.6, in which 
the matter is referenced. Thesecond column is presented for information 
only and may not be allinclusive. Copies of these materials may be 
obtained from Society ofAutomotive Engineers International, 400 
Commonwealth Dr., Warrendale,PA 15096-0001.

------------------------------------------------------------------------
                                                           40 CFR part89
                Document number and name                     reference
------------------------------------------------------------------------
SAE J244 June 83:
    Recommended Practice for Measurement of Intake Air         89.416-96
     or Exhaust GasFlow of Diesel Engines...............
SAE J1937 November 89:
    Recommended Practice for Engine Testing with Low           89.327-96
     TemperatureCharge Air Cooler Systems in a
     Dynamometer Test Cell..............................
SAE Paper 770141:
    Optimization of a Flame Ionization Detector for            89.319-96
     Determination ofHydrocarbon in Diluted Automotive
     Exhausts, Glenn D.Reschke..........................
------------------------------------------------------------------------

    (3) California Air Resources Board Test Procedure. Thefollowing 
table sets forth material from the Title 13, California Codeof 
Regulations, Sections 2420-2427, as amended by CaliforniaAir Resources 
Board Resolution 92-2 and published in CaliforniaAir Resources Board 
mail out 93-42, September 1, 1993)which has been incorporated 
by reference. The first column lists thenumber and name of the material. 
The second column lists thesection(s) of this part, other than Sec. 
89.6, in which thematter is referenced. The second column is presented 
for informationonly and may not be all inclusive. Copies of

[[Page 47]]

these materials maybe obtained from California Air Resources Board, 
Haagen-SmitLaboratory, 9528 Telstar Avenue, El Monte, CA 91731-2990.

------------------------------------------------------------------------
                                                           40 CFR part89
                Document number and name                     reference
------------------------------------------------------------------------
California Regulations for New 1996 and Later Heavy-Duty       89.112-96
 Off-RoadDiesel Cycle Engines...........................       89.119-96
                                                               89.508-96
------------------------------------------------------------------------


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



  Sec. Appendix A to Subpart A of Part89--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 ofstates to regulate the use and operation of nonroad engines.
    EPA believes that states are not precluded under section 209 
fromregulating the use and operation of nonroad engines, such 
asregulations on hours of usage, daily mass emission limits, or 
sulfurlimits on fuel; nor are permits regulating such operations 
precluded,once the engine is no longer new. EPA believes that states 
areprecluded from requiring retrofitting of used nonroad engines 
exceptthat states are permitted to adopt and enforce any such 
retrofittingrequirements identical to California requirements which have 
beenauthorized by EPA under section 209 of the Clean Air Act.

[62 FR 67736, Dec. 30, 1997]



        Subpart B_Emission Standards and CertificationProvisions



Sec. 89.101  Applicability.

    (a) The requirements of subpart B of this part are applicable toall 
new nonroad compression-ignition engines subject to the provisionsof 
subpart A of this part 89, pursuant to the schedule delineated inSec. 
89.102.
    (b) In a given model year, you may ask us to approve the use 
ofprocedures for certification, labeling, reporting, and 
recordkeepingspecified in 40 CFR part 1039 or 1068 instead of the 
comparableprocedures specified in this part 89. We will approve the 
request aslong as it does not prevent us from ensuring that you fully 
complywith the intent of this part.

[72 FR 53127, Sept. 18, 2007]

[[Page 48]]



Sec. 89.102  Effective dates, optional inclusion, flexibility for equipmentmanufacturers.

    (a) This subpart applies to all engines described inSec. 89.101 
with the following power rating and manufacturedafter 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 
andmanufactured on or after January 1, 1999;
    (3) Greater than or equal to 37 kW but less than 75 kW 
andmanufactured on or after January 1, 1998;
    (4) Greater than or equal to 75 kW but less than 130 kW 
andmanufactured on or after January 1, 1997;
    (5) Greater than or equal to 130 kW but less than or equal to 560kW 
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 upto 
one calendar year prior to the effective date of mandatorycertification 
to earn emission credits under the averaging, banking,and trading 
program. Such optionally certified engines are subject toall provisions 
relating to mandatory certification and enforcementdescribed in this 
part.
    (c) Engines meeting the voluntary standards described inSec. 
89.112(f) may be designated as Blue Sky Series enginesthrough the 2004 
model year.
    (d) Implementation flexibility for equipment and 
vehiclemanufacturers and post-manufacture marinizers. Nonroad 
equipmentand vehicle manufacturers and post-manufacture marinizers may 
take anyof the otherwise prohibited actions identified inSec. 
89.1003(a)(1) and (b)(4) with respect to nonroadequipment and vehicles 
and marine diesel engines, subject to therequirements of paragraph (e) 
of this section. The followingallowances apply separately to each engine 
power category subject tostandards under Sec. 89.112:
    (1) Percent-of-production allowances. (i) Equipment ratedat or above 
37 kW. For nonroad equipment and vehicles with enginesrated at or above 
37 kW, a manufacturer may take any of the actionsidentified in Sec. 
89.1003(a)(1) for a portion of its U.S.-directed production volume of 
such equipment and vehicles during theseven years immediately following 
the date on which Tier 2 enginestandards first apply to engines used in 
such equipment and vehicles,provided that the seven-year sum of these 
portions in each year, asexpressed as a percentage for each year, does 
not exceed 80, andprovided that all such equipment and vehicles or 
equipment containTier 1 or Tier 2 engines;
    (ii) Equipment rated under 37 kW. For nonroad equipment andvehicles 
and marine diesel engines with engines rated under 37 kW, amanufacturer 
may take any of the actions identified inSec. 89.1003(a)(1) for a 
portion of its U.S.-directedproduction volume of such equipment and 
vehicles during the sevenyears immediately following the date on which 
Tier 1 engine standardsfirst apply to engines used in such equipment and 
vehicles, providedthat the seven-year sum of these portions in each 
year, as expressedas a percentage for each year, does not exceed 80.
    (2) Small volume allowances. A nonroad equipment or 
vehiclemanufacturer or post-manufacture marinizer may exceed the 
productionpercentages in paragraph (d)(1) of this section, provided that 
in eachregulated power category the manufacturer's total of excepted 
nonroadequipment and vehicles and marine diesel engines:
    (i) Over the years in which the percent-of-production 
allowanceapplies does not exceed 100 units times the number of years in 
whichthe 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 usingengines not 
belonging to any engine family, from more than one enginemanufacturer. 
For purposes of this paragraph (d)(2)(iii), enginefamily refers to 
engines that have common characteristics as describedin Sec. 89.116.
    (3) Inclusion of previous-tier engines. Nonroad equipmentand 
vehicles and marine diesel engines built with previous tier 
ornoncertified engines under the existing inventory provisions ofSec. 
89.1003(b)(4) need not be included in

[[Page 49]]

determiningcompliance with paragraphs (d)(1) and (d)(2) of this section.
    (e) Recordkeeping and calculation to verify compliance. Thefollowing 
shall apply to nonroad equipment or vehicle manufacturersand post-
manufacture marinizers who produce excepted equipment orvehicles or 
marine diesel engines under the provisions of paragraph(d) of this 
section:
    (1) For each power category in which excepted nonroad equipment 
orvehicles or marine diesel engines are produced, a calculation toverify 
compliance with the requirements of paragraph (d) of thissection shall 
be made by the nonroad equipment or vehicle manufactureror post-
manufacture marinizer. This calculation shall be made no laterthan 
December 31 of the year following the last year in whichallowances are 
used, and shall be based on actual productioninformation from the 
subject years. If both the percent-of-productionand small volume 
allowances have been exceeded, then the manufactureris 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 andvehicles and 
marine diesel engines excepted under the provisions ofparagraph (d) of 
this section, for each power category in whichexceptions are taken. 
These records shall include equipment and enginemodel numbers, serial 
numbers, and dates of manufacture, and enginerated power. In addition, 
the manufacturer shall keep recordssufficient to demonstrate the 
verifications of compliance required inparagraph (e)(1) of this section. 
All records shall be kept until atleast two full years after the final 
year in which allowances areavailable for each power category, and shall 
be made available to EPAupon request.
    (f) Hardship relief. Nonroad equipment and vehiclemanufacturers and 
post-manufacture marinizers may take any of theotherwise prohibited 
actions identified in Sec. 89.1003(a)(1) if approved by the 
Administrator, and subject to the followingrequirements:
    (1) Application for relief must be submitted to the EnginePrograms 
and Compliance Division of the EPA in writing prior to theearliest date 
in which the applying manufacturer would be in violationof Sec. 
89.1003. The manufacturer must submit evidenceshowing that the 
requirements for approval have been met.
    (2) The applying manufacturer must not be the manufacturer of 
theengines used in the equipment for which relief is sought. 
Thisrequirement does not apply to post-manufacture marinizers.
    (3) The conditions causing the impending violation must not 
besubstantially the fault of the applying manufacturer.
    (4) The conditions causing the impending violation must be suchthat 
the applying manufacturer will experience serious economichardship if 
relief is not granted.
    (5) The applying manufacturer must demonstrate that no 
allowancesunder paragraph (d) of this section will be available to avoid 
theimpending violation.
    (6) Any relief granted must begin within one year after 
theimplementation date of the standard applying to the engines being 
usedin the equipment, or to the marine diesel engines, for which relief 
isrequested, and may not exceed one year in duration.
    (7) The Administrator may impose other conditions on the grantingof 
relief including provisions to recover the lost environmentalbenefit.
    (g) Allowance for the production of engines. Enginemanufacturers may 
take any of the otherwise prohibited actionsidentified in Sec. 
89.1003(a)(1) with regard to uncertifiedengines, Tier 1 engines, or Tier 
2 engines, as appropriate, if theengine manufacturer has received 
written assurance from the equipmentmanufacturer that the engine is 
required to meet the demand forengines 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 ofthe Tier 
1 standards in Sec. 89.112 for marine dieselengines rated under 37 kW 
by one year, instead of using the provisionsof paragraphs (d)

[[Page 50]]

and (f) of this section. Post-manufacturemarinizers wishing to take 
advantage of this provision must inform theDirector of the Engine 
Programs and Compliance Division of theirintent to do so in writing 
before the date that the standards wouldotherwise take effect.
    (i) Additional exemptions for technical or engineeringhardship. You 
may request additional engine allowances underparagraph (d)(1) of this 
section for 56-560 kW power categoriesor, if you are a small equipment 
manufacturer, under paragraph (d)(2)of this section for engines at or 
above 37 and below 75 kW. However,you may use these extra allowances 
only for those equipment models forwhich you, or an affiliated company, 
do not also produce the engine.After considering the circumstances, we 
may permit you to introduceinto U.S. commerce equipment with such 
engines that do not comply withTier 3 emission standards, as follows:
    (1) We may approve additional exemptions if extreme and 
unusualcircumstances that are clearly outside your control and that 
could nothave been avoided with reasonable discretion have resulted 
intechnical or engineering problems that prevent you from meeting 
therequirements of this part. You must show that you exercised 
prudentplanning and have taken all reasonable steps to minimize the 
scope ofyour request for additional allowances.
    (2) To apply for exemptions under this paragraph (i), send 
theDesignated Compliance Officer and the Designated Enforcement Officer 
awritten request as soon as possible before you are in violation. Inyour 
request, include the following information:
    (i) Describe your process for designing equipment.
    (ii) Describe how you normally work cooperatively or 
concurrentlywith your engine supplier to design products.
    (iii) Describe the engineering or technical problems causing youto 
request the exemption and explain why you have not been able tosolve 
them. Describe the extreme and unusual circumstances that led tothese 
problems and explain how they were unavoidable.
    (iv) Describe any information or products you received from 
yourengine supplier related to equipment design--such as 
writtenspecifications, performance data, or prototype engines--and 
whenyou received it.
    (v) Compare the design processes of the equipment model for whichyou 
need additional exemptions and that for other models for which youdo not 
need additional exemptions. Explain the technical differencesthat 
justify your request.
    (vi) Describe your efforts to find and use other compliantengines, 
or otherwise explain why none is available.
    (vii) Describe the steps you have taken to minimize the scope ofyour 
request.
    (viii) Include other relevant information. You must give us 
otherrelevant information if we ask for it.
    (ix) Estimate the increased percent of production you need foreach 
equipment model covered by your request, as described inparagraph (i)(3) 
of this section. Estimate the increased number ofallowances you need for 
each equipment model covered by your request,as described in paragraph 
(i)(4) of this section.
    (3) We may approve your request to increase the allowances 
underparagraph (d)(1) of this section, subject to the 
followinglimitations:
    (i) The additional allowances will not exceed 50 percent for 
eachpower category.
    (ii) You must use up the allowances under paragraph (d)(1) of 
thissection before using any additional allowance under this 
paragraph(i).
    (iii) Any allowances we approve under this paragraph (i)(3) expire24 
months after the provisions of this section start for a given 
powercategory. You may use these allowances only for the specific 
equipmentmodels covered by your request.
    (4) We may approve your request to increase the allowances for 
the37-75 kW power category under paragraph (d)(2) of this 
section,subject to the following limitations:
    (i) You are eligible for additional allowances under thisparagraph 
(i)(4)

[[Page 51]]

only if you are a small equipment manufacturerand you do not use the 
provisions of paragraph (i)(3) of this sectionto obtain additional 
allowances for the 37-75 kW powercategory.
    (ii) You must use up all the available allowances for the37-75 kW 
power category under paragraph (d)(2) of this sectionin a given year 
before using any additional allowances under thisparagraph (i)(4).
    (iii) Base your request only on equipment you produce with enginesat 
or above 37 kW and below 75 kW. You may use any additionalallowances 
only for equipment you produce with engines at or above 37kW and below 
75 kW.
    (iv) Any allowances we approve under this paragraph (i)(4) expire24 
months after the provisions of this section start for this 
powercategory. These additional allowances are not subject to the 
annuallimits specified in paragraph (d)(2) of this section. You may 
usethese allowances only for the specific equipment models covered 
byyour request.
    (v) The total allowances under paragraph (d)(2) of this sectionfor 
the 37-75 kW power category will not exceed 700 units. Thetotal 
allowances under this paragraph (i)(4) follow the requirementsunder 
paragraph (d)(2) of this section for the 37-75 kW powercategory and will 
not exceed 200 units. Therefore, the total maximumallowances for the 37-
75 kW power category will not exceed 900units.
    (5) For purposes of this paragraph (i), small equipmentmanufacturer 
means an equipment manufacturer that had annual U.S.-directed production 
volume of equipment using nonroad diesel enginesbetween 37 and 75 kW of 
no more than 3,000 units in 2002 and allearlier calendar years, and has 
750 or fewer employees (500 or feweremployees for nonroad equipment 
manufacturers that produce noconstruction equipment or industrial 
trucks). For manufacturers ownedby a parent company, the production 
limit applies to the production ofthe parent company and all its 
subsidiaries and the employee limitapplies to the total number of 
employees of the parent company and allits subsidiaries.
    (6) The following provisions for adjusted flexibilities for Tier 
4engines apply to equipment manufacturers that are granted 
additionalexemptions for technical or engineering hardship:
    (i) If you use the additional allowance under this paragraph (i)you 
shall forfeit percent of production flexibility plus technical 
orengineering hardship exemptions available for Tier 4 engines in 
theamounts shown in Table 1 of this section.
    (ii) Table 1 of this section shows the percent of 
productionflexibility and technical or engineering hardship exemptions 
that youmust forfeit for Tier 4 engines. The amount of Tier 4 
flexibilityforfeited by each equipment manufacturer depends on the 
percent ofproduction flexibility used for Tier 2 engines and the 
technical orengineering hardship exemptions granted for Tier 3 engines 
in theproportions shown in Table 1. For example, if you used 45 percent 
ofyour production flexibility for Tier 2 engines, you must forfeit 
2percent of your production flexibility for Tier 4 engines for every 
1percent of technical or engineering hardship flexibility granted 
forTier 3 engines. In addition you must also forfeit 1 percent of 
anytechnical or engineering hardship exemptions available for Tier 
4engines for every 1 percent technical or engineering hardshipexemptions 
available for Tier 3 engines. If you use the Tier 3technical or 
engineering hardship allowances for 5 percent of yourequipment in each 
of two different years, you have used a totalallowance of 10 percent. 
Therefore you must forfeit a total of 20percent of production 
flexibility for Tier 4 engines plus 10 percentof any technical or 
engineering hardship exemptions available for Tier4 engines.

      Table 1 ofSec.  89.102--Adjustments to Tier 4 Flexibilities
------------------------------------------------------------------------
                                               Percent of
                                              forfeitTier    Percent of
Percent of use Tier 2 production flexibility       4        forfeit Tier
                                               production     4 tech./
                                              flexibility  eng.exemption
------------------------------------------------------------------------
Greater than 0% and up to 20%...............            0             1
Greater than 20% and up to 40%..............            1             1
Greater than 40% and up to 60%..............            2             1
Greater than 60% and up to 80%..............            3             1
------------------------------------------------------------------------

    (iii) Because the Tier 3 and Tier 4 rules have different 
powercategory

[[Page 52]]

ranges, the availability of technical relief will befurther adjusted 
based on the sales volume by power category. Table 2of this section 
shows the applicable power categories for Tier 3 andTier 4. The Tier 3 
power categories of 37kW to 75kW and 75kW to 130kWcorrespond to the Tier 
4 power category of 56kW to 130kW. For the Tier3 equipment in the 37 to 
75kW category, you must only use the salesvolume for equipment that uses 
engines with a rated power greater than56kW. For example, if you have a 
Tier 3 piece of equipment that uses a40 kW engine, the sales of the 
equipment are counted in the Tier 4power category of 19kW to 56kW. If 
you have a Tier 3 piece ofequipment that uses a 60kW engine, the sales 
of the equipment arecounted in the Tier 4 power category of 56kW to 
130kW. The Tier 3power categories of 130kW to 225kW, 225kW to 450kW and 
450kW to 560kWcorrespond to the Tier 4 power category of 130kW to 560kW. 
You willneed to sum the sales of the Tier 3 power categories that 
correspondto the Tier 4 power category during each calendar year in 
which Tier 3technical relief is used. The sum of all the Tier 3 units 
that areproduced and exempted by the technical relief divided by the sum 
ofall the Tier 3 units sold in the corresponding Tier 4 power 
categorywill determine the percentage of Tier 4 flexibility affected. 
Forexample, if you produce 50 units using Tier 3 technical relief in 
therange of 130kW to 225kW, and you produce 50 units using Tier 
3technical relief in the range of 225 to 450kW, and no units areproduced 
in the 450kW to 560kW range, and your overall sales volumefor the power 
ranges of 130kW to 560kW in Tier 3 is 400 units, theamount of Tier 3 
technical relief used is 100/400 or 25 percent.Because you forfeit 1 
percent of your Tier 4 technical relief forevery 1 percent of Tier 3 
technical relief used, then you will lose 25percent of your Tier 4 
technical relief in the 130kW to 560kW powerrange category. If you used 
45 percent of your production flexibilityfor Tier 2 engines, you must 
forfeit 2 percent of productionflexibility for Tier 4 engines for every 
1 percent of Tier 3 technicalrelief. Therefore, you will forfeit 50 
percent of your Tier 4production allowance in the 130kW to 560kW power 
range category.

Table 2 ofSec.  89.102--Corresponding Tier 3 and Tier 4 PowerCategories
------------------------------------------------------------------------
         Tier 3  power categories             Tier 4  power categories
------------------------------------------------------------------------
37<=kW<75\*\..............................  19<=kW<56
37<=kW<75\**\, 75<=kW<130.................  56<=kW<130
130<=kW<225, 225<=kW<450,450<=kW<560......  130<=kW<=560
------------------------------------------------------------------------
\*\ Applies only to use of engines rated between 37kW and56kW by small
  volume equipment manufacturers.
\**\ Includes only equipment that uses engines with a ratedpower greater
  than 56kw.

    (iv) Manufacturers using allowances under this paragraph (i) 
mustcomply with the notification and reporting requirements specified 
inparagraph (i)(7) of this section.
    (7) Notification and reporting. You must notify us of your intentto 
use the technical relief provisions of this paragraph (i) and sendus an 
annual report to verify that you are not exceeding theallowances, as 
follows:
    (i) Before the first year you intend to use the provisions of 
thissection, send the Designated Compliance Officer and the 
DesignatedEnforcement Officer a written notice of your intent, 
including:
    (A) Your company's name and address, and your parent company'sname 
and address, if applicable.
    (B) Whom to contact for more information.
    (C) The calendar years in which you expect to use the 
exemptionprovisions of this section.
    (D) The name and address of the company that produces the enginesyou 
will be using for the equipment exempted under this section.
    (E) Your best estimate of the number of units in each powercategory 
you will produce under this section and whether you intend tocomply 
under paragraph (d)(1) or (d)(2) of this section.
    (F) The number of units in each power category you have sold 
inprevious calendar years under paragraph (d) of this section.
    (ii) For each year that you use the provisions of this section,send 
the Designated Compliance Officer and the Designated EnforcementOfficer 
a written report by March 31 of the following

[[Page 53]]

year.Include in your report the total number of engines you sold in 
thepreceding year for each power category, based on actual U.S.-
directedproduction information. Also identify the percentages of U.S.-
directedproduction that correspond to the number of units in each 
powercategory and the cumulative numbers and percentages of units for 
allthe units you have sold under this section for each power 
category.You may omit the percentage figures if you include in the 
report astatement that you will not be using the percent-of-
productionallowances in paragraph (d) of this section.
    (8) Recordkeeping. Keep the following records of allequipment with 
exempted engines you produce under this paragraph (i)for at least five 
full years after the final year in which allowancesare available for 
each power category:
    (i) The model number, serial number, and the date of manufacturefor 
each engine and piece of equipment.
    (ii) The maximum power of each engine.
    (iii) The total number or percentage of equipment with 
exemptedengines, as described in paragraph (d) of this section and 
alldocumentation supporting your calculation.
    (iv) The notifications and reports we require under paragraph (i)(7) 
of this section.
    (9) Equipment Labeling. Any engine produced under thisparagraph (i) 
must meet the labeling requirements of 40 CFR 89.110,but add the 
following statement instead of the compliance statement in40 CFR 89.110 
(b)(10): THIS ENGINE MEETS U.S. EPA EMISSION STANDARDSUNDER 40 CFR 
89.102. SELLING OR INSTALLING THIS ENGINE FOR ANY PURPOSEOTHER THAN FOR 
THE EQUIPMENT FLEXIBILITY PROVISIONS OF 40 CFR 89.102MAY BE A VIOLATION 
OF FEDERAL LAW SUBJECT TO CIVIL PENALTY.
    (10) Enforcement. Producing more exempted engines orequipment than 
we allow under this paragraph (i) or installing enginesthat do not meet 
the applicable Tier 1 emission standards described inSec. 89.112 
violates the prohibitions inSec. 89.1003(a)(1). You must give us the 
records we requireunder this paragraph (i) if we ask for them (seeSec. 
89.1003(a)(2)).

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
56997, Oct. 23, 1998; 70 FR 40444, July 13, 2005; 72 FR 53127,Sept. 18, 
2007; 72 FR 72956, Dec. 26, 2007]



Sec. 89.103  Definitions.

    The definitions in subpart A of part 89 apply to this subpart. 
Allterms not defined herein or in subpart A have the meaning given 
themin 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 
ofthe engine.
    (1) For all engines rated under 19 kW, and for constant speedengines 
rated under 37 kW with rated speeds greater than or equal to3,000 rpm, 
the useful life is a period of 3,000 hours or five years ofuse, 
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 
aperiod of 8,000 hours of operation or ten years of use, whicheverfirst 
occurs.
    (b) Engines are subject to recall testing for a period based onthe 
rated power and rated speed of the engines. However, in a recall,engines 
in the subject class or category would be subject to recallregardless of 
actual years or hours of operation.
    (1) For all engines rated under 19 kW, and for constant speedengines 
rated under 37 kW with rated speeds greater than or equal to3,000 rpm, 
the engines are subject to recall testing for a period of2,250 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 
fiveyears of use, whichever first occurs.
    (3) For all engines rated at or above 37 kW, the engines aresubject 
to recall for a period of 6,000 hours of operation or sevenyears of use, 
whichever first occurs.

[[Page 54]]

    (c) The warranty periods for warranties imposed by the CleanAir Act 
and Sec. 89.1007 for all engines rated under 19 kW,and for constant 
speed engines rated under 37 kW with rated speedsgreater than or equal 
to 3,000 rpm, are 1,500 hours of operation ortwo years of use, whichever 
first occurs. For all other engines, thewarranty periods for warranties 
imposed by the Clean Air Act andSec. 89.1007 are 3,000 hours of 
operation or five years ofuse, whichever first occurs.
    (d) Manufacturers may apply to the Administrator for approval fora 
shorter useful life period for engines that are subject to severeservice 
in seasonal equipment, or are designed specifically for loweruseful life 
hours to match equipment life. Such an application must bemade prior to 
certification.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
56998, Oct. 23, 1998]



Sec. 89.105  Certificate of conformity.

    Every manufacturer of a new nonroad compression-ignition enginemust 
obtain a certificate of conformity covering the engine family, 
asdescribed in Sec. 89.116. The certificate of conformity mustbe 
obtained from the Administrator prior to selling, offering forsale, 
introducing into commerce, or importing into the United Statesthe 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 systemfor 
the purpose of complying with emission standards if such systemwill 
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 
anunreasonable risk to public health, welfare, or safety whileoperating. 
For example, this would apply if the engine emits a noxiousor toxic 
substance it would otherwise not emit that contributes tosuch 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 operationoutside normal 
emission test conditions and reduces emission controleffectiveness.
    (1) Defeat device includes any auxiliary emission control 
device(AECD) that reduces the effectiveness of the emission control 
systemunder conditions which may reasonably be expected to be 
encountered innormal operation and use unless such conditions are 
included in thetest procedure.
    (2) Defeat device does not include such items which either 
operateonly during engine starting or are necessary to protect the 
engine (orequipment in which it is installed) against damage or accident 
duringits 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 mustcomply 
with all requirements of this subpart for any adjustment in 
thephysically adjustable range.
    (b) An operating parameter is not considered adjustable if it 
ispermanently sealed or otherwise not normally accessible using 
ordinarytools.
    (c) The Administrator may require that adjustable parameters beset 
to any specification within its adjustable range forcertification, 
selective enforcement audit, or in-use testing todetermine compliance 
with the requirements of this subpart.
    (d) For engines that use noncommercial fuels significantlydifferent 
than the specified test fuel of the same type, themanufacturer may ask 
to use the parameter-adjustment provisions of 40CFR 1039.615 instead of 
those in this section. Engines certified underthis

[[Page 55]]

paragraph (d) must be in a separate engine family. See 40 CFR1039.801 
for the definition of ``noncommercial fuels''.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct.23, 1998, 
as amended at 72 FR 53129, Sept. 18, 2007]



Sec. 89.109  Maintenance instructions and minimum allowable maintenanceintervals.

    (a) The manufacturer must furnish or cause to be furnished to 
theultimate purchaser of each new nonroad engine subject to 
standardsunder this part written instructions for the maintenance needed 
toensure proper functioning of the emission control system. 
Paragraphs(b) through (h) of this section do not apply to Tier 1 engines 
withrated power at or above 37 kW.
    (b) Maintenance performed on equipment, engines, subsystems 
orcomponents used to determine exhaust emission deterioration factors 
isclassified as either emission-related or nonemission-related and 
eachof these can be classified as either scheduled or 
unscheduled.Further, some emission-related maintenance is also 
classified ascritical emission-related maintenance.
    (c) This paragraph (c) specifies emission-related 
scheduledmaintenance for purposes of obtaining durability data for 
nonroadengines. The maintenance intervals specified below are 
minimumintervals:
    (1) All emission-related scheduled maintenance for purposes 
ofobtaining durability data must occur at the same or longer hours ofuse 
intervals as those specified in the manufacturer's 
maintenanceinstructions furnished to the ultimate purchaser of the 
engine underparagraph (a) of this section. This maintenance schedule may 
beupdated as necessary throughout the testing of the engine, 
providedthat no maintenance operation is deleted from the maintenance 
scheduleafter the operation has been performed on the test equipment 
orengine.
    (2) Any emission-related maintenance which is performed onequipment, 
engines, subsystems, or components must be technologicallynecessary to 
ensure in-use compliance with the emission standards. Themanufacturer 
must submit data which demonstrate to the Administratorthat all of the 
emission-related scheduled maintenance which is to beperformed is 
technologically necessary. Scheduled maintenance must beapproved by the 
Administrator prior to being performed or beingincluded in the 
maintenance instructions provided to the purchasersunder paragraph (a) 
of this section.
    (i) The Administrator may require longer maintenance intervalsthan 
those listed in paragraphs (c)(3) and (c)(4) of this sectionwhere the 
listed intervals are not technologically necessary.
    (ii) The Administrator may allow manufacturers to specify 
shortermaintenance intervals than those listed in paragraphs (c)(3) and 
(c)(4) of this section where technologically necessary for engines 
ratedunder 19 kW, or for constant speed engines rated under 37 kW 
withrated speeds greater than or equal to 3,000 rpm.
    (3) The adjustment, cleaning, repair, or replacement of itemslisted 
in paragraphs (c)(3)(i) through (c)(3)(iii) of this sectionshall occur 
at 1,500 hours of use and at 1,500-hour intervalsthereafter.
    (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 
hoursof use and at 3,000-hour intervals thereafter for nonroad 
compression-ignition engines rated under 130 kW, or at 4,500-hour 
intervalsthereafter for nonroad compression-ignition engines rated at or 
above130 kW.
    (i) Fuel injectors.
    (ii) Turbocharger.
    (iii) Electronic engine control unit and its associated sensorsand 
actuators.
    (iv) Particulate trap or trap-oxidizer system (including 
relatedcomponents).
    (v) Exhaust gas recirculation system (including all relatedcontrol 
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., acomponent

[[Page 56]]

whose sole or primary purpose is to reduce emissions orwhose failure 
will significantly degrade emission control and whosefunction is not 
integral to the design and performance of the engine).
    (d) Scheduled maintenance not related to emissions which 
isreasonable and technologically necessary (e.g., oil change, oil 
filterchange, fuel filter change, air filter change, cooling 
systemmaintenance, adjustment of idle speed, governor, engine bolt 
torque,valve lash, injector lash, timing, lubrication of the exhaust 
manifoldheat control valve, etc.) may be performed on durability 
vehicles atthe least frequent intervals recommended by the manufacturer 
to theultimate purchaser, (e.g., not the intervals recommended for 
severeservice).
    (e) Adjustment of engine idle speed on emission data engines maybe 
performed once before the low-hour emission test point. Any otherengine, 
emission control system, or fuel system adjustment, repair,removal, 
disassembly, cleaning, or replacement on emission datavehicles shall be 
performed only with advance approval of theAdministrator.
    (f) Equipment, instruments, or tools may not be used to 
identifymalfunctioning, maladjusted, or defective engine components 
unless thesame or equivalent equipment, instruments, or tools will be 
availableto dealerships and other service outlets and:
    (1) Are used in conjunction with scheduled maintenance on 
suchcomponents; or
    (2) Are used subsequent to the identification of a vehicle orengine 
malfunction, as provided in paragraph (e) of this section foremission 
data engines; or
    (3) Specifically authorized by the Administrator.
    (g) All test data, maintenance reports, and required 
engineeringreports shall be compiled and provided to the Administrator 
inaccordance 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-
relatedcomponents.
    (i) Catalytic converter.
    (ii) Electronic engine control unit and its associated sensors 
andactuators.
    (iii) Exhaust gas recirculation system (including all 
relatedfilters, 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., acomponent 
whose sole or primary purpose is to reduce emissions orwhose failure 
will significantly degrade emission control and whosefunction is not 
integral to the design and performance of the engine).
    (2) All critical emission-related scheduled maintenance must havea 
reasonable likelihood of being performed in use. The manufacturermust 
show the reasonable likelihood of such maintenance beingperformed in-
use. Critical emission-related scheduled maintenanceitems which satisfy 
one of the conditions defined in paragraphs (h)(2)(i) through (h)(2)(vi) 
of this section will be accepted as having areasonable likelihood of 
being performed in use.
    (i) Data are presented which establish for the Administrator 
aconnection between emissions and vehicle performance such that 
asemissions increase due to lack of maintenance, vehicle performancewill 
simultaneously deteriorate to a point unacceptable for typicaloperation.
    (ii) Survey data are submitted which adequately demonstrate to 
theAdministrator with an 80 percent confidence level that 80 percent 
ofsuch engines already have this critical maintenance item performed in-
use at the recommended interval(s).
    (iii) A clearly displayed visible signal system approved by 
theAdministrator is installed to alert the equipment operator 
thatmaintenance is due. A signal bearing the message 
``maintenanceneeded'' or ``check engine,'' or a similar messageapproved 
by the Administrator, shall be actuated at the appropriateusage point or 
by component failure. This signal must be continuouswhile the engine is 
in operation and not be easily eliminated withoutperformance of the 
required maintenance.

[[Page 57]]

Resetting the signalshall be a required step in the maintenance 
operation. The method forresetting the signal system shall be approved 
by the Administrator.The system must not be designed to deactivate upon 
the end of theuseful life of the engine or thereafter.
    (iv) A manufacturer may desire to demonstrate through a surveythat a 
critical maintenance item is likely to be performed without avisible 
signal on a maintenance item for which there is no prior in-use 
experience without the signal. To that end, the manufacturer mayin a 
given model year market up to 200 randomly selected vehicles percritical 
emission-related maintenance item without such visiblesignals, and 
monitor the performance of the critical maintenance itemby the owners to 
show compliance with paragraph (h)(2)(ii) of thissection. This option is 
restricted to two consecutive model years andmay not be repeated until 
any previous survey has been completed. Ifthe critical maintenance 
involves more than one engine family, thesample will be sales weighted 
to ensure that it is representative ofall the families in question.
    (v) The manufacturer provides the maintenance free of charge, 
andclearly informs the customer that the maintenance is free in 
theinstructions provided under paragraph (a) of this section.
    (vi) The manufacturer uses any other method which theAdministrator 
approves as establishing a reasonable likelihood thatthe critical 
maintenance will be performed in-use.
    (3) Visible signal systems used under paragraph (h)(2)(iii) ofthis 
section are considered an element of design of the emissioncontrol 
system. Therefore, disabling, resetting, or otherwiserendering such 
signals inoperative without also performing theindicated 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 
apermanent and legible label identifying each nonroad engine. The 
labelmust meet the following requirements:
    (1) Be attached in such a manner that it cannot be removed 
withoutdestroying or defacing the label;
    (2) Be durable and readable for the entire engine life;
    (3) Be secured to an engine part necessary for normal 
engineoperation 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 
personafter the engine is installed in the equipment. A supplemental 
labelmeeting all the requirements of this section may be attached to 
alocation other than the engine, in cases where the required label 
mustbe 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;though 
the label may identify another company and use its trademarkinstead of 
the manufacturer's if the provisions ofSec. 89.1009 are met.
    (3) EPA standardized engine family designation;
    (4) Engine displacement;
    (5) Advertised power;
    (6) Engine tuneup specifications and adjustments. These 
shouldindicate the proper transmission position during tuneup, 
andaccessories (for example, air conditioner), if any, that should be 
inoperation;
    (7) Fuel requirements;
    (8) Date of manufacture (month and year). The manufacturer may, 
inlieu of including the date of manufacture on the engine label,maintain 
a record of the engine manufacture dates. The manufacturershall provide 
the date of manufacture records to the Administratorupon request;
    (9) Family emission limits (FELs) if applicable;
    (10) The statement: ``This engine conforms to [model year]U.S. EPA 
regulations large nonroad compression- ignitionengines;''
    (11) Engines belonging to an engine family that has been certifiedas 
a constant-speed engine using the test cycle specified in Table 2of 
appendix B to subpart E of this part must contain the

[[Page 58]]

statementon the label: ``constant-speed only''; and
    (12) Engines meeting the voluntary standards described inSec. 
89.112(f)(1) to be designated as Blue Sky Seriesengines must contain the 
statement on the label: ``Blue SkySeries''.
    (c) Other information concerning proper maintenance and use 
orindicating compliance or noncompliance with other standards may 
beindicated on the label.
    (d) Each engine must have a legible unique engine 
identificationnumber permanently affixed to or engraved on the engine.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57000, Oct. 23, 1998; 70 FR 40444, July 13, 2005]



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 requirementsare 
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 particulatematter exhaust emission standards.

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

[[Page 59]]

[GRAPHIC] [TIFF OMITTED] TR23OC98.001

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

[[Page 60]]

    (c) Exhaust emission of particulate matter is measured usingthe 
California Regulations for New 1996 and Later Heavy-Duty Off-RoadDiesel 
Cycle Engines. This procedure is incorporated by reference. SeeSec. 
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 inthe averaging, 
banking, and trading program, the provisions of whichare specified in 
subpart C of this part. The manufacturer must set afamily emission limit 
(FEL) not to exceed the levels contained inTable 2. The FEL established 
by the manufacturer serves as thestandard for that engine family. Table 
2 follows:

[[Page 61]]

[GRAPHIC] [TIFF OMITTED] TR23OC98.002

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

[[Page 62]]

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 voluntarystandards 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 aresubject 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 emissionsare 
measured using the procedures set forth in 40 CFR part 1065, inlieu of 
the procedures set forth in subpart E of this part. COemissions may be 
measured using the procedures set forth either in 40CFR part 1065 or in 
subpart E of this part. Manufacturers may use analternate procedure to 
demonstrate the desired level of emissioncontrol if approved in advance 
by the Administrator. Engines meetingthe requirements to qualify as Blue 
Sky Series engines must be capableof maintaining a comparable level of 
emission control when testedusing the procedures set forth in paragraph 
(c) of this section andsubpart E of this part. The numerical emission 
levels measured usingthe procedures from subpart E of this part may be 
up to 20 percenthigher than those measured using the procedures from 40 
CFR part 1065and still be considered comparable.
    (g) Manufacturers of engines at or above 37 kW and below 56 kWfrom 
model years 2008 through 2012 that are subject to the standardsof this 
section under 40 CFR 1039.102 must take the followingadditional steps:
    (1) State the applicable PM standard on the emission 
controlinformation label.
    (2) Add information to the emission-related installationinstructions 
to clarify the equipment manufacturer's obligations under40 CFR 
1039.104(f).

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57000, Oct. 23, 1998; 69 FR 39212, June 29, 2004; 70 FR 40444,July 13, 
2005]



Sec. 89.113  Smoke emission standard.

    (a) Exhaust opacity from compression-ignition nonroad engines 
forwhich 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 orlugging 
modes.
    (b) Opacity levels are to be measured and calculated as set forthin 
40 CFR part 86, subpart I. Notwithstanding the provisions of 40 CFRpart 
86, subpart I, two-cylinder nonroad engines may be tested usingan 
exhaust muffler that is representative of exhaust mufflers usedwith the 
engines in use.
    (c) The following engines are exempt from the requirements of 
thissection:
    (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 FR56995, 
57003, Oct. 23, 1998]



Sec. 89.114  Special and alternate test procedures.

    (a) Special test procedures. The Administrator may, on thebasis of 
written application by a manufacturer, establish special testprocedures 
other than those set forth in this part, for any nonroadengine that the 
Administrator determines is not susceptible tosatisfactory testing under 
the specified test procedures set forth insubpart E of this part or 40 
CFR part 86, subpart I.
    (b) Alternate test procedures. (1) A manufacturer may electto use an 
alternate test procedure provided that it yields equivalentresults to 
the specified procedures, its use is approved in

[[Page 63]]

advance by the Administrator, and the basis for equivalent resultswith 
the specified test procedures is fully described in themanufacturer's 
application.
    (2) The Administrator may reject data generated under alternatetest 
procedures which do not correlate with data generated under thespecified 
procedures.
    (3) A manufacturer may elect to use the test procedures in 40 
CFRpart 1065 as an alternate test procedure without advance approval 
bythe Administrator. The manufacturer must identify in its 
applicationfor certification that the engines were tested using the 
procedures in40 CFR part 1065. For any EPA testing with Tier 2 or Tier 3 
engines,EPA will use the manufacturer's selected procedures for 
mappingengines, generating duty cycles, and applying cycle-
validationcriteria. For any other parameters, EPA may conduct testing 
usingeither of the specified procedures.
    (4) Where we specify mandatory compliance with the procedures of40 
CFR part 1065, such as in Sec. 89.419, manufacturers mayelect to use 
the procedures specified in 40 CFR part 86, subpart N, asan alternate 
test procedure without advance approval by theAdministrator.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57003, Oct. 23, 1998; 69 FR 39212, June 29, 2004; 70 FR 40445,July 13, 
2005]



Sec. 89.115  Application for certificate.

    (a) For each engine family that complies with all 
applicablestandards and requirements, the engine manufacturer must 
submit to theAdministrator a completed application for a certificate of 
conformity.
    (b) The application must be approved and signed by the 
authorizedrepresentative of the manufacturer.
    (c) The application will be updated and corrected by amendment 
asprovided for in Sec. 89.123 to accurately reflect themanufacturer's 
production.
    (d) Required content. Each application must include thefollowing 
information:
    (1) A description of the basic engine design including, but 
notlimited to, the engine family specifications, the provisions of 
whichare contained in Sec. 89.116;
    (2) An explanation of how the emission control system 
operates,including a detailed description of all emission control 
systemcomponents, each auxiliary emission control device (AECD), and 
allfuel system components to be installed on any production or 
testengine(s);
    (3) Proposed test fleet selection and the rationale for the 
testfleet selection;
    (4) Special or alternate test procedures, if applicable;
    (5) The period of operation necessary to accumulate service hourson 
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 associatedproduction 
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 toestablish 
each physically adjustable range; and
    (v) Information relating to why the physical limits or stops usedto 
establish the physically adjustable range of each parameter, or anyother 
means used to inhibit adjustment, are effective in preventingadjustment 
of parameters to settings outside the manufacturer'sintended physically 
adjustable ranges on in-use engines;
    (7) For families participating in the averaging, banking, andtrading 
program, the information specified in subpart C of this part;
    (8) A description of the test equipment and fuel proposed to beused;
    (9) All test data obtained by the manufacturer on each testengine;
    (10) An unconditional statement certifying that all engines in 
theengine family comply with all requirements of this part and the 
CleanAir Act.
    (11) A statement indicating whether the engine family containsonly 
nonroad engines, only stationary engines, or both.

[[Page 64]]

    (e) At the Administrator's request, the manufacturer mustsupply such 
additional information as may be required to evaluate theapplication 
including, but not limited to, projected nonroad engineproduction.
    (f)(1) The Administrator may modify the information 
submissionrequirements of paragraph (d) of this section, provided that 
all ofthe information specified therein is maintained by the 
enginemanufacturer 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 thissection whether or not 
such information is actually submitted to theAdministrator for any 
particular model year.
    (3) The Administrator may review an engine manufacturer's recordsat 
any time. At the Administrator's discretion, this review may takeplace 
either at the manufacturer's facility or at another facilitydesignated 
by the Administrator.
    (g) The manufacturer must name an agent for service located in 
theUnited States. Service on this agent constitutes service on 
themanufacturer or any of its officers or employees for any action by 
EPAor otherwise by the United States related to the requirements of 
thispart.

[59 FR 31335, June 17, 1994, as amended at 61 FR 20741, May 8,1996. 
Redesignated at 63 FR 56995, Oct. 23, 1998, as amended at 71 FR39184, 
July 11, 2006; 72 FR 53129, Sept. 18, 2007]



Sec. 89.116  Engine families.

    (a) A manufacturer's product line is divided into engine 
familiesthat are comprised of engines expected to have similar 
emissioncharacteristics 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, 
catalyticconverter or particulate trap);
    (5) Combustion chamber design;
    (6) Bore;
    (7) Stroke;
    (8) Number of cylinders, (engines with aftertreatment devicesonly); 
and
    (9) Cylinder arrangement (engines with aftertreatment devicesonly).
    (c) Upon a showing by the manufacturer that the useful life 
periodemission characteristics are expected to be similar, engines 
differingin one or more of the characteristics in paragraph (b) of this 
sectionmay be grouped in the same engine family.
    (d) Upon a showing by the manufacturer that the expected usefullife 
period emission characteristics will be different, enginesidentical in 
all the characteristics of paragraph (b) of this sectionmay be divided 
into separate engine families.
    (e)(1) This paragraph (e) applies only to the placement of Tier 
1engines with power ratings under 37 kW into engine families. 
Theprovisions of paragraphs (a) through (d) of this section also apply 
tothese engines. The power categories referred to in this paragraph 
(e)are those for which separate standards or implementation dates 
aredescribed in Sec. 89.112.
    (2) A manufacturer may place engines with power ratings in onepower 
category into an engine family comprised of engines with powerratings in 
another power category, and consider all engines in theengine family as 
being in the latter power category for the purpose ofdetermining 
compliance with the standards and other requirements ofthis part, 
subject to approval in advance by the Administrator and thefollowing 
restrictions:
    (i) The engines that have power ratings outside the enginefamily's 
power category must constitute less than half of the enginefamily's 
sales in each model year for which the engine family groupingis made; 
and
    (ii) The engines that have power ratings outside the enginefamily's 
power category must have power ratings that are within tenpercent of 
either of the two power levels that define the enginefamily'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 
otherrequirements of this part are at least as stringent for the 
enginefamily's power category as those of the other power categories

[[Page 65]]

containing engines in the engine family.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57003, Oct. 23, 1998]



Sec. 89.117  Test fleet selection.

    (a) The manufacturer must select for testing, from each 
enginefamily, the engine with the most fuel injected per stroke of 
aninjector, primarily at the speed of maximum torque and secondarily 
atrated speed.
    (b) Each engine in the test fleet must be constructed to 
berepresentative of production engines.
    (c) After review of the manufacturer's test fleet, theAdministrator 
may select from the available fleet one additional testengine from each 
engine family.
    (d) For establishing deterioration factors, the manufacturer 
shallselect the engines, subsystems, or components to be used to 
determineexhaust emission deterioration factors for each engine-family 
controlsystem combination. Engines, subsystems, or components shall 
beselected so that their emission deterioration characteristics 
areexpected to represent those of in-use engines, based on 
goodengineering judgment.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57003, Oct. 23, 1998]



Sec. 89.118  Deterioration factors and service accumulation.

    This section applies to service accumulation used to 
determinedeterioration factors and service accumulation used to 
condition testengines. Paragraphs (a) and (b) of this section apply only 
for serviceaccumulation used to condition test engines. Paragraph (e) of 
thissection applies only for service accumulation used to 
determinedeterioration factors. Paragraphs (c) and (d) of this section 
applyfor all service accumulation required by this part.
    (a)(1) Each test engine in the test fleet must be operated withall 
emission control systems operating properly for a periodsufficient to 
stabilize emissions.
    (2) A manufacturer may elect to consider as stabilized 
emissionlevels from engines with no more than 125 hours of service.
    (b) No maintenance, other than recommended lubrication and 
filterchanges, may be performed during service accumulation without 
theAdministrator's approval.
    (c) Service accumulation should be performed in a manner usinggood 
engineering judgment to ensure that emissions are representativeof in-
use engines.
    (d) The manufacturer must maintain, and provide to theAdministrator 
if requested, records stating the rationale forselecting the service 
accumulation period and records describing themethod used to accumulate 
service hours on the test engine(s).
    (e) This paragraph (e) describes service accumulation andalternative 
requirements for the purpose of developing deteriorationfactor.
    (1) Service accumulation on engines, subsystems, or 
componentsselected by the manufacturer under Sec. 89.117(d). 
Themanufacturer shall describe the form and extent of this 
serviceaccumulation in the application for certification.
    (2) Determination of exhaust emission deterioration factors.The 
manufacturer shall determine the deterioration factors inaccordance with 
the applicable provisions of this part based onservice accumulation and 
related testing, according to themanufacturer's procedures, except as 
provided in paragraph (e)(3) ofthis section.
    (3) Alternatives to service accumulation and testing for 
thedetermination of a deterioration factor. A written explanation ofthe 
appropriateness of using an alternative must be included in 
theapplication for certification.
    (i) Carryover and carryacross of durability emission data.In lieu of 
testing an emission data or durability data engine selectedunder Sec. 
89.117(d), a manufacturer may, with Administratorapproval, use exhaust 
emission deterioration data on a similar enginefor which certification 
to the same standard has previously beenobtained or for which all 
applicable data required underSec. 89.124 has previously been 
submitted. This data must besubmitted in the application for 
certification.
    (ii) Use of on-highway deterioration data. In the case wherea 
manufacturer produces a certified on-highway engine that is similarto 
the nonroad engine

[[Page 66]]

to be certified, deterioration data from theon-highway engine may be 
applied to the nonroad engine. Thisapplication of deterioration data 
from an on-highway engine to anonroad engine is subject to Administrator 
approval, and thedetermination of whether the engines are similar must 
be based on goodengineering judgment.
    (iii) Engineering analysis for established technologies. (A)In the 
case where an engine family uses established technology, ananalysis 
based on good engineering practices may be used in lieu oftesting to 
determine a deterioration factor for that engine family,subject to 
Administrator approval.
    (B) Engines for which the certification levels are not at or 
belowthe Tier 3 NMHC+NOX standards described inSec. 89.112 
are considered established technology, except asprovided in paragraph 
(e)(3)(iii)(D) of this section.
    (C) Manufacturers may petition the Administrator to consider 
anengine with a certification level below the Tier 3 
+NOXstandards as established technology. This petition must 
be based onproof that the technology used is not significantly different 
thanthat used on engines that have certification levels that are not 
belowthe Tier 3 NMHC+NOX levels.
    (D) Engines using exhaust gas recirculation or aftertreatment 
areexcluded 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 
theAdministrator that all data, analyses, test procedures, 
evaluations,and other documents, on which the deterioration factor is 
based, areavailable to the Administrator upon request.
    (iv) Interim provision for engines rated under 37 kW. Formodel year 
1999 and 2000 engines rated under 37 kW, manufacturers maydetermine 
deterioration factors based on good engineering judgementand reasonably 
available information. The manufacturer must maintainand provide to the 
Administrator, if requested, all information usedto determine 
deterioration factors for these engines.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57003, Oct. 23, 1998]



Sec. 89.119  Emission tests.

    (a) Manufacturer testing. (1) Upon completion of 
serviceaccumulation, the manufacturer must test each test engine using 
thespecified test procedures, except as provided inSec. 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-
DutyOff-Road Diesel Cycle Engines. This procedure has been incorporated 
byreference. See Sec. 89.6; and
    (iii) Part 86, subpart I of this chapter.
    (2) Each test engine must be configured to be representative 
ofactual in-use operation. The Administrator may specify the 
adjustmentof any adjustable parameter. All test results must be reported 
to theAdministrator.
    (b) Confirmatory testing. The Administrator may conductconfirmatory 
testing or other testing on any test engine. Themanufacturer must 
deliver test engines as directed by theAdministrator. When the 
Administrator conducts confirmatory testing orother testing, those test 
results are used to determine compliancewith emission standards.
    (c) Use of carryover test data. In lieu of testing tocertify an 
engine family for a given model year, the manufacturer maysubmit, with 
the Administrator's approval, emission test data used tocertify that 
engine family in previous years. This``carryover'' data is only 
allowable if the submitted testdata show that the test engine would 
comply with the emissionstandard(s) for the model year for which 
certification is beingsought.
    (d) The provisions of this paragraph (d) apply only to Tier 1nonroad 
engines without exhaust aftertreatment rated at or above 37kW.
    (1) Particulate emission measurements from Tier 1 nonroad 
engineswithout exhaust aftertreatment rated at or above 37 kW may be 
adjustedto a sulfur content of 0.05 weight percent.
    (2) Adjustments to the particulate measurement shall be made 
usingthe following equation:

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

Where:


[[Page 67]]


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 
sulfurcontent less than or equal to 0.050 weight percent, EPA shall not 
useemission data collected using test fuel with a sulfur content 
greaterthan 0.050 weight percent to determine compliance with the Tier 1 
PMstandards.
    (4) Where a manufacturer certifies using test fuel with a 
sulfurcontent greater than 0.050 weight percent, EPA shall not use 
emissiondata collected using test fuel with a sulfur content greater 
than0.050 weight percent to determine compliance with the Tier 1 
PMstandards, unless EPA adjusts the PM measurement using the 
equationspecified in paragraph (d)(2) of this section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57004, Oct. 23, 1998]



Sec. 89.120  Compliance with emission standards.

    (a) If all test engines representing an engine family haveemissions 
less than or equal to each emission standard, that familycomplies with 
the emission standards.
    (b) If any test engine representing an engine family has 
emissionsgreater than each emission standard, that family will be deemed 
not incompliance with the emission standard(s).
    (c) For each nonroad engine family, except Tier 1 engine 
familieswith 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 
emissionlimits, as appropriate) for nonroad compression-ignition engines 
applyto the emissions of engines for their useful life.
    (2) [Reserved]
    (3)(i) This paragraph (c)(3) describes the procedure fordetermining 
compliance of an engine with emission standards (or familyemission 
limits, as appropriate), based on deterioration factorssupplied by the 
manufacturer. The NMHC + NOX deteriorationfactors shall be 
established based on the sum of the pollutants,except as provided in 
paragraph (c)(3)(iv) of this section. Whenestablishing deterioration 
factors for NMHC + NOX. anegative deterioration (emissions 
decrease from the official emissionstest result) for one pollutant may 
not offset deterioration of theother pollutant.
    (ii) Separate emission deterioration factors, determined by 
themanufacturer according to the requirements of Sec. 89.118,shall be 
provided in the certification application for each engine-system 
combination. Separate deterioration factors shall beestablished for each 
regulated pollutant, except that a combined NMHC+ NOX 
deterioration factor shall be established forcompression-ignition 
nonroad engines not utilizing aftertreatmenttechnology. For smoke 
testing, separate deterioration factors shallalso 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 
utilizingaftertreatment technology (e.g., particulate traps). For CO, 
NMHC +NOX. and particulate, the official exhaust 
emissionresults for each emission data engine at the selected test point 
shallbe adjusted by addition of the appropriate deterioration 
factor.However, if the deterioration factor supplied by the manufacturer 
isless than zero, it shall be zero for the purposes of this 
paragraph(c)(3)(iii).
    (iv) Compression-ignition nonroad engines utilizingaftertreatment 
technology (e.g., particulate traps). For CO, NMHC +NOX. and 
particulate, the official exhaust emissionresults for each emission data 
engine at the selected test point shallbe adjusted by multiplication by 
the appropriate deterioration factor.Separate NMHC and NOX 
deterioration factors shall beapplied to the results for these 
pollutants prior to combining theresults. If the deterioration factor 
supplied by the manufacturer isless 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''), theofficial exhaust emission results for each emission 
data engine at

[[Page 68]]

the selected test point shall be adjusted by the addition of 
theappropriate deterioration factor. However if the 
deteriorationsupplied by the manufacturer is less than zero, it shall be 
zero forthe purposes of this paragraph (c)(3)(v).
    (vi) The emission values to compare with the standards (or 
familyemission limits, as appropriate) shall be the adjusted emission 
valuesof paragraphs (c)(3)(iii) through (v) of this section, rounded to 
thesame number of significant figures as contained in the 
applicablestandard in accordance with ASTM E29-93a, for each 
emissiondata engine. This procedure has been incorporated by reference 
atSec. 89.6.
    (4) Every test engine of an engine family must comply with 
allapplicable standards (or family emission limits, as appropriate), 
asdetermined in paragraph (c)(3)(vi) of this section, before any 
enginein that family will be certified.
    (d) For engine families included in the averaging, banking, 
andtrading program, the families' emission limits (FELs) are used in 
lieuof the applicable federal emission standard.
    (e) For the purposes of setting an NMHC + 
NOXcertification level or FEL, one of the following options 
shall be usedfor the determination of NMHC for an engine family. The 
manufacturermust declare which option is used in its application for 
certificationof that engine family.
    (1) The manufacturer may assume that up to two percent of 
themeasured THC is methane (NMHC = 0.98 x THC).
    (2) The manufacturer may measure NMHC emissions using a 
methodapproved by the Administrator prior to the start of testing. 
Thisoption allows the determination of NMHC emissions by 
subtractingmeasured methane emissions from measured THC emissions.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57004, Oct. 23, 1998]



Sec. 89.121  Certificate of conformity effective dates.

    The certificate of conformity is valid from the date of issuanceby 
EPA until 31 December of the model year or calendar year for whichit 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, requestfor 
certificate, information obtained from any inspection, and suchother 
information as the Administrator may require, the 
Administratordetermines that the application is complete and that the 
engine familymeets the requirements of this part and the Clean Air Act, 
theAdministrator 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 therequirements of 
this part and the Clean Air Act have not been met, theAdministrator will 
deny certification. The Administrator must give awritten explanation 
when certification is denied. The manufacturer mayrequest 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 
mustnotify the Administrator when changes to information required to 
bedescribed in the application for certification are to be made to 
aproduct line covered by a certificate of conformity. This 
notificationmust include a request to amend the application or the 
existingcertificate of conformity. Except as provided in paragraph (e) 
of thissection, the manufacturer shall not make said changes or produce 
saidengines prior to receiving approval from EPA.
    (b) A manufacturer's request to amend the application or theexisting 
certificate of conformity shall include the followinginformation:
    (1) A full description of the change to be made in production orof 
the engine to be added;
    (2) Engineering evaluations or data showing that engines asmodified 
or added will comply with all applicable emission standards;and

[[Page 69]]

    (3) A determination whether the manufacturer's original testfleet 
selection is still appropriate, and if the original test fleetselection 
is determined not to be appropriate, proposed test fleetselection(s) 
representing the engines changed or added which wouldhave been required 
if the engines had been included in the originalapplication for 
certification.
    (c) The Administrator may require the manufacturer to performtests 
on the engine representing the engine to be added or changed.
    (d) Decision by Administrator. (1) Based on the descriptionof the 
proposed amendment and data derived from such testing as 
theAdministrator may require or conduct, the Administrator will 
determinewhether the proposed change or addition would still be covered 
by thecertificate of conformity then in effect.
    (2) If the Administrator determines that the change or newengine(s) 
meets the requirements of this subpart and the Act, theappropriate 
certificate of conformity is amended.
    (3) If the Administrator determines that the changed or newengine(s) 
does not meet the requirements of this subpart and the Act,the 
certificate of conformity will not be amended. The Administratorshall 
provide a written explanation to the manufacturer of thedecision not to 
amend the certificate. The manufacturer may request ahearing on a 
denial.
    (e) A manufacturer may make changes in or additions to 
productionengines concurrently with notifying the Administrator as 
required byparagraph (a) of this section, if the manufacturer complies 
with thefollowing requirements:
    (1) In addition to the information required in paragraph (b) ofthis 
section, the manufacturer must supply supporting documentation,test 
data, and engineering evaluations as appropriate to demonstratethat all 
affected engines will still meet applicable emissionstandards.
    (2) If, after a review, the Administrator determines 
additionaltesting is required, the manufacturer must provide required 
test datawithin 30 days or cease production of the affected engines.
    (3) If the Administrator determines that the affected engines donot 
meet applicable requirements, the Administrator will notify 
themanufacturer to cease production of the affected engines and to 
recalland correct at no expense to the owner all affected engines 
previouslyproduced.
    (4) Election to produce engines under this paragraph will bedeemed 
to be a consent to recall all engines which the Administratordetermines 
do not meet applicable standards and to cause suchnonconformity 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 enginemust 
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 
certificationincluding the following:
    (i) A description of the test engine's construction, including 
ageneral description of the origin and buildup of the engine, stepstaken 
to ensure that it is representative of production engines,description of 
components specially built for the test engine, and theorigin 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) andreason(s) for such maintenance;
    (iv) A description of all emission tests performed (except 
testsperformed by the EPA directly) including routine and standard 
testdocumentation, as specified in subpart E of this part, date(s) and 
thepurpose of each test;
    (v) A description of all tests performed to diagnose engine 
oremission control performance, giving the date and time of each and 
thereason(s) for the test; and

[[Page 70]]

    (vi) A description of any significant event(s) affecting theengine 
during the period covered by the history of the test engine butnot 
described by an entry under one of the previous paragraphs of 
thissection.
    (3) Information required to be kept by the manufacturer inSec. 
89.118(e)(3) for alternatives to service accumulationand testing for the 
determination of a deterioration factor.
    (b) Routine emission test data, such as those reporting test 
celltemperature and relative humidity at start and finish of test and 
rawemission results from each mode or test phase, must be retained for 
aperiod of one year after issuance of all certificates of conformity 
towhich they relate. All other information specified in paragraph (a) 
ofthis section must be retained for a period of eight years 
afterissuance of all certificates of conformity to which they relate.
    (c) Records may be kept in any format and on any media, providedthat 
at the Administrator's request, organized, written records inEnglish are 
promptly supplied by the manufacturer.
    (d) The manufacturer must supply, at the Administrator's 
request,copies of any engine maintenance instructions or explanations 
issuedby the manufacturer.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57005, Oct. 23, 1998]



Sec. 89.125  Production engines, annual report.

    (a) Upon the Administrator's request, the manufacturer must supplya 
reasonable number of production engines for testing and evaluation.These 
engines must be representative of typical production and must besupplied 
for testing at such time and place and for such reasonableperiods as the 
Administrator may require.
    (b) The manufacturer must annually, within 30 days after the endof 
the model year, notify the Administrator of the number of 
enginesproduced by engine family, by gross power, by displacement, by 
fuelsystem, and, for engines produced under the provision ofSec. 
89.102(g), by engine model and purchaser (or shippingdestination for 
engines used by the engine manufacturer), or by othercategories as the 
Administrator may require.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57005, Oct. 23, 1998]



Sec. 89.126  Denial, revocation of certificate of conformity.

    (a) If, after review of the manufacturer's application, requestfor 
certification, information obtained from any inspection, and anyother 
information the Administrator may require, the Administratordetermines 
that one or more test engines do not meet applicablestandards (or family 
emission limits, as appropriate), then theAdministrator will notify the 
manufacturer in writing, setting forththe basis for this determination.
    (b) Notwithstanding the fact that engines described in 
theapplication may comply with all other requirements of this 
subpart,the Administrator may deny the issuance of, suspend, or revoke 
apreviously issued certificate of conformity if the Administrator 
findsany 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 
EPAauthorized representative the opportunity to conduct 
authorizedinspections;
    (3) The manufacturer fails to supply requested information oramend 
its application to include all engines being produced;
    (4) The manufacturer renders inaccurate any test data which 
itsubmits or otherwise circumvents the intent of the Act or this part;
    (5) The manufacturer denies an EPA enforcement officer or 
EPAauthorized representative reasonable assistance (as defined inSec. 
89.129(e)).
    (c) If a manufacturer knowingly commits an infraction specified 
inparagraph (b)(1) or (b)(4) of this section, knowingly commits anyother 
fraudulent act which results in the issuance of a certificate 
ofconformity, or fails to comply with the conditions specified inSec. 
89.203(d), Sec. 89.206(c),Sec. 89.209(c) or Sec. 89.210(g), 
theAdministrator may deem such certificate void ab initio.
    (d) When the Administrator denies, suspends, revokes, or voids 
abinitio a

[[Page 71]]

certificate of conformity the manufacturer will beprovided a written 
determination. The manufacturer may request ahearing under Sec. 89.127 
on the Administrator's decision.
    (e) Any suspension or revocation of a certificate of conformityshall 
extend no further than to forbid the introduction into commerceof 
engines previously covered by the certification which are still inthe 
hands of the manufacturer, except in cases of such fraud or 
othermisconduct that makes the certification invalid ab initio.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57005, Oct. 23, 1998]



Sec. 89.127  Request for hearing.

    (a) A manufacturer may request a hearing on the 
Administrator'sdenial, suspension, voiding ab initio or revocation of a 
certificateof conformity.
    (b) The manufacturer's request must be filed within 30 days of 
theAdministrator's decision, be in writing, and set forth 
themanufacturer's objections to the Administrator's decision and data 
tosupport the objections.
    (c) If, after review of the request and supporting data, 
theAdministrator finds that the request raises a substantial and 
factualissue, the Administrator will grant the manufacturer's request 
for ahearing.

[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 Administratorshall 
designate a Presiding Officer for the hearing.
    (2) The hearing will be held as soon as practicable at a time 
andplace determined by the Administrator or by the Presiding Officer.
    (3) The Administrator may, at his or her discretion, direct thatall 
argument and presentation of evidence be concluded within aspecified 
period established by the Administrator. Said period may beno less than 
30 days from the date that the first written offer of ahearing is made 
to the manufacturer. To expedite proceedings, theAdministrator may 
direct that the decision of the Presiding Officer(who may, but need not, 
be the Administrator) shall be the final EPAdecision.
    (b)(1) Upon appointment pursuant to paragraph (a) of this 
section,the Presiding Officer will establish a hearing file. The file 
shallconsist of the following:
    (i) The determination issued by the Administrator underSec. 
89.126(d);
    (ii) The request for a hearing and the supporting data 
submittedtherewith;
    (iii) All documents relating to the request for certification andall 
documents submitted therewith; and
    (iv) Correspondence and other data material to the hearing.
    (2) The hearing file will be available for inspection by 
theapplicant at the office of the Presiding Officer.
    (c) An applicant may appear in person or may be represented 
bycounsel or by any other duly authorized representative.
    (d)(1) The Presiding Officer, upon the request of any party or athis 
or her discretion, may arrange for a prehearing conference at atime and 
place he/she specifies. Such prehearing conference willconsider the 
following:
    (i) Simplification of the issues;
    (ii) Stipulations, admissions of fact, and the introduction 
ofdocuments;
    (iii) Limitation of the number of expert witnesses;
    (iv) Possibility of agreement disposing of any or all of theissues 
in dispute; and
    (v) Such other matters as may aid in the disposition of thehearing, 
including such additional tests as may be agreed upon by theparties.
    (2) The results of the conference shall be reduced to writing bythe 
Presiding Officer and made part of the record.
    (e)(1) Hearings shall be conducted by the Presiding Officer in 
aninformal but orderly and expeditious manner. The parties may offeroral 
or written evidence, subject to the exclusion by the PresidingOfficer 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 
thattheir statements may be subject to the provisions of 18 U.S.C. 
1001which imposes penalties for knowingly making false statements or

[[Page 72]]

representations or using false documents in any matter within 
thejurisdiction of any department or agency of the United States.
    (3) Any witness may be examined or cross-examined by the 
PresidingOfficer, the parties, or their representatives.
    (4) Hearings shall be reported verbatim. Copies of transcripts 
ofproceedings may be purchased by the applicant from the reporter.
    (5) All written statements, charts, tabulations, and similar 
dataoffered in evidence at the hearings shall, upon a showing 
satisfactoryto the Presiding Officer of their authenticity, relevancy, 
andmateriality, be received in evidence and shall constitute a part 
ofthe record.
    (6) Oral argument may be permitted at the discretion of thePresiding 
Officer and shall be reported as part of the record unlessotherwise 
ordered by the Presiding Officer.
    (f)(1) The Presiding Officer shall make an initial decision 
whichshall include written findings and conclusions and the reasons 
orbasis regarding all the material issues of fact, law, or 
discretionpresented on the record. The findings, conclusions, and 
writtendecision shall be provided to the parties and made a part of 
therecord. The initial decision shall become the decision of 
theAdministrator without further proceedings, unless there is an 
appealto the Administrator or motion for review by the Administrator 
within20 days of the date the initial decision was filed. If 
theAdministrator has determined under paragraph (a) of this section 
thatthe decision of the Presiding Officer is final, there is no right 
ofappeal to the Administrator.
    (2) On appeal from or review of the initial decision, 
theAdministrator shall have all the powers which he or she would have 
inmaking the initial decision, including the discretion to require 
orallow briefs, oral argument, the taking of additional evidence, or 
theremanding to the Presiding Officer for additional proceedings. 
Thedecision by the Administrator may adopt the original decision or 
shallinclude written findings and conclusions and the reasons or 
basistherefor on all the material issues of fact, law, or 
discretionpresented 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 
newengine or engine family subject to certification testing under 
thissubpart shall admit or cause to be admitted to any of the 
followingfacilities during operating hours any EPA enforcement officer 
or EPAauthorized representative on presentation of credentials.
    (1) Any facility where any such certification testing or 
anyprocedures or activities connected with such certification testing 
areor were performed;
    (2) Any facility where any new engine which is being, was, or isto 
be tested is present;
    (3) Any facility where any construction process or assemblyprocess 
used in the modification or buildup of such an engine into 
acertification engine is taking place or has taken place; and
    (4) Any facility where any record or other document relating toany 
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 
authorizedrepresentative 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 
serviceaccumulation, maintenance, and engine storage procedures, and 
toverify correlation or calibration of test equipment;
    (2) To inspect and make copies of any such records, designs, orother 
documents; and
    (3) To inspect and photograph any part or aspect of any 
suchcertification engine and any components to be used in the 
constructionthereof.
    (c) To allow the Administrator to determine whether 
productionengines conform in all material respects to the design 
specificationsapplicable to those engines, as described in the 
application forcertification for which a certificate of conformity has 
been issued,any manufacturer shall admit any EPA

[[Page 73]]

enforcement officer or EPAauthorized representative on presentation of 
credentials to:
    (1) Any facility where any document, design, or procedure relatingto 
the translation of the design and construction of engines andemission-
related components described in the application forcertification or used 
for certification testing into productionengines is located or carried 
on; and
    (2) Any facility where any engines to be introduced into commerceare 
manufactured or assembled.
    (d) On admission to any such facility referred to in paragraph (c)of 
this section, any EPA enforcement officer or EPA 
authorizedrepresentative shall be allowed:
    (1) To inspect and monitor any aspects of such manufacture 
orassembly and other procedures;
    (2) To inspect and make copies of any such records, documents 
ordesigns; and
    (3) To inspect and photograph any part or aspect of any such 
newengines and any component used in the assembly thereof that 
arereasonably related to the purpose of his or her entry.
    (e) Any EPA enforcement officer or EPA authorized 
representativeshall be furnished by those in charge of a facility being 
inspectedwith such reasonable assistance as he or she may request to 
help theenforcement officer or authorized representative discharge 
anyfunction listed in this paragraph. Each applicant for or recipient 
ofcertification is required to cause those in charge of a 
facilityoperated for its benefit to furnish such reasonable assistance 
withoutcharge 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 makingavailable on 
request of personnel of the facility being inspectedduring their working 
hours to inform the EPA enforcement officer orEPA authorized 
representative of how the facility operates and toanswer the officer's 
questions; and the performance on request ofemission tests on any engine 
which is being, has been, or will be usedfor certification testing. Such 
tests shall be nondestructive, but mayrequire appropriate service 
accumulation.
    (2) A manufacturer may be compelled to cause any employee at 
afacility being inspected to appear before an EPA enforcement officeror 
EPA authorized representative. The request for the employee'sappearance 
shall be in writing, signed by the Assistant Administratorfor Air and 
Radiation, and served on the manufacturer. Any employeewho has been 
instructed by the manufacturer to appear will be entitledto be 
accompanied, represented, and advised by counsel.
    (f) The duty to admit or cause to be admitted any EPA 
enforcementofficer or EPA authorized representative applies whether or 
not theapplicant owns or controls the facility in question and applies 
bothto domestic and to foreign manufacturers and facilities. EPA will 
notattempt to make any inspections which it has been informed that 
locallaw forbids. However, if local law makes it impossible to do what 
isnecessary to ensure the accuracy of data generated at a facility, 
noinformed judgment that an engine is certifiable or is covered by 
acertificate can properly be based on those data. It is 
theresponsibility of the manufacturer to locate its testing 
andmanufacturing facilities in jurisdictions where this situation 
willnot arise.
    (g) Any entry without 24 hours prior written or oral notificationto 
the affected manufacturer shall be authorized in writing by theAssistant 
Administrator for Enforcement.

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



Sec. 89.130  Rebuild practices.

    The provisions of 40 CFR 1068.120 apply to rebuilding of 
enginessubject to the requirements of this part 89, except Tier 1 
enginesrated at or above 37 kW.

[70 FR 40445, July 13, 2005]

[[Page 74]]



          Subpart C_Averaging, Banking, and Trading Provisions



Sec. 89.201  Applicability.

    Nonroad compression-ignition engines subject to the provisions 
ofsubpart A of this part are eligible to participate in the 
averaging,banking, and trading program described in this subpart. To the 
extentspecified in 40 CFR part 60, subpart IIII, stationary 
enginescertified under this part and subject to the standards of 40 CFR 
part60, subpart IIII, may participate in the averaging, banking, 
andtrading program described in this subpart.

[71 FR 39184, July 11, 2006]



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 emissioncredits 
among engine families within a given manufacturer's productline.
    Banking means the retention of nonroad engine emissioncredits by the 
manufacturer generating the emission credits for use infuture model year 
averaging or trading as permitted by theseregulations.
    Emission credits represent the amount of emission reductionor 
exceedance, by a nonroad engine family, below or above the 
emissionstandard, respectively. Emission reductions below the standard 
areconsidered as ``positive credits,'' while emissionexceedances above 
the standard are considered as ``negativecredits.'' In addition, 
``projected credits'' referto emission credits based on the projected 
applicable production/salesvolume of the engine family. ``Reserved 
credits'' areemission credits generated within a model year waiting to 
be reportedto EPA at the end of the model year. ``Actual credits''refer 
to emission credits based on actual applicable production/salesvolume as 
contained in the end-of-year reports submitted to EPA. Someor all of 
these credits may be revoked if EPA review of the end-of-year reports or 
any subsequent audit action(s) uncovers problems orerrors.
    Trading means the exchange of nonroad engine emissioncredits 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 forNOX. 
NMHC+NOX. and PM emissions from eligiblenonroad engines are 
described in this subpart. Participation in theseprograms is voluntary.
    (b) Requirements for Tier 1 engines rated at or above 37 kW.(1) A 
nonroad engine family is eligible to participate in theaveraging, 
banking, and trading program for NOX emissionsand the banking 
and trading program for PM emissions if it is subjectto regulation under 
subpart B of this part with certain exceptionsspecified in paragraph 
(b)(2) of this section. No averaging, banking,and trading program is 
available for meeting the Tier 1 HC, CO, orsmoke emission standards 
specified in subpart B of this part. Noaveraging program is available 
for meeting the Tier 1 PM emissionstandards 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 
SkySeries engines as described in Sec. 89.112(f). Nonroadengines 
certified on a special test procedure underSec. 89.114(a), may not 
participate in the averaging,banking and trading programs unless the 
manufacturer has requestedthat the engines be included in the averaging, 
banking, and tradingprograms at the time the request for the special 
test procedure ismade and has been granted approval by the Administrator 
for inclusionin the averaging, banking, and trading programs.
    (3) A manufacturer may certify one or more nonroad engine familiesat 
NOX family emission limits (FELs) above or below theTier 1 
NOX emission standard, provided the summation ofthe 
manufacturer's projected balance of all NOX 
credittransactions in a given model year is greater than or equal to 
zero,as determined under Sec. 89.207(a). A manufacturer maycertify one 
or more nonroad engine families at PM FELs below the Tier2 PM emission

[[Page 75]]

standard that will be applicable to those enginefamilies.
    (i) FELs for NOX may not exceed the Tier 1 upper 
limitspecified in Sec. 89.112(d).
    (ii) An engine family certified to an FEL is subject to 
allprovisions specified in this part, except that the applicable 
FELreplaces the emission standard for the family participating in 
theaveraging, banking, and trading program.
    (iii) A manufacturer of an engine family with a NOXFEL 
exceeding the Tier 1 NOX emission standard must 
obtainNOX emission credits sufficient to address the 
associatedcredit shortfall via averaging, banking, or trading.
    (iv) An engine family with a NOX FEL below theapplicable 
Tier 1 standard may generate emission credits foraveraging, banking, 
trading, or a combination thereof. An enginefamily with a PM FEL below 
the Tier 2 standard that will be applicableto that engine family may 
generate emission credits for banking,trading, or a combination thereof. 
Emission credits may not be used tooffset an engine family's emissions 
that exceed its applicable FEL.Credits may not be used to remedy 
nonconformity determined by aSelective Enforcement Audit (SEA) or by 
recall (in-use) testing.However, in the case of an SEA failure, credits 
may be used to allowsubsequent production of engines for the family in 
question if themanufacturer elects to recertify to a higher FEL.
    (4) NOX credits generated in a given model year may 
beused to address credit shortfalls with other engines during that 
modelyear or in any subsequent model year except as noted under 
paragraph(b)(5)(ii) of this section. PM credits may be used to address 
creditshortfalls with Tier 2 and later engines greater than or equal to 
37kW and Tier 1 and later engines less than 37 kW and greater than 
orequal to 19 kW. Credits generated in one model year may not be usedfor 
prior model years.
    (5) The following provisions apply to the use of Tier 
1NOX credits for showing compliance with the Tier 2 or Tier3 
NMHC+NOX standards.
    (i) A manufacturer may use NOX credits from 
enginessubject to the Tier 1 NOX standard to 
addressNMHC+NOX credit shortfalls with engines in the 
sameaveraging set subject to Tier 1 NMHC+NOX or Tier 
2NMHC+NOX emission standards.
    (ii) A manufacturer may not use NOX credits fromengines 
subject to the Tier 1 standards to addressNMHC+NOX credit 
shortfalls with engines subject to theTier 3 NMHC+NOX 
emission standards.
    (c) Requirements for Tier 2 and later engines rated at or above37 kW 
and Tier 1 and later engines rated under 37 kW. (1) A nonroadengine 
family is eligible to participate in the averaging, banking,and trading 
programs for NMHC+NOX emissions and PMemissions if it is 
subject to regulation under subpart B of this partwith certain 
exceptions specified in paragraph (c)(2) of this section.No averaging, 
banking, and trading program is available for meetingthe CO or smoke 
emission standards specified in subpart B of thispart.
    (2) Nonroad engines may not participate in the averaging, 
banking,and trading programs if they are exported or are sold as Blue 
SkySeries engines as described in Sec. 89.112(f). Nonroadengines 
certified on a special test procedure underSec. 89.114(a), may not 
participate in the averaging,banking and trading programs unless the 
manufacturer has requestedthat the engines be included in the averaging, 
banking, and tradingprograms at the time the request for the special 
test procedure ismade and has been granted approval by the Administrator 
for inclusionin the averaging, banking, and trading programs.
    (3)(i) A manufacturer may certify one or more nonroad enginefamilies 
at FELs above or below the applicable NMHC+NOXemission 
standard and PM emission standard, provided the summation ofthe 
manufacturer's projected balance of all NMHC+NOXcredit 
transactions and the summation of the manufacturer's projectedbalance of 
all PM credit transactions in a given model year in a givenaveraging set 
is greater than or equal to zero, as determined underSec. 89.207(b).
    (A) FELs for NMHC+NOX and FELs for PM may not exceedthe 
upper limits specified in Sec. 89.112(d).

[[Page 76]]

    (B) An engine family certified to an FEL is subject to allprovisions 
specified in this part, except that the applicable FELreplaces the 
emission standard for the family participating in theaveraging, banking, 
and trading program.
    (C) A manufacturer of an engine family with an FEL exceeding 
theapplicable emission standard must obtain emission credits 
sufficientto address the associated credit shortfall via averaging, 
banking, ortrading, 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 
maygenerate emission credits for averaging, banking, trading, or 
acombination thereof. Emission credits may not be used to offset 
anengine family's emissions that exceed its applicable FEL. Credits 
maynot be used to remedy nonconformity determined by a 
SelectiveEnforcement Audit (SEA) or by recall (in-use) testing. However, 
in thecase of an SEA failure, credits may be used to allow 
subsequentproduction of engines for the family in question if the 
manufacturerelects to recertify to a higher FEL.
    (ii)(A) In lieu of generating credits under paragraph (c)(3)(i) 
ofthis section, a manufacturer may certify one or more nonroad 
enginefamilies rated under 37 kW at family emission limits (FELs) above 
orbelow the applicable NMHC+NOX emission standard and 
PMemission standard. The summation of the manufacturer's 
projectedbalance of all NMHC+NOX credit transactions and 
thesummation of the manufacturer's projected balance of all PM 
credittransactions in a given model year, as determined underSec. 
89.207(b), are each allowed to be less than zero.Separate calculations 
shall be required for the following twocategories of engines: engines 
rated under 19 kW and engines rated ator above 19 kW and under 37 kW.
    (B) For each calendar year a negative credit balance exists as 
ofDecember 31, a penalty equal to ten percent of the negative 
creditbalance as of December 31 of the calendar year shall be added to 
thenegative credit balance. The resulting negative credit balance 
shallbe carried into the next calendar year.
    (C) For engines rated under 19 kW, a manufacturer will be allowedto 
carry over a negative credit balance until December 31, 2003. Forengines 
rated at or above 19 kW and under 37 kW, a manufacturer willbe allowed 
to carry over a negative credit balance until December 31,2002. As of 
these dates, the summation of the manufacturer's projectedbalance of all 
NMHC+NOX credit transactions and thesummation of the 
manufacturer's projected balance of all PM credittransactions must each 
be greater than or equal to zero.
    (D) FELs for NMHC+NOX and FELs for PM may not exceedthe 
upper limits specified in Sec. 89.112(d).
    (E) An engine family certified to an FEL is subject to allprovisions 
specified in this part, except that the applicableNMHC+NOX 
FEL or PM FEL replaces the NMHC+NOXemission standard or PM 
emission standard for the family participatingin the averaging and 
banking program.
    (F) A manufacturer of an engine family with an FEL exceeding 
theapplicable emission standard must obtain emission credits 
sufficientto address the associated credit shortfall via averaging or 
banking.The exchange of emission credits generated under this program 
withother nonroad engine manufacturers in trading is not allowed.
    (G) An engine family with an FEL below the applicable standard 
maygenerate emission credits for averaging, banking, or a 
combinationthereof. Emission credits may not be used to offset an engine 
family'semissions that exceed its applicable FEL. Credits may not be 
used toremedy 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 thefamily in question if the manufacturer elects to recertify to a 
higherFEL.
    (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 
yearmay be used during that model year or used in any subsequent 
modelyear. Except as allowed under paragraph (c)(3)(ii) of this section,

[[Page 77]]

credits generated in one model year may not be used for priormodel 
years.
    (ii) Credits generated from engines rated under 19 kW prior to 
theimplementation date of the applicable Tier 2 standards, shall 
expireon December 31, 2007.
    (iii) Credits generated from engines rated under 19 kW under 
theprovisions of paragraph (c)(3)(ii) shall expire on December 31, 2003.
    (iv) Credits generated from engines rated at or above 19 kW andunder 
37 kW under the provisions of paragraph (c)(3)(ii) of thissection shall 
expire on December 31, 2002.
    (5) Except as provided in paragraph (b)(3) of this section, 
enginefamilies may not generate credits for one pollutant while also 
usingcredits for another pollutant in the same model year.
    (6) Model year 2008 and 2009 engines rated under 8 kW that 
areallowed to certify under this part because they meet the criteria 
in40 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 270days of the end of the model year. Except as allowed under 
paragraph(c)(3)(ii) of this section, manufacturers that have certified 
enginefamilies to FELs above the applicable emission standards and do 
nothave sufficient emission credits to offset the difference between 
theemission standards and the FEL for such engine families will be 
inviolation of the conditions of the certificate of conformity for 
suchengine families. The certificates of conformity may be voided 
abinitio under Sec. 89.126(c) for those engine families.

[63 FR 57006, Oct. 23, 1998, as amended at 69 FR 39213, June29, 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 
anonroad engine family caused by a NOX FEL above 
theapplicable emission standard. NOX credits used inaveraging 
may be obtained from credits generated by another enginefamily in the 
same model year, credits banked in a previous modelyear, or credits 
obtained through trading.
    (b) Requirements for Tier 2 and later engines rated at or above37 kW 
and Tier 1 and later engines rated under 37 kW. Amanufacturer may use 
averaging to offset an emission exceedance of anonroad engine family 
caused by an NMHC+;NOX FEL or a PMFEL above the applicable 
emission standard. Credits used in averagingmay be obtained from credits 
generated by another engine family in thesame model year, credits banked 
in previous model years that have notexpired, or credits obtained 
through trading. The use of credits shallbe 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 andtrading of 
NOX emission credits, NMHC + NOXemission credits, 
and PM emissions credits will only be allowedbetween engine families in 
the same averaging set. The averaging setsfor the averaging and trading 
of NOX emission credits,NMHC + NOX emission 
credits, and PM emission credits fornonroad engines are defined as 
follows:
    (1) Eligible engines rated at or above 19 kW, other than 
marinediesel engines, constitute an averaging set.
    (2) Eligible engines rated under 19 kW, other than marine 
dieselengines, constitute an averaging set.
    (3) Marine diesel engines rated at or above 19 kW constitute 
anaveraging set. Emission credits generated from marine diesel 
enginesrated at or above 19 kW may be used to address credit shortfalls 
foreligible engines rated at or above 19 kW other than marine 
dieselengines.
    (4) Marine diesel engines rated under 19 kW constitute anaveraging 
set. Emission credits generated from marine diesel enginesrated under 19 
kW may be used to address credit shortfalls foreligible 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 NOXFEL below 
the applicable standard

[[Page 78]]

for a given model year may bankcredits in that model year for use in 
averaging and trading in anysubsequent model year.
    (2) A manufacturer of a nonroad engine family may bankNOX 
credits up to one calendar year prior to the effectivedate of mandatory 
certification. Such engines must meet therequirements of subparts A, B, 
D, E, F, G, H, I, J, and K of thispart.
    (3)(i) A manufacturer of a nonroad engine family may bank PMcredits 
from Tier 1 engines under the provisions specified inSec. 89.207(b) for 
use in averaging and trading in the Tier2 or later timeframe. These 
credits are considered to be Tier 2credits.
    (ii) Such engine families are subject to all provisions specifiedin 
subparts A, B, D, E, F, G, H, I, J, and K of this part, except thatthe 
applicable PM FEL replaces the PM emission standard for the 
familyparticipating in the banking and trading program.
    (b) Requirements for Tier 2 and later engines rated at or above37 kW 
and Tier 1 and later engines rated under 37 kW. (1) Amanufacturer of a 
nonroad engine family with an NMHC + NOXFEL or a PM FEL below 
the applicable standard for a given model yearmay bank credits in that 
model year for use in averaging and tradingin any following model year.
    (2) For engine rated under 37 kW, a manufacturer of a nonroadengine 
family may bank credits prior to the effective date ofmandatory 
certification. Such engines must meet the requirements ofsubparts 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 ofthe 
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 certificationprocess for 
banking will be considered reserved and may beredesignated for trading 
or averaging in the end-of-year report andfinal report.
    (d) Credits declared for banking from the previous model year 
thathave not been reviewed by EPA may be used in averaging or 
tradingtransactions. However, such credits may be revoked at a later 
timefollowing EPA review of the end-of-year report or any subsequent 
auditactions.

[63 FR 57008, Oct. 23, 1998, as amended at 72 FR 53129, Sept.18, 2007]



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 withother 
nonroad engine manufacturers within the same averaging set intrading.
    (2) Credits for trading can be obtained from credits banked in 
aprevious model year or credits generated during the model year of 
thetrading transaction.
    (3) Traded credits can be used for averaging, banking, or 
furthertrading transactions within the restrictions described inSec. 
89.204(c).
    (b) Requirements for Tier 2 and later engines rated at or above37 kW 
and Tier 1 and later engines rated under 37 kW. (1) A nonroadengine 
manufacturer may exchange emission credits with other nonroadengine 
manufacturers within the same averaging set in trading.
    (2) Credits for trading can be obtained from credits banked 
inprevious model years that have not expired or credits generated 
duringthe model year of the trading transaction.
    (3) Traded credits can be used for averaging, banking, or 
furthertrading transactions within the restrictions described inSec. 
89.204(c) and paragraph (b)(4) of this section.
    (4) Emission credits generated from engines rated at or above 19kW 
utilizing indirect fuel injection may not be traded to 
othermanufacturers.
    (c) In the event of a negative credit balance resulting from 
atransaction, both the buyer and the seller are liable, except in 
casesdeemed involving fraud. Certificates of all engine 
familiesparticipating in a negative trade may be voided ab initio 
underSec. 89.126(c).

[63 FR 57008, Oct. 23, 1998]



Sec. 89.207  Credit calculation.

    (a) Requirements for calculating NOX creditsfrom Tier 1 
engines rated at or above 37 kW. (1) For eachparticipating engine 
family, emission credits (positive or negative)are to be calculated

[[Page 79]]

according to one of the following equationsand rounded, in accordance 
with ASTM E29-93a, to the nearestone-hundredth of a megagram (Mg). This 
ASTM procedure has beenincorporated by reference (see Sec. 89.6). 
Consistent unitsare to be used throughout the equation.
    (i) For determining credit availability from all engine 
familiesgenerating credits: Emission credits = (Std-FEL) x(Volume) x 
(AvgPR) x (UL) x (Adjustment) x(10-6)
    (ii) For determining credit usage for all engine familiesrequiring 
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 engineemission 
standard, in grams per kilowatt-hour.
FEL = the NOX family emission limit for the enginefamily in 
grams per kilowatt-hour.
Volume = the number of nonroad engines eligible to participate inthe 
averaging, banking, and trading program within the given enginefamily 
during the model year. Engines sold to equipment or vehiclemanufacturers 
under the provisions of Sec. 89.102(g) shallnot be included in this 
number. Quarterly production projections areused for initial 
certification. Actual applicable production/salesvolume is used for end-
of-year compliance determination.
AvgPR = the average power rating of all of the configurationswithin an 
engine family, calculated on a sales-weighted basis, inkilowatts.
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 creditsto be banked 
or traded for determining compliance with the Tier 1NOX 
standards or Tier 2 NOX+NMHC standardsspecified in subpart B 
of this part. Banked credits traded in asubsequent model year will not 
be subject to an additional adjustment.Banked credits used in a 
subsequent model year's averaging programwill not have the adjustment 
restored.

    (2) If an engine family is certified to a NOX FEL of8.0 
g/kW-hr or less, an Adjustment value of 1.0 shall be used in thecredit 
generation calculation described in paragraph (a)(1)(i) of thissection. 
If an engine family is certified to a NOX FELabove 8.0 g/kW-
hr, an Adjustment value of 0.65 shall be used in thecredit generation 
calculation described in paragraph (a)(1)(i) of thissection. If the 
credits are to be used by the credit-generatingmanufacturer for 
averaging purposes in the same model year in whichthey are generated, an 
Adjustment value of 1.0 shall be used for allengines regardless of the 
level of the NOX FEL. If thecredits are to be banked by the 
credit-generating manufacturer andused in a subsequent model year for 
another Tier 1 engine family, anAdjustment value of 1.0 shall be used 
for all engines regardless ofthe level of the NOX FEL.
    (b) Requirements for calculating NMHC + NOXCredits from 
Tier 2 and later engines rated at or above 37 kW andTier 1 and later 
engines rated under 37 kW and PM credits from allengines. (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 androunded, in accordance with ASTM 
E29-93a, to the nearest one-hundredth of a megagram (Mg). This procedure 
has been incorporated byreference (see Sec. 89.6). Consistent units are 
to be usedthroughout the equation.
    (i) For determining credit availability from all engine 
familiesgenerating credits:

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

    (ii) For determining credit usage for all engine familiesrequiring 
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 
theapplicable nonroad engine Tier 2 PM emission standard, and except 
forengines rated under 19 kW where it is the applicable nonroad 
engineTier 2 emission standard, in grams per kilowatt-hour. (Engines 
ratedunder 19 kW participating in the averaging and banking 
programprovisions of Sec. 89.203(c)(3)(ii) shall use the Tier 1standard 
for credit calculations.)
FEL = the family emission limit for the engine family in grams 
perkilowatt-hour.

[[Page 80]]

Volume = the number of nonroad engines eligible to participatein the 
averaging, banking, and trading program within the given enginefamily 
during the model year. Engines sold to equipment or vehiclemanufacturers 
under the provisions of Sec. 89.102(g) shallnot be included in this 
number. Quarterly production projections areused for initial 
certification. Actual applicable production/salesvolume is used for end-
of-year compliance determination.
AvgPR = the average power rating of all of the configurationswithin an 
engine family, calculated on a sales-weighted basis, inkilowatts.
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, 
andtrading programs, the family emission limits to which the engine 
iscertified must be included on the label required inSec. 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 
theaveraging, banking, and trading programs.
    (2) Submit a statement that the engines for which certification 
isrequested will not, to the best of the manufacturer's belief, causethe 
manufacturer to have a negative credit balance when all creditsare 
calculated for all the manufacturer's engine familiesparticipating in 
the averaging, banking, and trading programs, exceptas allowed under 
Sec. 89.203(c)(3)(ii).
    (3) Declare the applicable FELs for each engine familyparticipating 
in averaging, banking, and trading.
    (i) The FELs must be to the same number of significant digits asthe 
emission standard for the applicable pollutant.
    (ii) In no case may the FEL exceed the upper limits prescribed 
inSec. 89.112(d).
    (4) Indicate the projected number of credits generated/needed 
forthis family; the projected applicable production/sales volume, 
byquarter; and the values required to calculate credits as given inSec. 
89.207.
    (5) Submit calculations in accordance with Sec. 89.207of projected 
emission credits (positive or negative) based onquarterly production 
projections for each participating family.
    (6)(i) If the engine family is projected to have negative 
emissioncredits, state specifically the source (manufacturer/engine 
family orreserved) of the credits necessary to offset the credit 
deficitaccording to quarterly projected production, or, if the engine 
familyis to be included in the provisions of Sec. 89.203(c)(3)(ii), 
state that the engine family will be subject to thoseprovisions.
    (ii) If the engine family is projected to generate credits, 
statespecifically (manufacturer/engine family or reserved) where 
thequarterly projected credits will be applied.
    (b) All certificates issued are conditional upon 
manufacturercompliance with the provisions of this subpart both during 
and afterthe model year of production.
    (c) Failure to comply with all provisions of this subpart will 
beconsidered to be a failure to satisfy the conditions upon which 
thecertificate was issued, and the certificate may be deemed void 
abinitio.
    (d) The manufacturer bears the burden of establishing to 
thesatisfaction of the Administrator that the conditions upon which 
thecertificate was issued were satisfied or waived.
    (e) Projected credits based on information supplied in 
thecertification application may be used to obtain a certificate 
ofconformity. However, any such credits may be revoked based on reviewof 
end-of-year reports, follow-up audits, and any other verificationsteps 
deemed appropriate by the Administrator.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57009, Oct. 23, 1998]



Sec. 89.210  Maintenance of records.

    (a) The manufacturer of any nonroad engine that is certified 
underthe averaging, banking, and trading program must establish, 
maintain,and retain the following adequately organized and indexed 
records foreach such engine produced:
    (1) EPA engine family;
    (2) Engine identification number;

[[Page 81]]

    (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 iscertified 
under the averaging, banking, and trading programs mustestablish, 
maintain, and retain the following adequately organized andindexed 
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 modelyear; 
and
    (5) Actual applicable production/sales volume for the model year.
    (c) Any manufacturer producing an engine family participating 
intrading reserved credits must maintain the following records on 
aquarterly basis for each engine family in the trading program:
    (1) The engine family;
    (2) The actual quarterly and cumulative applicableproduction/sales 
volume;
    (3) The values required to calculate credits as given inSec. 
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 
bemaintained under this section for a period of eight years from the 
duedate for the end-of-model-year report. Records may be retained as 
hardcopy or reduced to microfilm, ADP diskettes, and so forth, 
dependingon the manufacturer's record retention procedure; provided, 
that inevery case all information contained in the hard copy is 
retained.
    (e) Nothing in this section limits the Administrator's discretionin 
requiring the manufacturer to retain additional records or 
submitinformation not specifically required by this section.
    (f) Pursuant to a request made by the Administrator, themanufacturer 
must submit to the Administrator the information that themanufacturer is 
required to retain.
    (g) EPA may void ab initio under Sec. 89.126(c) acertificate of 
conformity for an engine family for which themanufacturer fails to 
retain the records required in this section orto provide such 
information to the Administrator upon request.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
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 tocalculate credits as given in Sec. 89.207, and the number 
ofcredits generated/required. Manufacturers must also submit how 
andwhere credit surpluses were dispersed (or are to be banked) and/or 
howand through what means credit deficits were met. Copies of 
contractsrelated to credit trading must be included or supplied by the 
broker,if applicable. The report shall include a calculation of 
creditbalances to show that the summation of the manufacturer's use 
ofcredits results in a credit balance equal to or greater than 
zero,except as allowed under Sec. 89.203(c)(3)(ii). 
Manufacturersparticipating under the program described in Sec. 
89.203(c)(3)(ii) shall include the NMHC + NOX credit balance 
andthe PM credit balance as of December 31 of that calendar year.
    (b) The applicable production/sales volume for end-of-year andfinal 
reports must be based on the location of the point of firstretail sale 
(for example, retail customer, dealer, secondarymanufacturer) also 
called the final product purchase location.
    (c)(1) End-of-year reports must be submitted within 90 days of 
theend of the model year to: Director, Engine Programs and 
ComplianceDivision (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 ofthe 
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 
reportsin the specified

[[Page 82]]

time for all engines is a violation of sections203(a)(1) and 213 of the 
Clean Air Act for each engine.
    (e) A manufacturer generating credits for deposit only who failsto 
submit end-of-year reports in the applicable specified time period(90 
days after the end of the model year) may not use the creditsuntil such 
reports are received and reviewed by EPA. Use of projectedcredits 
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 correctedin the 
final report up to 270 days from the end of the model year.
    (g) If EPA or the manufacturer determines that a reporting 
erroroccurred on an end-of-year or final report previously submitted to 
EPAunder this section, the manufacturer's credits and credit 
calculationswill be recalculated. Erroneous positive credits will be 
void exceptas provided in paragraph (h) of this section. Erroneous 
negativecredit balances may be adjusted by EPA.
    (h) If within 270 days of the end of the model year, EPA 
reviewdetermines a reporting error in the manufacturer's favor (that 
is,resulting in an increased credit balance) or if the 
manufacturerdiscovers 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 FR56995, 
57009, Oct. 23, 1998]



Sec. 89.212  Notice of opportunity for hearing.

    Any voiding of the certificate underSec. 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 anopportunity for a hearing conducted in accordance 
withSec. Sec. 89.512 and 89.513 and, if a manufacturerrequests such a 
hearing, will be made only after an initial decisionby the Presiding 
Officer.

[63 FR 57010, Oct. 23, 1998]



              Subpart D_Emission Test Equipment Provisions



Sec. 89.301  Scope; applicability.

    (a) This subpart describes the equipment required in order toperform 
exhaust emission tests on new nonroad compression-ignitionengines 
subject to the provisions of subpart B of part 89.
    (b) Exhaust gases, either raw or dilute, are sampled while thetest 
engine is operated using an 8-mode test cycle on an enginedynamometer. 
The exhaust gases receive specific component analysisdetermining 
concentration of pollutant, exhaust volume, the fuel flow,and the power 
output during each mode. Emission is reported as gramsper kilowatt hour 
(g/kw-hr). See subpart E of this part for a completedescription of the 
test procedure.
    (c) General equipment and calibration requirements are given inSec. 
89.304 through 89.324. Sections 89.325 through 89.331set forth general 
test specifications.
    (d) Additional information about system design, 
calibrationmethodologies, and so forth, for raw gas sampling can be 
found in 40CFR part 1065. Examples for system design, calibration 
methodologies,and so forth, for dilute exhaust gas sampling can be found 
in 40 CFRpart 1065.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56995, Oct.23, 1998, 
as amended at 70 FR 40445, July 13, 2005]



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 part89.3 of this chapter 
apply to this subpart.
    (b) The abbreviations in Table 1 in appendix A of this subpartapply 
to this subpart. Some abbreviations from Sec. 89.3have been included 
for the convenience of the reader.

[[Page 83]]

    (c) The symbols in Table 2 in appendix A of this subpart applyto 
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 
exhaustemissions. Engines are operated on dynamometers meeting 
thespecification given in Sec. 89.306.
    (b) The exhaust is tested for gaseous emissions using a raw 
gassampling system as described in Sec. 89.412 or a constantvolume 
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) 
absorptiontype for carbon monoxide and carbon dioxide analysis; a heated 
flameionization (HFID) type for hydrocarbon analysis; and 
achemiluminescent detector (CLD) or heated chemiluminescent 
detector(HCLD) for oxides of nitrogen analysis. Sections 89.309 through 
89.324set forth a full description of analyzer requirements 
andspecifications.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57010, Oct. 23, 1998]



Sec. 89.305  Equipment measurement accuracy/calibration frequency.

    The accuracy of measurements must be such that the maximumtolerances 
shown in Table 3 in appendix A of this subpart are notexceeded. 
Calibrate all equipment and analyzers according to thefrequencies 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 standand other 
instruments for measurement of power output must meet theaccuracy and 
calibration frequency requirements shown in Table 3 inappendix A of this 
subpart. The dynamometer must be capable ofperforming the test cycle 
described in Sec. 89.410.
    (b) Dynamometer calibration weights. A minimum of sixcalibration 
weights for each range used are required. The weights mustbe spaced to 
reflect good engineering judgement such that they coverthe range of 
weights required and must be traceable to within 0.5percent of NIST 
weights. Laboratories located in foreign countries maycertify 
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'sinstructions 
for initial start-up and basic operating adjustments.
    (b) Check the dynamometer torque measurement for each range usedby 
the following method:
    (1) Warm up the dynamometer following the dynamometermanufacturer's 
specifications.
    (2) Determine the dynamometer calibration moment arm (adistance/
weight measurement). Dynamometer manufacturer's data, actualmeasurement, 
or the value recorded from the previous calibration usedfor this subpart 
may be used.
    (3) When calibrating the engine flywheel torque transducer, anylever 
arm used to convert a weight or a force through a distance intoa torque 
must be in a horizontal position (5 degrees).
    (4) Calculate the indicated torque (IT) for each calibrationweight 
to be used by:

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

    (5) Attach each calibration weight specified inSec. 89.306 to the 
moment arm at the calibration distancedetermined in paragraph (b)(2) of 
this section. Record the powermeasurement equipment response (N-m) to 
each weight.
    (6) For each calibration weight, compare the torque value measuredin 
paragraph (b)(5) of this section to the calculated torquedetermined in 
paragraph (b)(4) of this section.
    (7) The measured torque must be within either 2 percent of pointor 1 
percent of the engine maximum torque of the calculated torque.

[[Page 84]]

    (8) If the measured torque is not within the aboverequirements, 
adjust or repair the system. Repeat steps in paragraphs(b)(1) through 
(b)(6) of this section with the adjusted or repairedsystem.
    (c) Optional. A master load-cell or transfer standard may be usedto 
verify the torque measurement system.
    (1) The master load-cell and read out system must be calibratedwith 
weights at each test weight specified in Sec. 89.306.The calibration 
weights must be traceable to within 0.1 percent ofapplicable national 
standards.
    (2) Warm up the dynamometer following the equipment 
manufacturer'sspecifications.
    (3) Attach the master load-cell and loading system.
    (4) Load the dynamometer to a minimum of 6 equally spaced 
torquevalues as indicated by the master load-cell for each in-use 
rangeused.
    (5) The in-use torque measurement must be within 2 percent of 
thetorque measured by the master system for each load used.
    (6) If the in-use torque is not within 2 percent of the 
mastertorque, 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 flywheeltorque 
transducer calibration, but may be used to span the transducerprior to 
engine testing.
    (e) Perform other engine dynamometer system calibrations asdictated 
by good engineering practice.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57010, Oct. 23, 1998]



Sec. 89.308  Sampling system requirements for gaseous emissions.

    (a) For each component (pump, sample line section, filters, and 
soforth) in the heated portion of the sampling system that has aseparate 
source of power or heating element, use engineering judgmentto locate 
the coolest portion of that component and monitor thetemperature at that 
location. If several components are within anoven, then only the surface 
temperature of the component with thelargest thermal mass and the oven 
temperature need be measured.
    (b) If water is removed by condensation, the sample gastemperature 
shall be monitored within the water trap or the sampledewpoint shall be 
monitored downstream. In either case, the indicatedtemperature shall not 
exceed 7 [deg]C.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57010, Oct. 23, 1998]



Sec. 89.309  Analyzers required for gaseous emissions.

    (a) Analyzers. The following instruments are required foranalyzing 
the measured gases:
    (1) Carbon Monoxide (CO) analysis. (i) The carbon monoxideanalyzer 
must be of the non-dispersive infrared (NDIR) absorptiontype.
    (ii) The use of linearizing circuits is permitted.
    (2) Carbon Dioxide (CO2) analysis. (i) Thecarbon 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 analyzermust be 
of the heated flame ionization (HFID) type.
    (ii) If the temperature of the exhaust gas at the sample probe 
isbelow 190 [deg]C, the temperature of the valves, pipework, and 
soforth, must be controlled so as to maintain a wall temperature of 
190[deg]C 11 [deg]C. If the temperature of the 
exhaust gas atthe sample probe is above 190 [deg]C, the temperature of 
the valves,pipework, and so forth, must be controlled so as to maintain 
a walltemperature greater than 180 [deg]C.
    (iii) The FID oven must be capable of maintaining temperaturewithin 
5.5 [deg]C of the set point.
    (iv) Fuel and burner air must conform to the specifications inSec. 
89.312.
    (v) The percent of oxygen interference must be less than 3percent, 
as specified in Sec. 89.319(d).
    (5) Oxides of nitrogen (NOX) analysis. (i)This analysis 
device must consist of the subsequent items, followingthe sample probe, 
in the given order:
    (A) Pipework, valves, and so forth, controlled so as to maintain 
awall temperature above 60 [deg]C.

[[Page 85]]

    (B) A NO2 to NO converter. The NO2 toNO 
converter efficiency must be at least 90 percent.
    (C) For raw analysis, an ice bath or other cooling device 
locatedafter 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 
asmeasured in Sec. 89.318.
    (b) Other gas analyzers yielding equivalent results may be usedwith 
advance approval of the Administrator.
    (c) The following requirements must be incorporated in each 
systemused for testing under this subpart.
    (1) Carbon monoxide and carbon dioxide measurements must be madeon a 
dry basis (for raw exhaust measurement only). Specificrequirements for 
the means of drying the sample can be found inSec. 89.309(e).
    (2) Calibration or span gases for the NOX 
measurementsystem must pass through the NO2 to NO converter.
    (d) The electromagnetic compatibility (EMC) of the equipment mustbe 
on a level as to minimize additional errors.
    (e) Gas drying. Chemical dryers are not an acceptable methodof 
removing water from the sample. Water removal by condensation 
isacceptable. A water trap performing this function and meeting 
thespecifications in Sec. 89.308(b) is an acceptable method.Means other 
than condensation may be used only with prior approvalfrom the 
Administrator.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57010, Oct. 23, 1998]



Sec. 89.310  Analyzer accuracy and specifications.

    (a) Measurement accuracy--general. The analyzers musthave a 
measuring range which allows them to measure the concentrationsof the 
exhaust gas sample pollutants with the accuracies shown inTable 3 in 
Appendix A of this subpart.
    (1) Response time. As necessary, measure and account for theresponse 
time of the analyzer.
    (2) Precision. The precision of the analyzer must be, atworst, 
1 percent of full-scale concentration for each 
rangeused at or above 100 ppm (or ppmC) or 2 
percent for eachrange used below 100 ppm (or ppmC). The precision is 
defined as 2.5times the standard deviation(s) of 10 repetitive responses 
to a givencalibration or span gas.
    (3) Noise. The analyzer peak-to-peak response to zero andcalibration 
or span gases over any 10-second period must not exceed 2percent 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 deflectionon the 
lowest range used. The zero-response is defined as the meanresponse 
including noise to a zero-gas during a 30-second timeinterval.
    (5) Span drift. The analyzer span drift during a 1-hourperiod must 
be less than 2 percent of full-scale chart deflection onthe lowest range 
used. The analyzer span is defined as the differencebetween the span-
response and the zero-response. The span-response isdefined as the mean 
response including noise to a span gas during a30-second time interval.
    (b) Operating procedure for analyzers and sampling system.Follow the 
start-up and operating instructions of the instrumentmanufacturer. 
Adhere to the minimum requirements given inSec. 89.314 to Sec. 89.323.
    (c) Emission measurement accuracy--Bag sampling. (1)Good engineering 
practice dictates that exhaust emission sampleanalyzer readings below 15 
percent of full-scale chart deflectionshould generally not be used.
    (2) Some high resolution read-out systems, such as computers, 
dataloggers, and so forth, can provide sufficient accuracy and 
resolutionbelow 15 percent of full scale. Such systems may be used 
provided thatadditional calibrations of at least 4 non-zero nominally 
equallyspaced points, using good engineering judgement, below 15 percent 
offull scale are made to ensure the accuracy of the calibration 
curves.If a gas divider is used, the gas divider must conform to the 
accuracyrequirements specified in Sec. 89.312(c). The procedure 
inparagraph (c)(3) of this section may be used for calibration below 
15percent of full scale.

[[Page 86]]

    (3) The following procedure shall be followed:
    (i) Span the analyzer using a calibration gas meeting the 
accuracyrequirements of Sec. 89.312(c), within the operating rangeof 
the analyzer, and at least 90% of full scale.
    (ii) Generate a calibration over the full concentration range at 
aminimum of 6, approximately equally spaced, points (e.g. 15, 30, 45,60, 
75, and 90 percent of the range of concentrations provided by thegas 
divider). If a gas divider or blender is being used to calibratethe 
analyzer and the requirements of paragraph (c)(2) of this sectionare 
met, verify that a second calibration gas between 10 and 20percent of 
full scale can be named within 2 percent of its certifiedconcentration.
    (iii) If a gas divider or blender is being used to calibrate 
theanalyzer, input the value of a second calibration gas (a span gas 
maybe used for the CO2 analyzer) having a named concentration between 
10and 20 percent of full scale. This gas shall be included on 
thecalibration curve. Continue adding calibration points by dividing 
thisgas until the requirements of paragraph (c)(2) of this section 
aremet.
    (iv) Fit a calibration curve per Sec. 89.319 throughSec. 89.322 
for the full scale range of the analyzer usingthe calibration data 
obtained with both calibration gases.
    (d) Emission measurement accuracy--continuoussampling. Analyzers 
used for continuous analysis must be operatedsuch that the measured 
concentration falls between 15 and 100 percentof full-scale chart 
deflection. Exceptions to these limits are:
    (1) The analyzer's response may be less than 15 percent or morethan 
100 percent of full scale if automatic range change circuitry isused and 
the limits for range changes are between 15 and 100 percentof full-scale 
chart deflection;
    (2) The analyzer's response may be less than 15 percent of fullscale 
if:
    (i) Alternative (c)(2) of this section is used to ensure that 
theaccuracy of the calibration curve is maintained below 15 percent; or
    (ii) The full-scale value of the range is 155 ppm (or ppmC) orless.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57010, Oct. 23, 1998]



Sec. 89.311  Analyzer calibration frequency.

    (a) Prior to initial use and after major repairs, bench check 
eachanalyzer (see Sec. 89.315).
    (b) Calibrations are performed as specified inSec. Sec. 89.319 
through 89.324.
    (c) At least monthly, or after any maintenance which could 
altercalibration, the following calibrations and checks are performed.
    (1) Leak check the vacuum side of the system (seeSec. 89.316).
    (2) Check that the analysis system response time has been 
measuredand 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 
thespecifications in Table 3 in appendix A of this subpart are met.
    (d) Verify that all NDIR analyzers meet the water rejection ratioand 
the CO2 rejection ratio as specified inSec. 89.318.
    (e) Verify that the dynamometer test stand and power 
outputinstrumentation meet the specifications in Table 3 in appendix A 
ofthis 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 gasmanufacturer 
shall be recorded.
    (b) Pure gases. The required purity of the gases is definedby the 
contamination limits given below. The following gases must beavailable 
for operation:
    (1) Purified nitrogen (Contamination <= 1 ppm C, <= 1 ppmCO, <= 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)

[[Page 87]]

    (4) Purified synthetic air (Contamination <= 1 ppm C, <=1 ppm CO, <= 
400 ppm CO2, <= 0.1 ppm NO) (Oxygencontent between 18-21 
percent vol.)
    (c) Calibration and span gases. (1) Calibration gas valuesare to be 
derived from NIST Standard Reference Materials (SRM's) orother 
standardized gas samples and are to be single blends as listedin the 
following paragraph.
    (2) Mixtures of gases having the following chemical 
compositionsshall be available:
    (i) C3H8 and purified synthetic air ;
    (ii) C3H8 and purified nitrogen (optionalfor 
raw measurements);
    (iii) CO and purified nitrogen;
    (iv) NOX and purified nitrogen (the amount 
ofNO2 contained in this calibration gas must not exceed 
5percent of the NO content);
    (v) CO2 and purified nitrogen.
    (3) The true concentration of a span gas must be within 2percent of the NIST gas standard. The true 
concentration of acalibration gas must be within 1 
percent of the NIST gasstandard. The use of precision blending devices 
(gas dividers) toobtain the required calibration gas concentrations is 
acceptable,provided that the blended gases are accurate to within 1.5percent of NIST gas standards, or other gas standards 
which have beenapproved by the Administrator. This accuracy implies that 
primarygases used (or blending) must be ``named'' to an accuracyof at 
least 1 percent, traceable to NIST or other 
approvedgas standards. All concentrations of calibration gas shall be 
given ona volume basis (volume percent or volume ppm).
    (4) The gas concentrations used for calibration and span may alsobe 
obtained by means of a gas divider, either diluting with 
purifiedN2 or diluting with purified synthetic air. The 
accuracyof the mixing device must be such that the concentration of 
thediluted gases may be determined to within 2 
percent.
    (d) Oxygen interference check gases shall contain propane with 
350ppmC 75 ppmC hydrocarbon. The three oxygen 
interference gasesshall contain 21%  1% 
O2,10%  1% O2, and5%  1% O2. The concentration valueshall be 
determined to calibration gas tolerances by chromatographicanalysis 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 2percent hydrogen with the balance being helium. The 
mixture shallcontain less than 1 ppm equivalent carbon response; 98 to 
100 percenthydrogen fuel may be used with advance approval of the 
Administrator.
    (f) Hydrocarbon analyzer burner air. The concentration of oxygenfor 
raw sampling must be within 1 mole percent of the oxygenconcentration of 
the burner air used in the latest oxygen interferencecheck 
(%O2I). If the difference in oxygen concentration isgreater 
than 1 mole percent, then the oxygen interference must bechecked and, if 
necessary, the analyzer adjusted to meet the%O2I 
requirements. The burner air must contain less than 2ppmC hydrocarbon.
    (g) Gases for the methane analyzer shall be single blends ofmethane 
using air as the diluent.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57010, Oct. 23, 1998]



Sec. 89.313  Initial calibration of analyzers.

    (a) Warming-up time. The warming-up time should be accordingto the 
recommendations of the manufacturer. If not specified, aminimum of two 
hours shall be allowed for warming up the analyzers.
    (b) NDIR and HFID analyzer. The NDIR analyzer shall be tunedand 
maintained according to the instrument manufacturer'sinstructions. The 
combustion flame of the HFID analyzer shall beoptimized in order to meet 
the specifications inSec. 89.319(b)(2).
    (c) Zero setting and calibration. (1) Using purifiedsynthetic air 
(or nitrogen), the CO, CO2, NOX.and HC analyzers 
shall be set at zero.
    (2) Introduce the appropriate calibration gases to the analyzersand 
the values recorded. The same gas flow rates shall be used as 
whensampling exhaust.

[[Page 88]]

    (d) Rechecking of zero setting. The zero setting shallbe rechecked 
and the procedure described in paragraph (c) of thissection 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 priorto 
and after each test in accordance with the following procedure. 
(Achronic need for parameter adjustment can indicate a need 
forinstrument maintenance.):
    (a) The calibration is checked by using a zero gas and a span 
gaswhose 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 spangas 
will be used for rechecking. As an option, the zero and span maybe 
rechecked at the end of each mode or each test segment. Theanalysis will 
be considered acceptable if the difference between thetwo measuring 
results is less than 2 percent of full scale.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57011, Oct. 23, 1998]



Sec. 89.315  Analyzer bench checks.

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

[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 theanalysis 
system where a vacuum leak could affect the test results mustbe checked.
    (2) The maximum allowable leakage rate on the vacuum side is 
0.5percent of the in-use flow rate for the portion of the system 
beingchecked. The analyzer flows and bypass flows may be used to 
estimatethe in-use flow rates.
    (3) The sample probe and the connection between the sample probeand 
valve V2 (see Figure 1 in appendix B of this subpart) may beexcluded 
from the leak check.
    (b) [Reserved]
    (c) The response time shall be accounted for in all 
emissionmeasurement and calculations.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57011, Oct. 23, 1998]



Sec. 89.317  NOX converter check.

    (a) Prior to its introduction into service, and monthlythereafter, 
the chemiluminescent oxides of nitrogen analyzer shall bechecked for 
NO2 to NO converter efficiency. Figure 2 inappendix B of this 
subpart is a reference for the followingparagraphs.
    (b) Follow good engineering practices for instrument start-up 
andoperation. Adjust the analyzer to optimize performance.
    (c) Zero the oxides of nitrogen analyzer with zero-grade air orzero-
grade nitrogen.
    (d) Connect the outlet of the NOX generator to thesample 
inlet of the oxides of nitrogen analyzer which has been set tothe most 
common operating range.
    (e) Introduce into the NOX generator analyzer-systeman 
NO-in-nitrogen (N2) mixture with an NO concentrationequal to 
approximately 80 percent of the most common operating range.The 
NO2 content of the gas mixture shall be less than 5percent of 
the NO concentration.
    (f) With the oxides of nitrogen analyzer in the NO mode, recordthe 
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 
NOindicated by the analyzer is about 10 percent less than indicated 
inparagraph (f) of this section. Record the concentration of NO in 
thisNO+O2 mixture.

[[Page 89]]

    (h) Switch the NOX generator to the generationmode and 
adjust the generation rate so that the NO measured on theanalyzer is 20 
percent of that measured in paragraph (f) of thissection. 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 NOXmode 
and measure total NOX. Record this value.
    (j) Switch off the NOX generator but maintain gas 
flowthrough the system. The oxides of nitrogen analyzer will indicate 
theNOX 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 
theoriginal NO-in-N2 mixture. This value should be no 
morethan 5 percent above the value indicated in paragraph (f) of 
thissection.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57011, Oct. 23, 1998]



Sec. 89.318  Analyzer interference checks.

    (a) Gases present in the exhaust other than the one being 
analyzedcan interfere with the reading in several ways. Positive 
interferenceoccurs in NDIR and PMD instruments when the interfering gas 
gives thesame effect as the gas being measured, but to a lesser 
degree.Negative interference occurs in NDIR instruments by the 
interferinggas broadening the absorption band of the measured gas and in 
CLDinstruments by the interfering gas quenching the radiation. 
Theinterference checks described in this section are to be made 
initiallyand after any major repairs that could affect analyzer 
performance.
    (b) CO analyzer water and CO2 interferencechecks. Prior 
to its introduction into service and annuallythereafter, the NDIR carbon 
monoxide analyzer shall be checked forresponse to water vapor and 
CO2.
    (1) Follow good engineering practices for instrument start-up 
andoperation. Adjust the analyzer to optimize performance on the 
mostsensitive range to be used.
    (2) Zero the carbon monoxide analyzer with either zero-grade airor 
zero-grade nitrogen.
    (3) Bubble a mixture of 3 percent CO2 inN2 
through water at room temperature and record analyzerresponse.
    (4) An analyzer response of more than 1 percent of full scale 
forranges above 300 ppm full scale or more than 3 ppm on ranges below 
300ppm full scale requires corrective action. (Use of 
conditioningcolumns is one form of corrective action which may be 
taken.)
    (c) NOX analyzer quench check. The twogases of concern 
for CLD (and HCLD) analyzers are CO2 andwater vapor. Quench 
responses to these two gases are proportional totheir concentrations 
and, therefore, require test techniques todetermine quench at the 
highest expected concentrations experiencedduring testing.
    (1) NOX analyzer CO2 quenchcheck. A CO2 span 
gas having a concentration of 80percent to 100 percent of full scale of 
the maximum operating rangeused during testing shall be passed through 
the CO2 NDIRanalyzer and the value recorded as a. It is 
dilutedapproximately 50 percent with NO span gas and then passed through 
theCO2 NDIR and CLD (or HCLD), with the CO2 andNO 
values recorded as b and c respectively. TheCO2 shall then be 
shut off and only the NO span gas passedthrough the CLD (or HCLD) and 
the NO value recorded as d.Percent CO2 quench shall be 
calculated as follows andshall 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

[[Page 90]]

concentration of 80 to 100 percent of full scale of a normaloperating 
range shall be passed through the CLD (or HCLD) and theresponse recorded 
as D. The NO span gas shall then be bubbled throughwater at room 
temperature and passed through the CLD (or HCLD) and theanalyzer 
response recorded as AR. Determine and record the bubblerabsolute 
operating pressure and the bubbler water temperature. (It isimportant 
that the NO span gas contains minimal NO2concentration for 
this check. No allowance for absorption ofNO2 in water has 
been made in the following quenchcalculations. This test may be 
optionally run in the NO mode tominimize the effect of any 
NO2 in the NO span gas.)
    (ii) Calculations for water quench must consider dilution of theNO 
span gas with water vapor and scaling of the water vaporconcentration of 
the mixture to that expected during testing.Determine the mixture's 
saturated vapor pressure (designated asPwb) that corresponds to the 
bubbler water temperature.Calculate the water concentration (Z1, 
percent) in the mixture by thefollowing equation:
[GRAPHIC] [TIFF OMITTED] TR17JN94.002

where

GP = analyzer operating pressure (Pa)

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

    (iv)(A) The maximum raw or dilute exhaust water vaporconcentration 
expected during testing (designated as Wm) can beestimated from the 
CO2 span gas (or as defined in theequation 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 of1.8:1 as:

Wm(%)=0.9xA(%)

Where:

A = maximum CO2 concentration expected in the sample system 
duringtesting.

    (B) Percent water quench shall not exceed 3 percent and shall 
becalculated by:
[GRAPHIC] [TIFF OMITTED] TR23OC98.003


[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
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 
andperiodic calibration as described in this section. The HFID used 
withpetroleum-fueled diesel (compression-ignition) engines shall 
beoperated 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 responseas specified in 
this paragraph. Alternate methods yielding equivalentresults may be 
used, if approved in advance by the Administrator.
    (1) Follow good engineering practices for initial instrumentstart-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 operatingrange. 
The response is to be optimized with respect to fuel pressureor flow. 
Efforts shall be made to minimize response variations todifferent 
hydrocarbon species that are expected to be in the exhaust.Good 
engineering judgment is

[[Page 91]]

to be used to trade off optimal FIDresponse to propane-in-air against 
reductions in relative responses toother hydrocarbons. A good example of 
trading off response on propanefor relative responses to other 
hydrocarbon species is given inSociety of Automotive Engineers (SAE) 
Paper No. 770141,``Optimization of Flame Ionization Detector for 
Determination ofHydrocarbon in Diluted Automotive Exhausts''; author 
Glenn D.Reschke. It is also required that the response be set to 
optimumcondition with respect to air flow and sample flow. Heated 
FlameIonization Detectors (HFIDs) must be at their specified 
operatingtemperature. One of the following procedures is required for 
FID orHFID optimization:
    (i) The procedure outlined in Society of Automotive Engineers(SAE) 
paper No. 770141, ``Optimization of a Flame IonizationDetector for 
Determination of Hydrocarbon in Diluted AutomotiveExhausts''; author, 
Glenn D. Reschke. This procedure has beenincorporated by reference at 
Sec. 89.6.
    (ii) The HFID optimization procedures outlined in 40 CFR part1065, 
subpart D.
    (iii) Alternative procedures may be used if approved in advance 
bythe Administrator.
    (iv) The procedures specified by the manufacturer of the FID orHFID.
    (3) After the optimum flow rates have been determined, record 
themfor future reference.
    (c) Initial and periodic calibration. Prior to introductioninto 
service, after any maintenance which could alter calibration, andmonthly 
thereafter, the FID or HFID hydrocarbon analyzer shall becalibrated on 
all normally used instrument ranges using the steps inthis paragraph 
(c). Use the same flow rate and pressures as whenanalyzing samples. 
Calibration gases shall be introduced directly atthe analyzer, unless 
the ``overflow'' calibration optionof 40 CFR part 1065, subpart F, for 
the HFID is taken. New calibrationcurves need not be generated each 
month if the existing curve can beverified as continuing to meet the 
requirements of paragraph (c)(3) ofthis 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 
havingnominal concentrations starting between 10-15 percent 
andincreasing 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. 
Theincremental steps are to be spaced to represent good 
engineeringpractice. For each range calibrated, if the deviation from a 
least-squares best-fit straight line is 2 percent or less of the value 
ateach data point, concentration values may be calculated by use of 
asingle calibration factor for that range. If the deviation exceeds 
2percent at each non-zero data point and within 0.3 percent offull scale on the zero, the best-fit non-
linear equation whichrepresents the data to within these limits shall be 
used to determineconcentration.
    (d) Oxygen interference optimization (required for raw).Choose a 
range where the oxygen interference check gases will fall inthe upper 50 
percent. Conduct the test, as outlined in this paragraph,with the oven 
temperature set as required by the instrumentmanufacturer. Oxygen 
interference check gas specifications are foundin Sec. 89.312(d).
    (1) Zero the analyzer.
    (2) Span the analyzer with the 21% oxygen interference gasspecified 
in Sec. 89.312(d).
    (3) Recheck zero response. If it has changed more than 0.5 percentof 
full scale repeat paragraphs (d)(1) and (d)(2) of this section tocorrect 
problem.
    (4) Introduce the 5 percent and 10 percent oxygen interferencecheck 
gases.
    (5) Recheck the zero response. If it has changed more 1percent of full scale, repeat the test.
    (6) Calculate the percent of oxygen interference (designated 
aspercent O2I) for each mixture in paragraph (d)(4) of 
thissection.

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

Where:

A = hydrocarbon concentration (ppmC) of the span gas used inparagraph 
(d)(2) of this section.

[[Page 92]]

B = hydrocarbon concentration (ppmC) of the oxygeninterference 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 FR56995, 
57011, Oct. 23, 1998; 70 FR 40445, July 13, 2005]



Sec. 89.320  Carbon monoxide analyzer calibration.

    (a) Calibrate the NDIR carbon monoxide as described in thissection.
    (b) Initial and periodic interference check. Prior to 
itsintroduction into service and annually thereafter, the NDIR 
carbonmonoxide analyzer shall be checked for response to water vapor 
andCO2 in accordance with Sec. 318.96(b).
    (c) Initial and periodic calibration. Prior to itsintroduction into 
service, after any maintenance which could altercalibration, and every 
two months thereafter, the NDIR carbon monoxideanalyzer shall be 
calibrated. New calibration curves need not begenerated every two months 
if the existing curve can be verified ascontinuing to meet the 
requirements of paragraph (c)(3) of thissection.
    (1) Adjust the analyzer to optimize performance.
    (2) Zero the carbon monoxide analyzer with either zero-grade airor 
zero-grade nitrogen.
    (3) Calibrate on each used operating range with carbon monoxide-in-
N2 calibration gases having nominal concentrationsstarting 
between 10 and 15 percent and increasing in at least sixincremental 
steps to 90 percent (e.g., 15, 30, 45, 60, 75, and 90percent) of that 
range. The incremental steps are to be spaced torepresent good 
engineering practice. For each range calibrated, if thedeviation from a 
least-squares best-fit straight line is 2 percent orless of the value at 
each non-zero data point and within 0.3 percent of 
full scale on the zero, concentrationvalues may be calculated by use of 
a single calibration factor forthat range. If the deviation exceeds 
these limits, the best-fit non-linear equation which represents the data 
to within these limits shallbe used to determine concentration.
    (d) The initial and periodic interference, system check, 
andcalibration test procedures specified in 40 CFR part 1065 may be 
usedin lieu of the procedures specified in this section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57012, Oct. 23, 1998; 70 FR 40445, July 13, 2005]



Sec. 89.321  Oxides of nitrogen analyzer calibration.

    (a) The chemiluminescent oxides of nitrogen analyzer shall 
receivethe initial and periodic calibration described in this section.
    (b) Prior to its introduction into service, and monthlythereafter, 
the chemiluminescent oxides of nitrogen analyzer ischecked for 
NO2 to NO converter efficiency according toSec. 89.317.
    (c) Initial and periodic calibration. Prior to itsintroduction into 
service, after any maintenance which could altercalibration, and monthly 
thereafter, the chemiluminescent oxides ofnitrogen analyzer shall be 
calibrated on all normally used instrumentranges. New calibration curves 
need not be generated each month if theexisting curve can be verified as 
continuing to meet the requirementsof paragraph (c)(3) of this section. 
Use the same flow rate as whenanalyzing samples. Proceed as follows:
    (1) Adjust analyzer to optimize performance.
    (2) Zero the oxides of nitrogen analyzer with zero-grade air orzero-
grade nitrogen.
    (3) Calibrate on each normally used operating range with NO-in-
N2 calibration gases with nominal concentrations startingat 
between 10 and 15 percent and increasing in at least sixincremental 
steps to 90 percent (e.g., 15, 30, 45, 60, 75, and 90percent) of that 
range. The incremental steps are to be spaced torepresent good 
engineering practice. For each range calibrated, if thedeviation from a 
least-squares best-fit straight line is 2 percent orless of the value at 
each non-zero data point and within 0.3 percent of 
full scale on the zero, concentrationvalues may be calculated by use of 
a single calibration factor forthat range. If the deviation exceeds 
these limits, the best-fit non-linear equation which represents the data 
to within these limits shallbe used to determine concentration.

[[Page 93]]

    (d) The initial and periodic interference, system check, 
andcalibration test procedures specified in 40 CFR part 1065 may be 
usedin lieu of the procedures specified in this section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57012, Oct. 23, 1998; 70 FR 40445, July 13, 2005]



Sec. 89.322  Carbon dioxide analyzer calibration.

    (a) Prior to its introduction into service, after any 
maintenancewhich could alter calibration, and bi-monthly thereafter, the 
NDIRcarbon dioxide analyzer shall be calibrated on all normally 
usedinstrument ranges. New calibration curves need not be generated 
eachmonth if the existing curve can be verified as continuing to meet 
therequirements of paragraph (a)(3) of this section. Proceed as follows:
    (1) Follow good engineering practices for instrument start-up 
andoperation. Adjust the analyzer to optimize performance.
    (2) Zero the carbon dioxide analyzer with either zero-grade air 
orzero-grade nitrogen.
    (3) Calibrate on each normally used operating range with 
carbondioxide-in-N2 calibration or span gases having 
nominalconcentrations starting between 10 and 15 percent and increasing 
in atleast 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 
spacedto represent good engineering practice. For each range calibrated, 
ifthe deviation from a least-squares best-fit straight line is 2 
percentor less of the value at each non-zero data point and within 0.3 percent of full scale on the zero, 
concentrationvalues may be calculated by use of a single calibration 
factor forthat range. If the deviation exceeds these limits, the best-
fit non-linear equation which represents the data to within these limits 
shallbe used to determine concentration.
    (b) The initial and periodic interference, system check, 
andcalibration test procedures specified in 40 CFR part 1065 may be 
usedin lieu of the procedures in this section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57012, Oct. 23, 1998; 70 FR 40445, July 13, 2005]



Sec. 89.323  NDIR analyzer calibration.

    (a) Detector optimization. If necessary, follow theinstrument 
manufacturer's instructions for initial start-up and basicoperating 
adjustments.
    (b) Calibration curve. Develop a calibration curve for eachrange 
used as follows:
    (1) Zero the analyzer.
    (2) Span the analyzer to give a response of approximately 90percent 
of full-scale chart deflection.
    (3) Recheck the zero response. If it has changed more than 
0.5percent 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 
nominalconcentrations starting between 10 and 15 percent and increasing 
in atleast six incremental steps to 90 percent of that range. 
Theincremental steps are to be spaced to represent good 
engineeringpractice.
    (5) Generate a calibration curve. The calibration curve shall beof 
fourth order or less, have five or fewer coefficients. If any rangeis 
within 2 percent of being linear a linear calibration may be 
used.Include zero as a data point. Compensation for known impurities in 
thezero gas can be made to the zero-data point. The calibration 
curvemust 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 
thissection exists; or
    (ii) The responses generated in paragraph (b)(4) of this sectionare 
within 1 percent of full scale or 2 percent of point, whichever isless, 
of the responses predicted by the calibration curve for thegases used in 
paragraph (b)(4) of this section.
    (7) If multiple range analyzers are used, the lowest range usedmust 
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 
asoften as

[[Page 94]]

required by the instrument manufacturer or necessaryaccording to good 
practice.
    (b) If a methane analyzer is used, the methane analyzer shall 
becalibrated prior to introduction into service and monthly thereafter:
    (1) Follow the manufacturer's instructions for instrument startupand 
operation. Adjust the analyzer to optimize performance.
    (2) Zero the methane analyzer with zero-grade air.
    (3) Calibrate on each normally used operating range 
withCH4 in air with nominal concentrations starting between 
10and 15 percent and increasing in at least six incremental steps to 
90percent (e.g., 15, 30, 45, 60, 75, and 90 percent) of that range. 
Theincremental steps are to be spaced to represent good 
engineeringpractice. For each range calibrated, if the deviation from a 
least-squares best-fit straight line is 2 percent or less of the value 
ateach non-zero data point and within  0.3 percent 
offull scale on the zero, concentration values may be calculated by 
useof a single calibration factor for that range. If the 
deviationexceeds these limits, the best-fit non-linear equation 
whichrepresents the data to within these limits shall be used to 
determineconcentration.

[63 FR 57013, Oct. 23, 1998]



Sec. 89.325  Engine intake air temperature measurement.

    (a) Engine intake air temperature measurement must be made within122 
cm of the engine. The measurement location must be made either inthe 
supply system or in the air stream entering the supply system.
    (b) The temperature measurements shall be accurate to within2 [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 itsabsolute 
humidity altered is considered humidity- conditioned air. Forthis type 
of intake air supply, the humidity measurements must be madewithin the 
intake air supply system and after the humidityconditioning has taken 
place.
    (b) Nonconditioned air supply procedure. Humiditymeasurements in 
nonconditioned intake air supply systems must be madein the intake air 
stream entering the supply system. Alternatively,the humidity 
measurements can be measured within the intake air supplystream.

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



Sec. 89.327  Charge cooling.

    For engines with an air-to-air intercooler (or any other 
lowtemperature charge air cooling device) between the 
turbochargercompressor and the intake manifold, follow SAE J1937. This 
procedurehas been incorporated by reference. See Sec. 89.6. 
Thetemperature of the cooling medium and the temperature of the 
chargeair 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 thefull 
range of restrictions that are specified by the manufacturer forthat 
particular engine.
    (b) Perform testing at the following inlet and exhaust 
restrictionsettings.
    (1) Equip the test engine with an air inlet system presenting anair 
inlet restriction within 5 percent of the upper limit at maximumair 
flow, as specified by the engine manufacturer for a clean aircleaner. 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 
upperlimit at maximum declared power, as specified by the 
enginemanufacturer. A system representative of the installed engine may 
beused. In other cases a test shop system may be used.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57013, Oct. 23, 1998]



Sec. 89.329  Engine cooling system.

    An engine cooling system is required with sufficient capacity 
tomaintain

[[Page 95]]

the engine at normal operating temperatures as prescribedby 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 fortesting that 
meets the requirements as specified by the manufacturerfor a particular 
engine and intended usage. Record the specificationsof the lubricating 
oil used for the test.
    (b) Test fuels. (1) Use diesel fuels for testing which areclean and 
bright, with pour and cloud points adequate for operability.The diesel 
fuel may contain nonmetallic additives as follows: Cetaneimprover, metal 
deactivator, antioxidant, dehazer, antirust, pourdepressant, dye, 
dispersant, and biocide.
    (2) Use petroleum fuel meeting the specifications in Table 4 
inAppendix A of this subpart, or substantially equivalent 
specificationsapproved by the Administrator, for exhaust emission 
testing. The gradeof diesel fuel used must be commercially designated as 
``Type2-D'' grade diesel fuel and recommended by the enginemanufacturer.
    (3) Testing of Tier 1 and Tier 2 engines rated under 37 kW andTier 2 
and Tier 3 engines rated at or above 37 kW that is conducted bythe 
Administrator shall be performed using test fuels that meet 
thespecifications in Table 4 in Appendix A of this subpart and that 
havea sulfur content no higher than 0.20 weight percent.
    (c) Other fuels may be used for testing provided they meet 
thefollowing qualifications:
    (1) They are commercially available;
    (2) Information acceptable to the Administrator is provided toshow 
that only the designated fuel would be used in customer service;
    (3) Use of a fuel listed under paragraph (b) of this section 
wouldhave a detrimental effect on emissions or durability; and
    (4) Fuel specifications are approved in writing by theAdministrator 
prior to the start of testing.
    (d) Report the specification range of the fuel to be used 
underparagraphs (b)(2) and (c)(1) through (c)(4) of this section in 
theapplication for certification in accordance with Sec. 89.115(a)(8).
    (e) Low-sulfur test fuel. (1) Upon request, for enginesrated at or 
above 75 kW in model years 2006 or 2007, the diesel testfuel may be the 
low-sulfur diesel test fuel specified in 40 CFR part1065, 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 theseengines 
are informed that the use of fuel meeting the 500 ppmspecification is 
recommended.
    (B) Recommend to equipment manufacturers that a label be appliedat 
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 beused 
in 2006 and 2007. For engines rated at or above 75 kW and under130 kW, 
this option may be used only in 2007.
    (2) For model years 2008 through 2010, except as otherwiseprovided, 
the diesel test fuel shall be the low-sulfur diesel testfuel specified 
in 40 CFR part 1065.
    (3) The diesel test fuel shall be the ultra low-sulfur diesel 
testfuel 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 theultra 
low-sulfur fuel specified in 40 CFR part 1065 if themanufacturer 
demonstrates that the in-use engines will use only fuelwith 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 thissubpart. In such cases, 
the test fuel described in appendix A of thissubpart shall be the test 
fuel for all manufacturer and EPA testing.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57013, Oct. 23, 1998; 69 FR 39213, June 29, 2004]



Sec. 89.331  Test conditions.

    (a) General requirements. Calculate all volumes andvolumetric flow 
rates at

[[Page 96]]

standard conditions for temperature andpressure (0 [deg]C and 101.3 
kPa), and these conditions must be usedconsistently throughout all 
calculations.
    (b) Engine test conditions. Measure the absolute 
temperature(designated as T and expressed in Kelvin) of the engine air 
atthe inlet to the engine, and the dry atmospheric pressure 
(designatedas p and expressed in kPa), and determine the parameter 
faccording 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 fshall 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]



             Sec. Appendix A to Subpart D of Part89--Tables

                 Table 1--Abbreviations Usedin 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 Dand E
------------------------------------------------------------------------
    Symbol                         Term                         Unit
------------------------------------------------------------------------
conc.........  Concentration (ppm by volume)..............  ppm
f............  Engine specific parameter considering
                atmospheric conditions
FFCB.........  Fuel specific factor for the carbon
                balancecalculation
FFD..........  Fuel specific factor for exhaust
                flowcalculation on dry basis
FFH..........  Fuel specific factor representing the
                hydrogento carbon ratio
FFW..........  Fuel specific factor for exhaust
                flowcalculation 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
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            1/min
                modeduring the cycle).
Ps...........  Dry atmospheric pressure...................  kPa
Pd...........  Test ambient saturation vapor pressure at    kPa
                ambienttemperature.
P............  Observed brake power output uncorrected....  kW
PAUX.........  Declared total power absorbed by             kW
                auxiliariesfitted for the test.
PM...........  Maximum power measured at the test speed     kW
                undertest conditions.
Pi...........  Pi = PM, i +PAUX, i
PB...........  Total barometric pressure (average of the    kPa
                pre-testand 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
                (ifapplicable) (average).
Tclout.......  Coolant temperature outlet (average).......  K
TDd..........  Absolute dewpoint temperature..............  K
Td, i........  Torque (average at the i'th mode duringthe   N-m
                cycle).
TSC..........  Temperature of the intercooled air.........  K
Tref.........  Reference temperature......................  K
VEXHD........  Exhaust gas volume flow rate on drybasis...  m\3\/h
VAIRW........  Intake air volume flow rate on wetbasis....  m\3\/h
PB...........  Total barometric pressure..................  kPa
VEXHW........  Exhaust gas volume flow rate on wetbasis...  m\3\/h
WF...........  Weighing factor

[[Page 97]]

 
WFE..........  Effective weighing factor
------------------------------------------------------------------------


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


                                    Table 4--Federal Test FuelSpecifications
----------------------------------------------------------------------------------------------------------------
               Item                                   Procedure (ASTM) \1\                      Value (type2-D)
----------------------------------------------------------------------------------------------------------------
Cetane............................  D613-95.................................................  40-48
Distillation Range:
    IBP, [deg]C...................  D86-97..................................................  171-204
    10% point, [deg]C.............  86-97...................................................  204-238
    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 orD2622-98......................................  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 incorporatedby reference. See Sec.  89.6.
\2\ Minimum.
\3\ Remainder.


[63 FR 57013, Oct. 23, 1998]

[[Page 98]]



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


[[Page 99]]


[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 
toperform exhaust emission tests on new nonroad compression-
ignitionengines subject to the provisions of subpart B of this part.
    (b) Exhaust gases, either raw or dilute, are sampled while thetest 
engine is operated using the appropriate test cycle on an 
enginedynamometer. The

[[Page 100]]

exhaust gases receive specific componentanalysis determining 
concentration of pollutant, exhaust volume, thefuel 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 
thisequipment are found in subpart D of this part.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
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 orSec. 89.3 of this chapter 
apply to this subpart.
    (b) The abbreviations in Table 1 in appendix A to subpart D 
alsoapply to this subpart. Some abbreviations from Sec. 89.3have been 
included for the convenience of the reader.
    (c) The symbols in Table 2 in appendix A to subpart D apply tothis 
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 
operatingconditions to be conducted on an engine dynamometer. The 
exhaustgases, generated raw or dilute during engine operation, are 
sampledfor specific component analysis through the analytical train. The 
testis applicable to engines equipped with catalytic or direct-
flameafterburners, induction system modifications, or other systems, or 
touncontrolled engines.
    (b) The test is designed to determine the brake-specific emissionsof 
hydrocarbons, carbon monoxide, oxides of nitrogen, and 
particulatematter. For more information on particulate matter sampling 
seeSec. 89.112(c). The test cycles consist of various steady-state 
operating modes that include different combinations of enginespeeds and 
loads. These procedures require the determination of theconcentration of 
each pollutant, exhaust volume, the fuel flow (rawanalysis), and the 
power output during each mode. The measured valuesare weighted and used 
to calculate the grams of each pollutant emittedper kilowatt hour (g/kW-
hr).
    (c)(1) When an engine is tested for exhaust emissions, thecomplete 
engine shall be tested with all emission control devicesinstalled 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 willbe 
considered parasitic in nature and observed power shall be used inthe 
emission calculation.
    (d) All emission control systems installed on or incorporated inthe 
application must be functioning during all procedures in thissubpart. In 
cases of component malfunction or failure, maintenance tocorrect 
component failure or malfunction must be authorized inaccordance with 
Sec. 86.094-25 of this chapter.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
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 theinformation 
specified in this paragraph must accompany each enginesent to the 
Administrator for compliance testing. The manufacturerneed not record 
the information specified in this paragraph for eachtest if the 
information, with the exception of paragraphs (b)(3) and(b)(9) of this 
section, is included in the manufacturer's applicationfor 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 101]]

    (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 priorto 
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. Aslong as this 
information is available for inspection by theAdministrator, it may be 
summarized by system number or analyzeridentification numbers.
    (d) Test data; pre-test. (1) Date and time of day.
    (2) Test number.
    (3) Intermediate speed and rated speed as defined inSec. 89.2 and 
maximum observed torque for these speeds.
    (4) Recorder chart or equivalent. Identify the zero traces foreach 
range used, and span traces for each range used.
    (5) Air temperature after and pressure drop across the charge 
aircooler (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 theassociated 
analyzer range(s). Identify the start and finish of eachtest.
    (2) Observed engine torque.
    (3) Observed engine rpm.
    (4) Record engine torque and engine rpm continuously during eachmode 
with a chart recorder or equivalent recording device.
    (5) Intake air flow (for raw mass flow sampling method only) 
anddepression for each mode.
    (6) Engine intake air temperature at the engine intake 
orturbocharger 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 foreach 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 FR56995, 
57015, Oct. 23, 1998]



Sec. 89.406  Pre-test procedures.

    (a) Allow a minimum of 30 minutes warmup in the standby oroperating 
mode prior to spanning the analyzers.
    (b) Replace or clean the filter elements and then vacuum leakcheck 
the system per Sec. 89.316(a). Allow the heated sampleline, filters, 
and pumps to reach operating temperature.
    (c) Perform the following system checks:
    (1) Check the sample-line temperatures (seeSec. 89.309(a)(4)(ii) 
and (a)(5)(i)(A)).
    (2) Check that the system response time has been accounted forprior 
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 aftereach 
test. Further, check analyzer zero and span any time a rangechange is 
made or at the maximum demonstrated time span for stabilityfor each 
analyzer used.
    (e) Check system flow rates and pressures.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56995, 
57015, Oct. 23, 1998]



Sec. 89.407  Engine dynamometer test run.

    (a) Measure and record the temperature of the air supplied to 
theengine, the fuel temperature, the intake air humidity, and 
theobserved barometric pressure during the sampling for each mode. 
Thefuel temperature shall be less than or equal to 43C during 
thesampling for each mode.

[[Page 102]]

    (b) The governor and fuel system shall have been adjusted toprovide 
engine performance at the levels reported in the applicationfor 
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 inSec. 89.406.
    (3) Read and record the general test data as specified inSec. 
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 thepeak 
torque speed for 5 to 7 minutes;
    (C) Operate the engine at rated speed and maximum horsepower for25 
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 atrated 
speed and maximum horsepower until the oil and watertemperatures are 
stabilized. The temperatures are defined asstabilized if they are 
maintained within 2 percent of point on anabsolute basis for 2 minutes. 
The engine must be operated a minimum of10 minutes for this option. This 
optional procedure may be substitutedfor the procedure in paragraph 
(c)(5)(i)or (c)(5)(ii) of this section;
    (iv) Optional. If the engine has been operating on 
serviceaccumulation for a minimum of 40 minutes, the service 
accumulation maybe substituted for the procedure in paragraphs (c)(5)(i) 
through (iii)of this section.
    (6) Read and record all pre-test data specified inSec. 89.405(d).
    (7) Start the test cycle (see Sec. 89.410) within 20minutes of the 
end of the warmup. (See paragraph (c)(13) of thissection.) A mode begins 
when the speed and load requirements arestabilized to within the 
requirements of Sec. 89.410(b). Amode ends when valid emission sampling 
for that mode ends. For a modeto be valid, the speed and load 
requirements must be maintainedcontinuously during the mode. Sampling in 
the mode may be repeateduntil a valid sample is obtained as long the 
speed and torquerequirements are met.
    (8) Calculate the torque for any mode with operation at ratedspeed.
    (9) During the first mode with intermediate speed operation, 
ifapplicable, calculate the torque corresponding to 75 and 50 percent 
ofthe 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 thea 
minimum of the last 60 seconds of each mode.
    (12) Test modes may be repeated, as long as the engine 
ispreconditioned by running the previous mode. In the case of the 
firstmode of any cycle, precondition according to paragraph (c)(5) of 
thissection.
    (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 
delayexceeds 4 hours, the test shall include preconditioning (begin 
atparagraph (c)(2) of this section).
    (14) The speed and load points for each mode are listed in Tables1 
through 4 of Appendix B of this subpart. The engine speed and loadshall 
be maintained as specified in Sec. 89.410(b).
    (15) If at any time during a test mode, the test 
equipmentmalfunctions or the specifications in paragraph (c)(14) of 
thissection are not met, the test mode is void and may be aborted. 
Thetest mode may be restarted by preconditioning with the previous mode.
    (16) Fuel flow and air flow during the idle load condition may 
bedetermined just prior to or immediately following the 
dynamometersequence, if longer times are required for accurate 
measurements.
    (d) Exhaust gas measurements. (1) Measure HC, CO,CO2, and 
NOX concentration in the exhaustsample.

[[Page 103]]

    (2) Each analyzer range that may be used during a test modemust have 
the zero and span responses recorded prior to the executionof the test. 
Only the zero and span for the range(s) used to measurethe emissions 
during the test are required to be recorded after thecompletion of the 
test.
    (3) It is permissible to change filter elements between testmodes.
    (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 
orG4 (see Figure 1 in appendix B to subpart D) differs by morethan 
0.5 kPa from the pretest value, the test segment 
isvoid.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57015, Oct. 23, 1998]



Sec. 89.408  Post-test procedures.

    (a) A hangup check is recommended at the completion of the lasttest 
mode using the following procedure:
    (1) Within 30 seconds introduce a zero-grade gas or room air intothe 
sample probe or valve V2 (see Figure 1 in appendix B tosubpart 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 
inparagraph (a)(1) of this section, the difference between the span-
zeroresponse and the hangup zero response shall not be greater than 
5.0percent of full scale or 10 ppmC whichever is greater.
    (b) Begin the analyzer span checks within 6 minutes after 
thecompletion of the last mode in the test. Record for each analyzer 
thezero and span response
    (c) If during the test, the filter element(s) were replaced 
orcleaned, as of Sec. 89.316(a), the test is void.
    (d) Record the post-test data specified inSec. 89.405(f).
    (e) For a valid test, the zero and span checks performed beforeand 
after each test for each analyzer must meet the followingrequirements:
    (1) The span drift (defined as the change in the differencebetween 
the zero response and the span response) must not exceed 3percent 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 FR56996, 
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 thissubpart.
    (b) Determine from the data collection records the analyzerresponses 
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, 
andNOX concentrations by averaging the concentration of 
eachpoint taken during the sample period for each mode.
    (e) For purposes of this section, calibration data 
includescalibration curves, linearity curves, span-gas responses, and 
zero-gasresponses.

[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 
cyclesspecified in Tables 1 through 4 of Appendix B of this subpart, 
subjectto 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 ofthis 
subpart shall be used for all engines, except constant speedengines, 
engines rated under 19 kW, and propulsion marine dieselengines.
    (2) The 5-mode test cycle described in Table 2 of Appendix B ofthis 
subpart shall be used for constant-speed engines as defined inSec. 
89.2. Any engine certified under this test cycle mustmeet the labeling 
requirements of Sec. 89.110(b)(11).
    (3) The 6-mode test cycle described in Table 3 of Appendix B ofthis 
subpart shall be used for variable speed engines rated under 19kW.
    (4) Notwithstanding the provisions of paragraphs (a)(1) 
through(a)(3) of this

[[Page 104]]

section, the 4-mode test cycle described in Table4 of Appendix B of this 
subpart shall be used for propulsion marinediesel 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 Table1 
of Appendix B of this subpart for:
    (A) Constant speed engines, or variable speed engines rated under19 
kW; or
    (B) Propulsion marine diesel engines, provided the propulsionmarine 
diesel engines are certified in an engine family that includesprimarily 
non-marine diesel engines, and the manufacturer obtainsadvance approval 
from the Administrator.
    (ii) The Administrator may use the 8-mode test cycle specified 
inTable 1 of Appendix B of this subpart during testing of any 
enginewhich was certified based on emission data collected from that 
testcycle.
    (b) During each non-idle mode, hold the specified load to within 
2percent of the engine maximum value and speed to within 2percent of point. During each idle mode, speed must be 
held within themanufacturer's specifications for the engine, and the 
throttle must bein the fully closed position and torque must not exceed 
5 percent ofthe peak torque value of mode 5.
    (c) For any mode except those involving either idle or full-
loadoperation, if the operating conditions specified in paragraph (b) 
ofthis section cannot be maintained, the Administrator may 
authorizedeviations from the specified load conditions. Such deviations 
shallnot exceed 10 percent of the maximum torque at the test speed. 
Theminimum deviations above and below the specified load necessary 
forstable operation shall be determined by the manufacturer and 
approvedby the Administrator prior to the test run.
    (d) Power generated during the idle mode may not be included inthe 
calculation of emission results.
    (e) Manufacturers may optionally use the ramped-modal duty 
cyclescorresponding to the discrete-mode duty cycles specified in 
thissection, as described in 40 CFR 1039.505.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57016, Oct. 23, 1998; 70 FR 40445, July 13, 2005]



Sec. 89.411  Exhaust sample procedure--gaseous components.

    (a) Automatic data collection equipment requirements. Theanalyzer 
response may be read by automatic data collection (ADC)equipment such as 
computers, data loggers, and so forth. If ADCequipment is used, the 
following is required:
    (1) For bag sample analysis, the analyzer response must be stableat 
greater than 99 percent of the final reading for the dilute 
exhaustsample bag. A single value representing the average chart 
deflectionover a 10-second stabilized period shall be stored.
    (2) For continuous analysis systems, a single value representingthe 
average integrated concentration over a cycle shall be stored.
    (3) The chart deflections or average integrated 
concentrationsrequired in paragraphs (a)(1) and (a)(2) of this section 
may be storedon long-term computer storage devices such as computer 
tapes, storagediscs, punch cards, and so forth, or they may be printed 
in a listingfor storage. In either case a chart recorder is not required 
andrecords from a chart recorder, if they exist, need not be stored.
    (4) If ADC equipment is used to interpret analyzer values, the 
ADCequipment is subject to the calibration specifications of the 
analyzeras if the ADC equipment is part of analyzer system.
    (b) Data records from any one or a combination of analyzers may 
bestored as chart recorder records.
    (c) Bag sample analysis. For bag sample analysis perform 
thefollowing sequence:
    (1) Warm up and stabilize the analyzers; clean and/or replacefilter 
elements, conditioning columns (if used), and so forth, asnecessary.
    (2) Obtain a stable zero reading.
    (3) Zero and span the analyzers with zero and span gases. The 
spangases must have concentrations between 75 and 100 percent of full-
scale chart deflection. The flow rates and system

[[Page 105]]

pressuresduring spanning shall be approximately the same as those 
encounteredduring sampling. A sample bag may be used to identify the 
requiredanalyzer range.
    (4) Recheck zero response. If this zero response differs from 
thezero response recorded in paragraph (c)(3) of this section by 
morethan 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 mostrecent 
zero and span response as the pre-analysis values.
    (6) If ADC equipment is used, electronically record the mostrecent 
zero and span response as the pre-analysis values.
    (7) Measure HC, CO, CO2, and NOXbackground 
concentrations in the sample bag(s) with approximately thesame flow 
rates and pressures used in paragraph (c)(3) of thissection. 
(Constituents measured continuously do not require baganalysis.)
    (8) A post-analysis zero and span check of each range must 
beperformed and the values recorded. The number of events that may 
occurbetween the pre- and post-analysis checks is not specified. 
However,the difference between pre-analysis zero and span values 
(recorded inparagraph (c)(5) or (c)(6) of this section) versus those 
recorded forthe post-analysis check may not exceed the zero drift limit 
or thespan drift limit of 2 percent of full-scale chart deflection for 
anyrange used. Otherwise the test is void.
    (d) Continuous sample analysis. For continuous sampleanalysis 
perform the following sequence:
    (1) Warm up and stabilize the analyzers; clean and/or replacefilter 
elements, conditioning columns (if used), and so forth, asnecessary.
    (2) Leak check portions of the sampling system that operate 
atnegative 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 analyzerport.
    (ii) Flow zero air through the overflow sampling system. Check 
theanalyzer response.
    (iii) If the overflow zero response exceeds the analyzer 
zeroresponse 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 
operatedprior to the beginning of the test cycle. The span gases shall 
have aconcentration between 75 and 100 percent of full-scale 
chartdeflection. The flow rates and system pressures shall be 
approximatelythe same as those encountered during sampling. The HFID 
analyzer shallbe zeroed and spanned either through the overflow sampling 
system orthrough the analyzer port.
    (6) Re-check zero response. If this zero response differs from 
thezero response recorded in paragraph (d)(5) of this section by 
morethan 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 mostrecent 
zero and span response as the pre-analysis values.
    (8) If ADC equipment is used, electronically record the mostrecent 
zero and span response as the pre-analysis values.
    (9) Collect background HC, CO, CO2, andNOX in 
a sample bag (for dilute exhaust sampling only, seeSec. 89.420).
    (10) Perform a post-analysis zero and span check for each rangeused 
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 3percent 
for HC, or 2 percent for NOX. CO, andCO2, of full 
scale chart deflection, or the test is void.(If the HC drift is greater 
than 3 percent of full-scale chartdeflection, hydrocarbon hangup is 
likely.)
    (12) Determine background levels of NOX. CO, 
orCO2 (for dilute exhaust

[[Page 106]]

sampling only) by the bagsample technique outlined in paragraph (c) of 
this section.
    (e) Hydrocarbon hangup. If HC hangup is indicated, thefollowing 
sequence may be performed:
    (1) Fill a clean sample bag with background air.
    (2) Zero and span the HFID at the analyzer ports.
    (3) Analyze the background air sample bag through the analyzerports.
    (4) Analyze the background air through the entire sample 
probesystem.
    (5) If the difference between the readings obtained greater thanor 
equal to 2 percent of full scale deflection, clean the sample probeand 
the sample line.
    (6) Reassemble the sample system, heat to specified temperature,and 
repeat the procedure in paragraphs (e)(1) through (e)(6) of thissection.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57016, Oct. 23, 1998]



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

    (a) Schematic drawing. An example of a sampling andanalytical system 
which may be used for testing under this subpart isshown in Figure 1 in 
appendix B to subpart D. All components or partsof components that are 
wetted by the sample or corrosive calibrationgases shall be either 
chemically cleaned stainless steel or inertmaterial, for example, 
polytetrafluoroethylene resin. The use of``gauge savers'' or 
``protectors'' withnonreactive 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 diametershall not be 
greater than the inside diameter of the sample line plus0.03 cm. The 
wall thickness of the probe shall not be greater than0.10 cm. The 
fitting that attaches the probe to the exhaust pipe shallbe as small as 
practical in order to minimize heat loss from theprobe.
    (2) The probe shall have a minimum of three holes. The spacing ofthe 
radial planes for each hole in the probe must be such that theycover 
approximately equal cross-sectional areas of the exhaust duct.See Figure 
1 in appendix A to this subpart. The angular spacing of theholes must be 
approximately equal. The angular spacing of any twoholes 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 holesshould be sized 
such that each has approximately the same flow. Ifonly three holes are 
used, they may not all be in the same radialplane.
    (3) The probe shall extend radially across the exhaust duct. 
Theprobe must pass through the approximate center and must extend 
acrossat least 80 percent of the diameter of the duct.
    (c) Sample transfer line. (1) The maximum inside diameter ofthe 
sample line shall not exceed 1.32 cm.
    (2) If valve V2 is used, the sample probe must connectdirectly to 
valve V2. The location of optional valve V2may not be greater than 1.22 
m from the exhaust duct.
    (3) The location of optional valve V16 may not be greater than 61cm 
from the sample pump.
    (d) Venting. All vents, including analyzer vents, bypassflow, and 
pressure relief vents of regulators, should be vented insuch a manner to 
avoid endangering personnel in the immediate area.
    (e) Any variation from the specifications in this subpartincluding 
performance specifications and emission detection methodsmay 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 
additionalinformation and coordinate the functions of the component 
systems.
    (g) The following requirements must be incorporated in each 
systemused for raw testing under this subpart.
    (1) [Reserved]
    (2) The sample transport system from the engine exhaust pipe tothe 
HC analyzer and the NOX analyzer must be heated asindicated 
in Figure 1 in appendix B of subpart D.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57016, Oct. 23, 1998]

[[Page 107]]



Sec. 89.413  Raw sampling procedures.

    Follow these procedures when sampling for gaseous emissions.
    (a) The gaseous emission sampling probe must be installed at 
least0.5 m or 3 times the diameter of the exhaust pipe--whichever isthe 
larger--upstream of the exit of the exhaust gas system.
    (b) In the case of a multi-cylinder engine with a branched 
exhaustmanifold, the inlet of the probe shall be located sufficiently 
fardownstream so as to ensure that the sample is representative of 
theaverage exhaust emissions from all cylinders.
    (c) In multi-cylinder engines having distinct groups of 
manifolds,such as in a ``Vee'' engine configuration, it ispermissible 
to:
    (1) Sample after all exhaust pipes have been connected togetherinto 
a single exhaust pipe.
    (2) For each mode, sample from each exhaust pipe and average 
thegaseous concentrations to determine a value for each mode.
    (3) Sample from all exhaust pipes simultaneously with the 
samplelines connected to a common manifold prior to the analyzer. It 
must bedemonstrated that the flow rate through each individual sample 
line is4 percent of the average flow rate through 
all the samplelines.
    (4) Use another method, if it has been approved in advance by 
theAdministrator.
    (d) All gaseous heated sampling lines shall be fitted with aheated 
filter to extract solid particles from the flow of gas requiredfor 
analysis. The sample line for CO and CO2 analysis maybe 
heated or unheated.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57016, Oct. 23, 1998]



Sec. 89.414  Air flow measurement specifications.

    (a) The air flow measurement method used must have a range 
largeenough to accurately measure the air flow over the engine 
operatingrange 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 
airflow measurement (such as air bleeds) that result in 
understatedexhaust emission results, corrections to the exhaust emission 
resultsshall be made to account for such effects.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57017, Oct. 23, 1998]



Sec. 89.415  Fuel flow measurement specifications.

    The fuel flow rate measurement instrument must have a 
minimumaccuracy of 2 percent of the engine maximum fuel flow rate. 
Thecontrolling parameters are the elapsed time measurement of the 
eventand 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 
methodsdescribed in this section and conform to the tolerances of Table 
3 inappendix A to subpart D:
    (a) Measurement of the air flow and the fuel flow by 
suitablemetering systems (for details see SAE J244. This procedure has 
beenincorporated by reference. See Sec. 89.6.) and calculationof the 
exhaust gas flow as follows:

GEXHW = GAIRW +GFUEL (for wet exhaust 
    mass)

or

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


or

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

    (b) Exhaust mass calculation from fuel consumption (seeSec. 89.415) 
and exhaust gas concentrations using the methodfound 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 
60seconds of each mode are recorded, and the average values for HC, 
CO,CO2, and NOX during each mode are 
determinedfrom

[[Page 108]]

the average concentration readings determined from thecorresponding 
calibration data.

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



Sec. 89.418  Raw emission sampling calculations.

    (a) The final test results shall be derived through the 
stepsdescribed in this section.
    (b) The exhaust gas flow rate GEXHW andVEXHW 
shall be determined for each mode.
    (1) For measurements using the mass flow method, seeSec. 89.416(a).
    (2) For measurements using the fuel consumption and exhaust 
gasconcentrations 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 
thefollowing equations:
[GRAPHIC] [TIFF OMITTED] TR23OC98.009


or

[[Page 109]]

[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 applicableonly for measurements made on 
raw exhaust gas. Correction to a wetbasis shall be according to the 
following formula:

ConcWET = Kw x ConcDRY

Where:

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

    (1) For measurements using the mass flow method (seeSec. 
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 
gasconcentrations 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 airconditions, 
the NOX concentration shall be corrected forintake air 
temperature and humidity with the factor Khgiven in the 
following formula. For engines operating on alternativecombustion 
cycles, other correction formulas may be used if they canbe justified or 
validated. The formula follows:

[[Page 110]]

[GRAPHIC] [TIFF OMITTED] TR23OC98.016

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

Gas mass = u x Gas conc. xGEXHW
Gas mass = v x Gas conc. xVEXHD
Gas mass = w x Gas conc. xVEXHW
    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 for273.15 [deg]K (0 [deg]C) and 101.3 kPa. In cases
  where the referenceconditions vary from those stated, an error may occur in thecalculations.

    (f) The following equations may be used to calculate thecoefficients 
u, v, and w in paragraph (e) of this section for otherconditions of 
temperature and pressure:
    (1) For the calculation of u, v, and w for NOX 
(asNO2), CO, HC (in paragraph (e) of this section 
asCH1.80), 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/
m\3\

    (3) General formulas for the calculation of concentrations 
attemperature (designated as T) and pressure (designated asp):


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

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


with:

1% = 10\4\ ppm
M = Molecular weight in g/Mo1
Mv = Molecular Volume = 22.414 x10-3 m\3\/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 individualcomponents

[[Page 111]]

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

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

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57017, Oct. 23, 1998]



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

    (a) General. The exhaust gas sampling system described inthis 
section is designed to measure the true mass of gaseous emissionsin the 
exhaust of petroleum-fueled nonroad compression-ignitionengines. This 
system utilizes the CVS concept (described in 40 CFRpart 1065, subparts 
A and B) of measuring mass emissions of HC, CO,and CO2. A 
continuously integrated system is required forHC and NOX 
measurement and is allowed for all CO andCO2 measurements. 
The mass of gaseous emissions isdetermined from the sample concentration 
and total flow over the testperiod. As an option, the measurement of 
total fuel mass consumed overa cycle may be substituted for the exhaust 
measurement ofCO2. General requirements are as follows:
    (1) This sampling system requires the use of a PDP-CVS and a 
heatexchanger or a CFV-CVS with either a heat exchanger or electronic 
flowcompensation. Figure 2 in appendix A to this subpart is a 
schematicdrawing of the PDP-CVS system. Figure 3 in appendix A to this 
subpartis 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 dilutedexhaust 
stream through a heated probe and integrated continuously overthe test 
cycle. Unless compensation for varying flow is made, the HFIDmust be 
used with a constant flow system to ensure a representativesample.
    (ii) The heated probe shall be located in the primary dilutiontunnel 
and far enough downstream of the mixing chamber to ensure auniform 
sample distribution across the CVS duct at the point ofsampling.
    (3) The CO and CO2 analytical system requires:
    (i) Bag sampling (see 40 CFR part 1065) and analyticalcapabilities 
(see 40 CFR part 1065), as shown in Figure 2 and Figure 3in appendix A 
to this subpart; or
    (ii) Continuously integrated measurement of diluted CO 
andCO2 meeting the minimum requirements and 
technicalspecifications contained in paragraph (b)(4) of this section. 
Unlesscompensation for varying flow is made, a constant flow system must 
beused to ensure a representative sample.
    (4) The NOX analytical system requires a 
continuouslyintegrated measurement of diluted NOX meeting the 
minimumrequirements and technical specifications contained in paragraph 
(b)(4) of this section. Unless compensation for varying flow is made, 
aconstant 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. 
Additionalcomponents such as instruments, valves, solenoids, pumps, and 
switchesmay be used to provide additional information and coordinate 
thefunctions of the component systems. Other components, such 
assnubbers, which are not needed to maintain

[[Page 112]]

accuracy on somesystems, may be excluded if their exclusion is based 
upon goodengineering judgment.
    (6) Other sampling and/or analytical systems may be used if shownto 
yield equivalent results and if approved in advance by theAdministrator.
    (b) Component description. The components necessary forexhaust 
sampling shall meet the following requirements:
    (1) Exhaust dilution system. The PDP-CVS shallconform to all of the 
requirements listed for the exhaust gasPDP-CVS in 40 CFR part 1065. The 
CFV-CVS shall conformto all the requirements listed for the exhaust gas 
CFV-CVS in40 CFR part 1065. In addition, the CVS must conform to the 
followingrequirements:
    (i) The flow capacity of the CVS must be sufficient to maintainthe 
diluted exhaust stream at or below the temperature required forthe 
measurement of hydrocarbon emissions noted in the followingparagraph and 
to prevent condensation of water at any point in thedilution tunnel.
    (ii) The flow capacity of the CVS must be sufficient to maintainthe 
diluted exhaust stream in the primary dilution tunnel at atemperature of 
191 [deg]C or less at the sampling zone forhydrocarbon measurement and 
as required to prevent condensation at anypoint in the dilution tunnel. 
Gaseous emission samples may be takendirectly from this sampling point.
    (iii) For the CFV-CVS, either a heat exchanger or electronic 
flowcompensation is required (see Figure 3 in appendix A to this 
subpart).
    (iv) For the CFV-CVS when a heat exchanger is used, the gasmixture 
temperature, measured at a point immediately ahead of thecritical flow 
venturi, shall be within 11 [deg]C) of theaverage 
operating temperature observed during the test with thesimultaneous 
requirement that condensation does not occur. Thetemperature measuring 
system (sensors and readout) shall have anaccuracy and precision of 
2 [deg]C. For systems utilizing aflow compensator 
to maintain proportional flow, the requirement formaintaining 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 HCsample 
system (as shown in Figure 2 or 3 in appendix A to thissubpart) uses an 
``overflow'' zero and span system. Inthis type of system, excess zero or 
span gas spills out of the probewhen zero and span checks of the 
analyzer are made. The``overflow'' system may also be used to calibrate 
the HCanalyzer according to 40 CFR part 1065, subpart F, although this 
isnot required.
    (ii) No other analyzers may draw a sample from the continuous 
HCsample probe, line or system, unless a common sample pump is used 
forall analyzers and the sample line system design reflects 
goodengineering practice.
    (iii) The overflow gas flow rates into the sample line shall be 
atleast 105 percent of the sample system flow rate.
    (iv) The overflow gases shall enter the heated sample line asclose 
as practical to the outside surface of the CVS duct or dilutiontunnel.
    (v) The continuous HC sampling system shall consist of a probe(which 
must raise the sample to the specified temperature) and, whereused, a 
sample transfer system (which must maintain the specifiedtemperature). 
The continuous hydrocarbon sampling system (exclusive ofthe probe) 
shall:
    (A) Maintain a wall temperature of 191 [deg]C 11 [deg]Cas measured at every separately controlled 
heated component (that is,filters, heated line sections), using 
permanent thermocouples locatedat each of the separate components.
    (B) Have a wall temperature of 191 [deg]C 11 
[deg]Cover its entire length. The temperature of the system shall 
bedemonstrated by profiling the thermal characteristics of the 
systemwhere possible at initial installation and after any major 
maintenanceperformed on the system. The profiling shall be accomplished 
using theinsertion thermocouple probing technique. The system 
temperature willbe monitored continuously during testing at the 
locations andtemperature described in 40 CFR 1065.145.

[[Page 113]]

    (C) Maintain a gas temperature of 191 [deg]C 11[deg]C immediately before the heated filter and HFID. 
These gastemperatures will be determined by a temperature sensor 
locatedimmediately upstream of each component.
    (vi) The continuous hydrocarbon sampling probe shall:
    (A) Be defined as the first 25 cm to 76 cm of the 
continuoushydrocarbon sampling system.
    (B) Have a 0.48 cm minimum inside diameter.
    (C) Be installed in the primary dilution tunnel at a point wherethe 
dilution air and exhaust are well mixed (that is, approximately 10tunnel 
diameters downstream of the point where the exhaust enters thedilution 
tunnel).
    (D) Be sufficiently distant (radially) from other probes and 
thetunnel wall so as to be free from the influence of any wakes 
oreddies.
    (E) Increase the gas stream temperature to 191 [deg]C 11[deg]C at the exit of the probe. The ability of the 
probe toaccomplish this shall be demonstrated using the insertion 
thermocoupletechnique at initial installation and after any major 
maintenance.Compliance with the temperature specification shall be 
demonstrated bycontinuously recording during each test the temperature 
of either thegas stream or the wall of the sample probe at its terminus.
    (vii) The response time of the continuous measurement system shallbe 
no greater than:
    (A) 1.5 seconds from an instantaneous step change at the 
portentrance to the analyzer to within 90 percent of the step change.
    (B) 20 seconds from an instantaneous step change at the entranceto 
the sample probe or overflow span gas port to within 90 percent ofthe 
step change. Analysis system response time shall be coordinatedwith CVS 
flow fluctuations and sampling time/test cycle offsets ifnecessary.
    (C) For the purpose of verification of response times, the 
stepchange shall be at least 60 percent of full-scale chart deflection.
    (3) Primary dilution tunnel. (i) The primary dilution tunnelshall 
be:
    (A) Small enough in diameter to cause turbulent flow (ReynoldsNumber 
greater than 4000) and of sufficient length to cause completemixing of 
the exhaust and dilution air;
    (B) At least 46 cm in diameter; (engines below 110 kW may use 
adilution tunnel that is 20 cm in diameter or larger)
    (C) Constructed of electrically conductive material which does 
notreact with the exhaust components; and
    (D) Electrically grounded.
    (ii) The temperature of the diluted exhaust stream inside of 
theprimary dilution tunnel shall be sufficient to prevent 
watercondensation.
    (iii) The engine exhaust shall be directed downstream at the 
pointwhere it is introduced into the primary dilution tunnel.
    (4) Continuously integrated NOX. CO, andCO2 
measurement systems. (i) The sample probe shall:
    (A) Be in the same plane as the continuous HC probe, but shall 
besufficiently distant (radially) from other probes and the tunnel 
wallso as to be free from the influences of any wakes or eddies.
    (B) Heated and insulated over the entire length, to prevent 
watercondensation, to a minimum temperature of 55 [deg]C. Sample 
gastemperature immediately before the first filter in the system shall 
beat least 55 [deg]C.
    (ii) The continuous NOX, CO, or CO2sampling 
and analysis system shall conform to the specifications of 40CFR 
1065.145 with the following exceptions and revisions:
    (A) The system components required to be heated by 40 CFR 
1065.145need only be heated to prevent water condensation, the 
minimumcomponent temperature shall be 55 [deg]C.
    (B) The system response shall meet the specifications in 40 CFRpart 
1065, subpart C.
    (C) Alternative NOX measurement techniques outlined in40 
CFR part 1065, subpart D, are not permitted for 
NOXmeasurement in this subpart.
    (D) All analytical gases must conform to the specifications ofSec. 
89.312.
    (E) Any range on a linear analyzer below 155 ppm must have and usea 
calibration curve conforming to Sec. 89.310.
    (iii) The chart deflections or voltage output of analyzers withnon-
linear

[[Page 114]]

calibration curves shall be converted to concentrationvalues by the 
calibration curve(s) specified in Sec. 89.313before flow correction (if 
used) and subsequent integration takesplace.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct.23, 1998, 
as amended at 70 FR 40445, July 13, 2005]



Sec. 89.420  Background sample.

    (a) Background samples are produced by continuously drawing asample 
of dilution air during the exhaust collection phase of eachtest cycle 
mode.
    (1) Individual background samples may be produced and analyzed 
foreach mode. Hence, a unique background value will be used for 
theemission calculations for each mode.
    (2) Alternatively, a single background sample may be produced 
bydrawing a sample during the collection phase of each of the test 
cyclemodes. Hence, a single cumulative background value will be used 
forthe 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 
chartdeflection over a 10-second stabilized period is stored. All 
readingstaken during the 10-second interval must be stable at the final 
valueto within 1 percent of full scale.
    (c) Measure HC, CO, CO2, and NOX exhaustand 
background concentrations in the sample bag(s) with approximatelythe 
same flow rates and pressures used during calibration.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57018, Oct. 23, 1998]



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

    (a) Schematic drawings. Figure 4 in appendix A to thissubpart is a 
schematic drawing of the exhaust gas analytical systemused for analyzing 
CVS bag samples from compression- ignition engines.Since various 
configurations can produce accurate results, exactconformance with the 
drawing is not required. Additional componentssuch as instruments, 
valves, solenoids, pumps and switches may be usedto provide additional 
information and coordinate the functions of thecomponent systems. Other 
components such as snubbers, which are notneeded to maintain accuracy in 
some systems, may be excluded if theirexclusion 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 ionizationdetector (FID) 
(heated for petroleum-fueled compression-ignitionengines to 191 [deg]C 
6 [deg]C) for the measurement ofhydrocarbons, 
nondispersive infrared analyzers (NDIR) for themeasurement of carbon 
monoxide and carbon dioxide, and achemiluminescence detector (CLD) (or 
HCLD) for the measurement ofoxides of nitrogen. The exhaust gas 
analytical system shall conform tothe following requirements:
    (1) The CLD (or HCLD) requires that the nitrogen dioxide presentin 
the sample be converted to nitric oxide before analysis. Othertypes of 
analyzers may be used if shown to yield equivalent resultsand if 
approved in advance by the Administrator.
    (2) If CO instruments are used which are essentially free 
ofCO2 and water vapor interference, the use of 
theconditioning column may be deleted. (See 40 CFR part 1065, subpart 
D.)
    (3) A CO instrument will be considered to be essentially free 
ofCO2 and water vapor interference if its response to 
amixture of 3 percent CO2 in N2, which has been 
bubbledthrough water at room temperature, produces an equivalent CO 
response,as measured on the most sensitive CO range, which is less than 
1percent of full scale CO concentration on ranges above 300 ppm 
fullscale or less than 3 ppm on ranges below 300 ppm full scale. (See 
40CFR part 1065, subpart D.)
    (c) Alternate analytical systems. Alternate analysis systemsmeeting 
the specifications of 40 CFR part 1065, subpart A, may be usedfor the 
testing required under this subpart. Heated analyzers may beused in 
their heated configuration.
    (d) Other analyzers and equipment. Other types of analyzers 
andequipment may be used if shown to yield equivalent results and 
ifapproved in advance by the Administrator.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct.23, 1998, 
as amended at 70 FR 40446, July 13, 2005]

[[Page 115]]



Sec. 89.422  Dilute sampling procedures--CVS calibration.

    (a) The CVS is calibrated using an accurate flowmeter andrestrictor 
valve.
    (1) The flowmeter calibration must be traceable to NISTmeasurements, 
and will serve as the reference value (NIST``true'' value) for the CVS 
calibration. (Note: In no caseshould an upstream screen or other 
restriction which can affect theflow be used ahead of the flowmeter 
unless calibrated throughout theflow range with such a device.)
    (2) The CVS calibration procedures are designed for use of 
a``metering venturi'' type flowmeter. Large radius or ASMEflow nozzles 
are considered equivalent if traceable to NISTmeasurements. Other 
measurement systems may be used if shown to beequivalent under the test 
conditions in this section and traceable toNIST measurements.
    (3) Measurements of the various flowmeter parameters are recordedand 
related to flow through the CVS.
    (4) Procedures used by EPA for both PDP-CVS and CFV-CVS areoutlined 
below. Other procedures yielding equivalent results may beused if 
approved in advance by the Administrator.
    (b) After the calibration curve has been obtained, verification 
ofthe entire system may be performed by injecting a known mass of 
gasinto the system and comparing the mass indicated by the system to 
thetrue mass injected. An indicated error does not necessarily mean 
thatthe calibration is wrong, since other factors can influence 
theaccuracy of the system (for example, analyzer calibration, leaks, 
orHC hangup). A verification procedure is found in paragraph (e) of 
thissection.
    (c) PDP-CVS calibration. (1) The following calibrationprocedure 
outlines the equipment, the test configuration, and thevarious 
parameters which must be measured to establish the flow rateof the PDP-
CVS pump.
    (i) All the parameters related to the pump are 
simultaneouslymeasured with the parameters related to a flowmeter which 
is connectedin 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 valueof a specific 
combination of pump parameters.
    (iii) The linear equation which relates the pump flow and 
thecorrelation function is then determined.
    (iv) In the event that a CVS has a multiple speed drive, 
acalibration for each range used must be performed.
    (2) This calibration procedure is based on the measurement of 
theabsolute values of the pump and flowmeter parameters that relate 
theflow rate at each point. Two conditions must be maintained to 
assurethe accuracy and integrity of the calibration curve:
    (i) The temperature stability must be maintained duringcalibration. 
(Flowmeters are sensitive to inlet temperatureoscillations; this can 
cause the data points to be scattered. Gradualchanges in temperature are 
acceptable as long as they occur over aperiod of several minutes.)
    (ii) All connections and ducting between the flowmeter and the 
CVSpump must be absolutely void of leakage.
    (3) During an exhaust emission test the measurement of these 
samepump parameters enables the user to calculate the flow rate from 
thecalibration equation.
    (4) Connect a system as shown in Figure 5 in appendix A to 
thissubpart. Although particular types of equipment are shown, 
otherconfigurations that yield equivalent results may be used if 
approvedin advance by the Administrator. For the system indicated, 
thefollowing measurements and accuracies are required:

                                          Calibration Data Measurements
----------------------------------------------------------------------------------------------------------------
             Parameter                     Symbol               Units              Sensor-readout tolerances
----------------------------------------------------------------------------------------------------------------
Barometric pressure (corrected)...  PB                   kPa................  .34 kPa
Ambient temperature...............  TA                   [deg]C.............  .3[deg]C
Air temperature into                ETI                  [deg]C.............  1.1 [deg]C
 meteringventuri.

[[Page 116]]

 
Pressure drop between the inlet     EDP                  kPa................  .01 kPa
 and throat of meteringventuri.
Air flow..........................  QS                   m\3\/min...........  .5% of
                                                                               NISTvalue.
Air temperature at CVS pumpinlet..  PTI                  [deg]C.............  1.1 [deg]C
Pressure depression at CVS          PPI                  kPa................  .055 kPa
 pumpinlet.
Pressure head at CVS pump outlet..  PPO                  kPa................  .055kPa
Air temperature at CVS pump outlet  PTO                  [deg]C.............  1.1 [deg]C
 (optional).
Pump revolutions during test        N                    Revs...............  1Rev.
 period.
Elapsed time for test period......  t                    s..................  .5 s.
----------------------------------------------------------------------------------------------------------------

    (5) After the system has been connected as shown in Figure 5 
inappendix A to this subpart, set the variable restrictor in the 
wideopen position and run the CVS pump for 20 minutes. Record 
thecalibration data.
    (6) Reset the restrictor valve to a more restricted condition inan 
increment of pump inlet depression that will yield a minimum of sixdata 
points for the total calibration. Allow the system to stabilizefor 3 
minutes and repeat the data acquisition.
    (7) Data analysis:
    (i) The air flow rate, Qs, at each test point 
iscalculated 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 pumpinlet temperature and 
pressure:
[GRAPHIC] [TIFF OMITTED] TR17JN94.020

Where:

Vo = Pump flow, (m\3\/rev) atTp, Pp.
Qs = Meter air flow rate in standard cubicmeters 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 inlettemp [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 thencalculated 
from the calibration data:
[GRAPHIC] [TIFF OMITTED] TR17JN94.021

Xo = correlation function.
[Delta]p = The pressure differential from pump inlet to pumpoutlet, 
(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 
thecalibration equation which has the form:

Vo=Do-M(Xo)

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

    (8) A CVS system that has multiple speeds must be calibrated oneach 
speed used. The calibration curves generated for the ranges willbe 
approximately parallel and the intercept values,Do, will 
increase as the pump flow range decreases.
    (9) If the calibration has been performed carefully, thecalculated 
values from the equation will be within 0.50percent of the measured value of Vo. 
Values ofM will vary from one pump to another, but values 
ofDo for pumps of the same make, model, and rangeshould agree 
within 3 percent of each other. Calibrationsshould 
be performed at pump start-up and after major maintenance toassure the 
stability of the pump slip rate. Analysis of mass injectiondata will 
also reflect pump slip stability.
    (d) CFV-CVS calibration. (1) Calibration of the CFV is basedupon the 
flow equation for a critical venturi. Gas flow is a functionof inlet 
pressure and temperature:

[[Page 117]]

[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) ofthis section 
establishes the value of the calibration coefficient atmeasured values 
of pressure, temperature, and air flow.
    (2) The manufacturer's recommended procedure shall be followed 
forcalibrating 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(InchesH2O)........  0.012 (0.05).
Pressure drop across LFE matrix....  EDP                      kPa (Inches H2O)......  0.001 (0.005).
Air flow...........................  Qs                       m\3\/min. (Ft\3\/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 
subpartand eliminate leaks. (Leaks between the flow measuring devices 
and thecritical flow venturi will seriously affect the accuracy of 
thecalibration.)
    (5) Set the variable flow restrictor to the open position, startthe 
blower, and allow the system to stabilize. Record data from 
allinstruments.
    (6) Vary the flow restrictor and make at least eight readingsacross 
the critical flow range of the venturi.
    (7) Data analysis. The data recorded during the calibrationare to be 
used in the following calculations:
    (i) The air flow rate (designated as Qs) at eachtest point is 
calculated in standard cubic feet per minute from theflow meter data 
using the manufacturer's prescribed method.
    (ii) Calculate values of the calibration coefficient for each 
testpoint:
[GRAPHIC] [TIFF OMITTED] TR17JN94.023

Where:

Qs = Flow rate in standard cubic meter perminute, 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 inletpressure. For choked 
flow, Kv will have a relativelyconstant value. As pressure decreases 
(vacuum increases), the venturibecomes unchoked and Kv decreases. (See 
Figure 7 inappendix A to this subpart.)
    (iv) For a minimum of eight points in the critical regioncalculate 
an average Kv and the standard deviation.
    (v) If the standard deviation exceeds 0.3 percent of the averageKv, 
take corrective action.
    (e) CVS system verification. The following``gravimetric'' technique 
can be used to verify that theCVS and analytical instruments can 
accurately measure a mass of gasthat has been injected into the system. 
(Verification can also beaccomplished by constant flow metering using 
critical flow orificedevices.)
    (1) Obtain a small cylinder that has been charged with 99.5percent 
or greater propane or carbon monoxide gas(Caution--carbon monoxide is 
poisonous).
    (2) Determine a reference cylinder weight to the nearest 0.01grams.
    (3) Operate the CVS in the normal manner and release a quantity 
ofpure propane into the system during the sampling period 
(approximately5 minutes).

[[Page 118]]

    (4) The calculations are performed in the normal way exceptin the 
case of propane. The density of propane (0.6109 kg/m\3\/carbonatom)) is 
used in place of the density of exhaust hydrocarbons.
    (5) The gravimetric mass is subtracted from the CVS measured massand 
then divided by the gravimetric mass to determine the percentaccuracy of 
the system.
    (6) Good engineering practice requires that the cause for 
anydiscrepancy greater than 2 percent must be 
found andcorrected.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
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 useof 
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 measuredduring the 
mode divided by the sample time for the mode.
WFi = Effective weighing factor.
Pi = Power measured during each mode (Power set = zerofor the 
idle mode).
    (b) The mass of each pollutant for each mode for bag measurementsand 
diesel heat exchanger system measurements is determined from 
thefollowing equations:
    (1) Hydrocarbon mass:

HCmass= Vmix xDensityHC x 
    (HCconc/10\6\)

    (2) Oxides of nitrogen mass:

NOXmass = Vmix xDensityNO2 x KH 
    x(NOXconc/10\6\)

    (3) Carbon monoxide mass:

COmass= VmixxDensityCOx 
    (COconc/10\6\)

    (4) Carbon dioxide mass:

CO2mass= VmixxDensityCO2 x 
    (CO2conc/102)

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


[[Page 119]]


[GRAPHIC] [TIFF OMITTED] TR17JN94.026

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

HCmass= Hydrocarbon emissions, in grams per testmode.
DensityHC= Density of hydrocarbons is (.5800kg/m\3\) for 
1 diesel, and (0.5746 kg/m\3\) for 2 diesel,assuming 
an average carbon to hydrogen ratio of 1:1.93 for 1diesel, and 
1:1.80 for 2 diesel at 20 [deg]C and 101.3 kPapressure.
HCconc= Hydrocarbon concentration of the diluteexhaust 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 diluteexhaust bag 
sample or, for diesel heat exchanger systems, averagehydrocarbon 
concentration of the dilute exhaust sample as calculatedfrom the 
integrated HC traces, in ppm carbon equivalent. For flowcompensated 
sample systems (HCe)i is theinstantaneous 
concentration.
HCd= Hydrocarbon concentration of the dilutionair as 
measured, in ppm carbon equivalent.

    (2) For oxides of nitrogen equations:

NOXmass = Oxides of nitrogen emissions, in gramsper test 
mode.
Density NO2= Density of oxides of nitrogen is1.913 kg/m\3\, 
assuming they are in the form of nitrogen dioxide, at20 [deg]C and 101.3 
kPa pressure.
NOXconc= Oxides of nitrogen concentration of thedilute 
exhaust sample corrected for background, in ppm:
[GRAPHIC] [TIFF OMITTED] TR17JN94.028

Where:

NOX.= Oxides of nitrogen concentration of thedilute exhaust 
bag sample as measured, in ppm. For flow compensatedsample systems 
(NOX.)i is theinstantaneous concentration.
NOX.= Oxides of nitrogen concentration of thedilute air as 
measured, in ppm.

    (3) For carbon monoxide equations:

COmass=Carbon monoxide emissions, grams per testmode. 
    DensityCO=Density of carbon monoxide (1.164 kg/m\3\at 20 
    [deg]C and 101.3 kPa pressure).
COconc=Carbon monoxide concentration of thedilute exhaust 
    sample corrected for background, water vapor, andCO2 
    extraction, ppm.
    [GRAPHIC] [TIFF OMITTED] TR17JN94.029
    
Where:

COe=Carbon monoxide concentration of the diluteexhaust bag 
sample volume corrected for water vapor and carbon dioxideextraction, 
ppm. For flow compensated

[[Page 120]]

sample systems,(COe)i is the 
instantaneousconcentration.

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

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

Where:

COem=Carbon monoxide concentration of the diluteexhaust 
sample as measured, ppm.
CO2.=Carbon dioxide concentration of the diluteexhaust bag 
sample, in percent, if measured. For flow compensatedsample systems, 
(CO2.)i is theinstantaneous concentration. For 
cases where exhaust sampling ofCO2 is not performed, the 
following approximation ispermitted:
[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 thedilution air 
corrected for water vapor extraction, ppm.
COd=(1-0.000323R)COdm
Where:

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

    (Note: If a CO instrument that meets the criteria specified in 40CFR 
part 1065, subpart C, is used without a sample dryer according to40 CFR 
1065.145, COem must be substituted directly forCOe 
and COdm must be substituted directly forCOd.)

    (4) For carbon dioxide equation:

CO2mass=Carbon dioxide emissions, in grams pertest mode.
Density CO2=Density of carbon dioxide is 1.830kg/m\3\, at 20 
[deg]C and 760 mm Hg pressure.
CO2conc=Carbon dioxide concentration of thedilute exhaust 
sample corrected for background, in percent.
[GRAPHIC] [TIFF OMITTED] TR17JN94.031

Where:

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

    (6) Measured ``dry'' concentrations shall be correctedto a wet 
basis, if not already measured on a wet basis. This sectionis 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 
inparagraph (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 121]]

[GRAPHIC] [TIFF OMITTED] TR23OC98.020

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

    Where: Ha and Hd are the grams of waterper 
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 fuelper 
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 amode.

    (f) The mass of fuel for the mode is determined from mass fuelflow 
measurements made during the mode, or from the followingequation:
[GRAPHIC] [TIFF OMITTED] TR17JN94.034

Where:

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

[[Page 122]]

[GRAPHIC] [TIFF OMITTED] TR17JN94.035

R2=Grams C in fuel per gram of fuel

Where:

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

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57018, Oct. 23, 1998; 70 FR 40446, July 13, 2005]



Sec. 89.425  [Reserved]

[[Page 123]]



             Sec. Appendix A to Subpart E of Part89--Figures

[GRAPHIC] [TIFF OMITTED] TC01MR92.002


[[Page 124]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.003


[[Page 125]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.004


[[Page 126]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.005


[[Page 127]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.006


[[Page 128]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.007


[[Page 129]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.008



             Sec. Appendix B to Subpart E of Part89--Tables

                              Table 1--8-Mode Test Cycle forVariable-Speed Engines
----------------------------------------------------------------------------------------------------------------
                                                                            Observed      Minimum
                                                                           torque \2\     time in     Weighting
          Test segment               Mode number       Enginespeed \1\    (percent of       mode       factors
                                                                         max.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 ofpoint. Engine speed (idle): Within
  manufacturer's specifications. Idlespeed is specified by the manufacturer.
\2\ Torque (non-idle): Throttle fully open for 100 percentpoints. Other non-idle points: 
  2 percent of enginemaximum value. Torque (idle): Throttle fully closed. Load less than 5percent of peak
  torque.


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

[[Page 130]]

 
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. Otherpoints:  2 percent of engine
  maximum value.


                             Table 3--6-Mode Test Cycle forEngines Rated Under 19 kW
----------------------------------------------------------------------------------------------------------------
                                                                             Observed
                                                                            torque \2\  Minimumtime
                Mode number                        Engine speed \1\        (percent of    in mode     Weighting
                                                                               max.      (minutes)     factors
                                                                            observed)
----------------------------------------------------------------------------------------------------------------
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 ofpoint. Engine speed (idle): Within
  manufacturer's specifications. Idlespeed is specified by the manufacturer.
\2\ Torque (non-idle): Throttle fully open for operation at100 percent point. Other nonidle points:  2 percent ofengine maximum value. Torque (idle): Throttle fully closed. Load lessthan 5
  percent of peak torque.


                         Table 4--4-Mode Test Cycle forPropulsion Marine Diesel Engines
----------------------------------------------------------------------------------------------------------------
                                                    Enginespeed    Observedpower
                                                   \1\ (percent    \2\ (percent    Minimum time      Weighting
                   Mode number                        of max.         of max.           in            factors
                                                     observed)       observed)     mode(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 percentpoint. Other points:  2 percent
  of engine maximumvalue.


[63 FR 57019, Oct. 23, 1998]



                Subpart F_Selective Enforcement Auditing



Sec. 89.501  Applicability.

    The requirements of subpart F are applicable to all nonroadengines 
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 percentageof 
failing engines that can be considered a satisfactory processaverage for 
sampling inspections.
    Configuration means any subclassification of an enginefamily which 
can be described on the basis of gross power, emissioncontrol system, 
governed speed, injector size, engine calibration, andother parameters 
as designated by the Administrator.
    Inspection criteria means the pass and fail numbersassociated with a 
particular sampling plan.
    Test engine means an engine in a test sample.
    Test sample means the collection of engines selected fromthe 
population of an engine family for emission testing.

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

[[Page 131]]



Sec. 89.503  Test orders.

    (a) A test order addressed to the manufacturer is required for 
anytesting under this subpart.
    (b) The test order is signed by the Assistant Administrator forAir 
and Radiation or his or her designee. The test order must bedelivered in 
person by an EPA enforcement officer or EPA authorizedrepresentative to 
a company representative or sent by registered mail,return receipt 
requested, to the manufacturer's representative whosigned the 
application for certification submitted by themanufacturer, pursuant to 
the requirements of the applicable sectionof subpart B of this part. 
Upon receipt of a test order, themanufacturer must comply with all of 
the provisions of this subpartand instructions in the test order.
    (c) Information included in test order. (1) The test orderwill 
specify the engine family to be selected for testing, themanufacturer's 
engine assembly plant or associated storage facility orport facility 
(for imported engines) from which the engines must beselected, the time 
and location at which engines must be selected, andthe procedure by 
which engines of the specified family must beselected. The test order 
may specify the configuration to be auditedand/or the number of engines 
to be selected per day. Enginemanufacturers are required to select a 
minimum of four engines per dayunless an alternate selection procedure 
is approved pursuant toSec. 89.507(a), or unless total production of 
the specifiedconfiguration is less than four engines per day. If total 
productionof the specified configuration is less than four engines per 
day, themanufacturer selects the actual number of engines produced per 
day.
    (2) The test order may include alternate families to be selectedfor 
testing at the Administrator's discretion in the event thatengines of 
the specified family are not available for testing becausethose engines 
are not being manufactured during the specified time orare not being 
stored at the specified assembly plant, associatedstorage facilities, or 
port of entry.
    (3) If the specified family is not being manufactured at a rate ofat 
least two engines per day in the case of manufacturers specified inSec. 
89.508(g)(1), or one engine per day in the case ofmanufacturers 
specified in Sec. 89.508(g)(2), over theexpected duration of the audit, 
the Assistant Administrator or her orhis designated representative may 
select engines of the alternatefamily for testing.
    (4) In addition, the test order may include other directions 
orinformation essential to the administration of the required testing.
    (d) A manufacturer may submit a list of engine families and 
thecorresponding assembly plants, associated storage facilities, or 
(inthe case of imported engines) port facilities from which 
themanufacturer prefers to have engines selected for testing in 
responseto a test order. In order that a manufacturer's preferred 
location beconsidered for inclusion in a test order for a particular 
enginefamily, the list must be submitted prior to issuance of the 
testorder. Notwithstanding the fact that a manufacturer has submitted 
thelist, the Administrator may order selection at other than a 
preferredlocation.
    (e) Upon receipt of a test order, a manufacturer must proceed 
inaccordance with the provisions of this subpart.
    (f)(1) During a given model year, the Administrator may not issueto 
a manufacturer more Selective Enforcement Auditing (SEA) testorders than 
an annual limit determined to be the larger of thefollowing factors:
    (i) Production factor, determined by dividing the projectednonroad 
engine sales in the United States for that model year, asdeclared by the 
manufacturer under Sec. 89.505(c)(1), by16,000 and rounding to the 
nearest whole number. If the projectedsales are less than 8,000, this 
factor is one.
    (ii) Family factor, determined by dividing the manufacturer'stotal 
number of certified engine families by five and rounding to thenearest 
whole number.
    (2) If a manufacturer submits to EPA in writing prior to or 
duringthe model year a reliable sales projection update or adds 
enginefamilies or deletes engine families from its production, 
thatinformation is used for recalculating

[[Page 132]]

the manufacturer's annuallimit of SEA test orders.
    (3) Any SEA test order for which the family fails underSec. 89.510 
or for which testing is not completed is notcounted against the annual 
limit.
    (4) When the annual limit has been met, the Administrator mayissue 
additional test orders to test those families for which evidenceexists 
indicating noncompliance. An SEA test order issued on thisbasis 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 underSec. 89.503 
that engines of a specified family be selectedin a manner consistent 
with the requirements of Sec. 89.507and submitted to the Administrator 
at the place designated for thepurpose of conducting emission tests. 
These tests will be conducted inaccordance with Sec. 89.508 to 
determine whether enginesmanufactured by the manufacturer conform with 
the regulations withrespect to which the certificate of conformity was 
issued.
    (b) Designating official data. (1) Whenever theAdministrator 
conducts a test on a test engine or the Administratorand manufacturer 
each conduct a test on the same test engine, theresults of the 
Administrator's test comprise the official data forthat 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 
ontesting conducted under paragraph (a) of this section that there is 
asubstantial lack of agreement between the manufacturer's test 
resultsand the Administrator's test results, no manufacturer's test data 
fromthe manufacturer's test facility will be accepted for purposes of 
thissubpart.
    (c) If testing conducted under Sec. 89.503 isunacceptable under 
paragraph (b)(2) of this section, the Administratormust:
    (1) Notify the manufacturer in writing of the 
Administrator'sdetermination that the test facility is inappropriate for 
conductingthe tests required by this subpart and the reasons therefor; 
and
    (2) Reinstate any manufacturer's data upon a showing by 
themanufacturer that the data acquired under Sec. 89.503 waserroneous 
and the manufacturer's data was correct.
    (d) The manufacturer may request in writing that the 
Administratorreconsider the determination in paragraph (b)(2) of this 
section basedon data or information which indicates that changes have 
been made tothe test facility and these changes have resolved the 
reasons fordisqualification.

[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 ofthe 
provisions of this subpart must establish, maintain, and retainthe 
following adequately organized and indexed records:
    (1) General records. A description of all equipment used totest 
engines in accordance with Sec. 89.508 pursuant to atest order issued 
under this subpart, specifically, the equipmentrequirements specified in 
Sec. Sec. 86.884-8 and86.884-9 of this chapter and the equipment 
requirementsspecified in Sec. Sec. 89.306, 89.308, 89.309, and 89.312.
    (2) Individual records. These records pertain to each auditconducted 
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 
whenthe test began and ended;
    (iii) The names of all supervisory personnel involved in theconduct 
of the audit;
    (iv) A record and description of any repairs performed prior toand/
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 ofthe repair;
    (v) The date the engine was shipped from the assembly 
plant,associated storage facility or port facility, and date the engine 
wasreceived at the testing facility;

[[Page 133]]

    (vi) A complete record of all emission tests performedpursuant to 
this subpart (except tests performed directly by EPA),including all 
individual worksheets and/or other documentationrelating to each test, 
or exact copies thereof, to be in accordancewith the record requirements 
specified in Sec. 89.404 orSec. 86.884-10 of this chapter.
    (vii) A brief description of any significant audit events 
notdescribed under paragraph (a)(2) of this section, commencing with 
thetest engine selection process and including such extraordinary 
eventsas engine damage during shipment.
    (3) The manufacturer must record test equipment description,pursuant 
to paragraph (a)(1) of this section, for each test cell thatcan be used 
to perform emission testing under this subpart.
    (b) The manufacturer must retain all records required to 
bemaintained under this subpart for a period of one year aftercompletion 
of all testing in response to a test order. Records may beretained as 
hard copy or reduced to microfilm, floppy disc, and soforth, depending 
upon the manufacturer's record retention procedure;provided, that in 
every case, all the information contained in thehard 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 
eachengine family for which certification is requested;
    (2) Number of engines, by configuration and assembly plant,scheduled 
for production for the time period designated in therequest;
    (3) Number of engines, by configuration and by assembly 
plant,storage facility or port facility, scheduled to be stored 
atfacilities 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 arecomplete for 
introduction into commerce.
    (d) Nothing in this section limits the Administrator's discretionin 
requiring the manufacturer to retain additional records or 
submitinformation not specifically required by this section.
    (e) All reports, submissions, notifications, and requests 
forapprovals made under this subpart are addressed to: Director, 
EnginePrograms and Compliance Division (6405-J), U.S. 
EnvironmentalProtection Agency, 1200 Pennsylvania Ave., NW., Washington, 
DC 20460.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57020, Oct. 23, 1998]



Sec. 89.506  Right of entry and access.

    (a) To allow the Administrator to determine whether a manufactureris 
complying with the provisions of this subpart and a test orderissued 
thereunder, EPA enforcement officers or EPA authorizedrepresentatives 
may enter during operating hours and upon presentationof 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 
ismanufactured, assembled, or stored;
    (2) Any facility where any tests conducted pursuant to a testorder 
or any procedures or activities connected with these tests areor were 
performed;
    (3) Any facility where any engine which is being tested, wastested, 
or will be tested is present; and
    (4) Any facility where any record or other document relating toany 
of the above is located.
    (b) Upon admission to any facility referred to in paragraph (a) 
ofthis section, EPA enforcement officers or EPA 
authorizedrepresentatives 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 inwhich these procedures are conducted;
    (2) To inspect and monitor any aspect of engine test procedures 
oractivities, including, but not limited to, engine 
selection,preparation, service accumulation, emission test cycles, 
andmaintenance and verification of test equipment calibration;
    (3) To inspect and make copies of any records or documents relatedto 
the assembly, storage, selection, and testing

[[Page 134]]

of an engine incompliance with a test order; and
    (4) To inspect and photograph any part or aspect of any engine 
andany component used in the assembly thereof that is reasonably 
relatedto the purpose of the entry.
    (c) EPA enforcement officers or EPA authorized representatives 
areauthorized to obtain reasonable assistance without cost from those 
incharge of a facility to help the officers perform any function 
listedin this subpart and they are authorized to request the recipient 
of atest order to make arrangements with those in charge of a 
facilityoperated for the manufacturer's benefit to furnish 
reasonableassistance without cost to EPA whether or not the recipient 
controlsthe facility.
    (1) Reasonable assistance includes, but is not limited to,clerical, 
copying, interpretation and translation services; the makingavailable on 
an EPA enforcement officer's or EPA authorizedrepresentative's request 
of personnel of the facility being inspectedduring their working hours 
to inform the EPA enforcement officer orEPA authorized representative of 
how the facility operates and toanswer the officer's or representative's 
questions; and theperformance 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 personalappearance 
of any employee at such a facility before an EPAenforcement officer or 
EPA authorized representative by writtenrequest for his appearance, 
signed by the Assistant Administrator forAir and Radiation, served on 
the manufacturer. Any such employee whohas been instructed by the 
manufacturer to appear will be entitled tobe accompanied, represented, 
and advised by counsel.
    (d) EPA enforcement officers or EPA authorized representatives 
areauthorized to seek a warrant or court order authorizing the 
EPAenforcement officers or EPA authorized representatives to 
conductactivities 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 exparte to obtain a warrant whether or not the EPA enforcement 
officersor EPA authorized representatives first attempted to seek 
permissionof the recipient of the test order or the party in charge of 
thefacilities in question to conduct activities related to entry 
andaccess as authorized in this section.
    (e) A recipient of a test order must permit an EPA 
enforcementofficer(s) or EPA authorized representative(s) who presents a 
warrantor court order to conduct activities related to entry and access 
asauthorized in this section and as described in the warrant or 
courtorder. The recipient must also cause those in charge of its 
facilityor a facility operated for its benefit to permit entry and 
access asauthorized in this section pursuant to a warrant or court 
orderwhether or not the recipient controls the facility. In the absence 
ofa warrant or court order, an EPA enforcement officer(s) or 
EPAauthorized representative(s) may conduct activities related to 
entryand access as authorized in this section only upon the consent of 
therecipient of the test order or the party in charge of the 
facilitiesin question.
    (f) It is not a violation of this part or the Clean Air Act forany 
person to refuse to permit an EPA enforcement officer(s) or 
EPAauthorized representative(s) to conduct activities related to 
entryand access as authorized in this section if the officer(s) 
orrepresentative(s) appears without a warrant or court order.
    (g) A manufacturer is responsible for locating its foreign 
testingand manufacturing facilities in jurisdictions where local law 
does notprohibit an EPA enforcement officer(s) or EPA 
authorizedrepresentative(s) from conducting the entry and access 
activitiesspecified in this section. EPA will not attempt to make 
anyinspections which it has been informed that local foreign 
lawprohibits.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57020, Oct. 23, 1998]



Sec. 89.507  Sample selection.

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

[[Page 135]]

alternative selectionprocedure may be employed, provided the 
manufacturer requests approvalof the alternative procedure prior to the 
start of test sampleselection, and the Administrator approves the 
procedure.
    (b) The manufacturer must assemble the test engines of the 
familyselected for testing using its normal mass production process 
forengines to be distributed into commerce. If, between the time 
themanufacturer is notified of a test order and the time the 
manufacturerfinishes selecting test engines, the manufacturer implements 
anychange(s) in its production processes, including quality 
control,which may reasonably be expected to affect the emissions of 
theengines selected, then the manufacturer must, during the audit, 
informthe Administrator of such changes. If the test engines are 
selected ata location where they do not have their operational and 
emissioncontrol systems installed, the test order will specify the 
manner andlocation for selection of components to complete assembly of 
theengines. The manufacturer must assemble these components onto the 
testengines using normal assembly and quality control procedures 
asdocumented by the manufacturer.
    (c) No quality control, testing, or assembly procedures will beused 
on the test engine or any portion thereof, including parts 
andsubassemblies, that have not been or will not be used during 
theproduction and assembly of all other engines of that family, 
unlessthe Administrator approves the modification in assembly 
procedurespursuant 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, selectthe 
test engines according to the method specified in the test order.
    (e) The order in which test engines are selected determines theorder 
in which test results are to be used in applying the samplingplan in 
accordance with Sec. 89.510.
    (f) The manufacturer must keep on hand all untested engines, ifany, 
comprising the test sample until a pass or fail decision isreached in 
accordance with Sec. 89.510(e). The manufacturermay ship any tested 
engine which has not failed the requirements asset forth in Sec. 
89.510(b). However, once the manufacturerships any test engine, it 
relinquishes the prerogative to conductretests 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 thissubpart, 
the prescribed test procedures are the nonroad engine 8-modetest 
procedure as described in subpart E of this part, the federalsmoke test 
as described in part 86, subpart I of this chapter, and theparticulate 
test procedure as adopted in the California Regulationsfor New 1996 and 
Later Heavy-Duty Off-Road Diesel Cycle Engines. Thisprocedure is 
incorporated by reference. See Sec. 89.6.
    (2) The Administrator may, on the basis of a written applicationby a 
manufacturer, prescribe test procedures other than thosespecified in 
paragraph (a)(1) of this section for any nonroad enginehe or she 
determines is not susceptible to satisfactory testing usingthe 
procedures specified in paragraph (a)(1) of this section.
    (b)(1) The manufacturer may not adjust, repair, prepare, or 
modifythe engines selected for testing and may not perform any 
emissiontests on engines selected for testing pursuant to the test 
orderunless this adjustment, repair, preparation, modification, and/
ortests are documented in the manufacturer's engine assembly 
andinspection procedures and are actually performed or unless 
theseadjustments and/or tests are required or permitted under this 
subpartor are approved in advance by the Administrator.
    (2) The Administrator may adjust or cause to be adjusted anyengine 
parameter which the Administrator has determined to be subjectto 
adjustment for certification and Selective Enforcement Audittesting in 
accordance with Sec. 89.108, to any settingwithin the physically 
adjustable range of that parameter, asdetermined by the Administrator in 
accordance withSec. 89.108, prior to the performance of any tests. 
However,if the idle speed parameter is one which the Administrator 
hasdetermined to be subject to adjustment, the

[[Page 136]]

Administrator may notadjust it to any setting which causes a lower 
engine idle speed thanwould have been possible within the physically 
adjustable range of theidle speed parameter if the manufacturer had 
accumulated 125 hours ofservice on the engine under paragraph (c) of 
this section, all otherparameters being identically adjusted for the 
purpose of thecomparison. The manufacturer may be requested to supply 
informationneeded to establish an alternate minimum idle speed. 
TheAdministrator, in making or specifying these adjustments, may 
considerthe effect of the deviation from the manufacturer's 
recommendedsetting on emission performance characteristics as well as 
thelikelihood that similar settings will occur on in-use engines. 
Indetermining likelihood, the Administrator may consider factors suchas, 
but not limited to, the effect of the adjustment on engineperformance 
characteristics and surveillance information from similarin-use engines.
    (c) Service Accumulation. Prior to performing exhaustemission 
testing on an SEA test engine, the manufacturer mayaccumulate on each 
engine a number of hours of service equal to thegreater of 125 hours or 
the number of hours the manufactureraccumulated during certification on 
the emission data enginecorresponding to the family specified in the 
test order.
    (1) Service accumulation must be performed in a manner using 
goodengineering judgment to obtain emission results representative 
ofnormal production engines. This service accumulation must beconsistent 
with the new engine break-in instructions contained in theapplicable 
owner's manual.
    (2) The manufacturer must accumulate service at a minimum rate of16 
hours per engine during each 24-hour period, unless otherwiseapproved by 
the Administrator.
    (i) The first 24-hour period for service begins as soon asauthorized 
checks, inspections, and preparations are completed on eachengine.
    (ii) The minimum service or mileage accumulation rate does notapply 
on weekends or holidays.
    (iii) If the manufacturer's service or target is less than 
theminimum rate specified (16 hours per day), then the minimum 
dailyaccumulation rate is equal to the manufacturer's service target.
    (3) Service accumulation must be completed on a sufficient numberof 
test engines during consecutive 24-hour periods to assure that thenumber 
of engines tested per day fulfills the requirements ofparagraphs (g)(1) 
and (g)(2) of this section.
    (d) The manufacturer may not perform any maintenance on testengines 
after selection for testing, nor may the Administrator allowdeletion of 
any engine from the test sequence, unless requested by themanufacturer 
and approved by the Administrator before any enginemaintenance or 
deletion.
    (e) The manufacturer must expeditiously ship test engines from 
thepoint of selection to the test facility. If the test facility is 
notlocated at or in close proximity to the point of selection, 
themanufacturer must assure that test engines arrive at the test 
facilitywithin 24 hours of selection. The Administrator may approve more 
timefor shipment based upon a request by the manufacturer accompanied by 
asatisfactory justification.
    (f) If an engine cannot complete the service accumulation or 
anemission test because of a malfunction, the manufacturer may 
requestthat the Administrator authorize either the repair of that engine 
orits deletion from the test sequence.
    (g) Whenever a manufacturer conducts testing pursuant to a testorder 
issued under this subpart, the manufacturer must notify theAdministrator 
within one working day of receipt of the test order asto which test 
facility will be used to comply with the test order. Ifno test cells are 
available at a desired facility, the manufacturermust provide alternate 
testing capability satisfactory to theAdministrator.
    (1) A manufacturer with projected nonroad engine sales for theUnited 
States market for the applicable year of 7,500 or greater mustcomplete 
emission testing at a minimum rate of two engines per 24-hourperiod, 
including each voided test and each smoke test.
    (2) A manufacturer with projected nonroad engine sales for theUnited 
States market for the applicable year

[[Page 137]]

of less than 7,500must 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 
emissiontesting based upon a request by a manufacturer accompanied by 
asatisfactory justification.
    (h) The manufacturer must perform test engine selection, 
shipping,preparation, service accumulation, and testing in such a manner 
as toassure that the audit is performed in an expeditious manner.
    (i) Retesting. (1) The manufacturer may retest any enginestested 
during a Selective Enforcement Audit once a fail decision forthe audit 
has been reached in accordance withSec. 89.510(e).
    (2) The Administrator may approve retesting at other times basedupon 
a request by the manufacturer accompanied by a 
satisfactoryjustification.
    (3) The manufacturer may retest each engine a total of threetimes. 
The manufacturer must test each engine or vehicle the samenumber of 
times. The manufacturer may accumulate additional servicebefore 
conducting a retest, subject to the provisions of paragraph (c)of this 
section.
    (j) A manufacturer must test engines with the test 
procedurespecified in subpart E of this part to demonstrate compliance 
with theexhaust emission standard (or applicable FEL) for oxides of 
nitrogen.If alternate procedures were used in certification pursuant 
toSec. 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 applicabletest 
procedure specified in Sec. 89.508(a). The manufacturerrounds these 
results, in accordance with ASTM E29-93a, to thenumber of decimal places 
contained in the applicable emission standardexpressed to one additional 
significant figure. This procedure hasbeen incorporated by reference. 
See Sec. 89.6.
    (b) Final test results are calculated by summing the initial 
testresults derived in paragraph (a) of this section for each test 
engine,dividing by the number of tests conducted on the engine, and 
roundingin accordance with the procedure specified in paragraph (a) of 
thissection to the same number of decimal places contained in 
theapplicable standard expressed to one additional significant figure.
    (c) Within five working days after completion of testing of 
allengines pursuant to a test order, the manufacturer must submit to 
theAdministrator a report which includes the following information:
    (1) The location and description of the manufacturer's 
exhaustemission test facilities which were utilized to conduct 
testingreported pursuant to this section;
    (2) The applicable standards and/or FEL against which the 
engineswere 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 
totesting;
    (ii) Location where service accumulation was conducted 
anddescription of accumulation procedure and schedule;
    (iii) Test number, date, test procedure used, initial test 
resultsbefore and after rounding, and final test results for all 
exhaustemission tests, whether valid or invalid, and the reason 
forinvalidation, if applicable;
    (iv) A complete description of any modification, repair,preparation, 
maintenance, and/or testing which was performed on thetest engine and 
has not been reported pursuant to any other paragraphof this subpart and 
will not be performed on all other productionengines;
    (v) Where an engine was deleted from the test sequence 
byauthorization of the Administrator, the reason for the deletion;
    (vi) Any other information the Administrator may request relevantto 
the determination as to whether the new engines being manufacturedby the

[[Page 138]]

manufacturer do in fact conform with the regulations withrespect 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 
theClean Air Act. This Selective Enforcement Audit was conducted 
incomplete conformance with all applicable regulations under 40 CFR 
part89 et seq. and the conditions of the test order. No emission-related 
changes to production processes or quality control proceduresfor the 
engine family tested have been made between receipt of thetest order and 
conclusion of the audit. All data and informationreported herein is, to 
the best of (Company Name) knowledge, true andaccurate. I am aware of 
the penalties associated with violations ofthe Clean Air Act and the 
regulations thereunder. (Authorized CompanyRepresentative.)

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57020, Oct. 23, 1998]



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

    (a) The prescribed acceptable quality level is 40 percent.
    (b) A failed engine is one whose final test results pursuant toSec. 
89.509(b), for one or more of the applicablepollutants, exceed the 
applicable emission standard or family emissionlevel.
    (c) The manufacturer must test engines comprising the test 
sampleuntil a pass decision is reached for all pollutants or a fail 
decisionis reached for one pollutant. A pass decision is reached when 
thecumulative number of failed engines, as defined in paragraph (b) 
ofthis section, for each pollutant is less than or equal to the 
passdecision number, as defined in paragraph (d) of this 
section,appropriate to the cumulative number of engines tested. A 
faildecision is reached when the cumulative number of failed engines 
forone or more pollutants is greater than or equal to the fail 
decisionnumber, as defined in paragraph (d) of this section, appropriate 
tothe cumulative number of engines tested.
    (d) The pass and fail decision numbers associated with thecumulative 
number of engines tested are determined by using the tablesin appendix A 
to this subpart, ``Sampling Plans for SelectiveEnforcement Auditing of 
Nonroad Engines,'' appropriate to theprojected sales as made by the 
manufacturer in its report to EPA underSec. 89.505(c)(1). In the tables 
in appendix A to thissubpart, sampling plan ``stage'' refers to the 
cumulativenumber of engines tested. Once a pass or fail decision has 
been madefor a particular pollutant, the number of engines with final 
testresults exceeding the emission standard for that pollutant shall 
notbe considered any further for the purposes of the audit.
    (e) Passing or failing of an SEA occurs when the decision is madeon 
the last engine required to make a decision under paragraph (c) ofthis 
section.
    (f) The Administrator may terminate testing earlier than requiredin 
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 
anyengine failing pursuant to paragraph (b) of Sec. 89.510effective 
from the time that testing of that engine is completed.
    (b) The Administrator may suspend the certificate of conformityfor a 
family which does not pass an SEA, pursuant to paragraphSec. 89.510(c), 
based on the first test or all testsconducted on each engine. This 
suspension will not occur before tendays after failure of the audit, 
unless the manufacturer requests anearlier suspension.
    (c) If the results of testing pursuant to these regulationsindicate 
that engines of a particular family produced at one plant ofa 
manufacturer do not conform to the regulations with respect to whichthe 
certificate of conformity was issued, the Administrator maysuspend the 
certificate of conformity with respect to that family forengines 
manufactured by the manufacturer at all other plants.
    (d) Notwithstanding the fact that engines described in 
theapplication may be covered by a certificate of conformity, 
theAdministrator may suspend such certificate immediately in whole or 
inpart if the Administrator finds any one of the following infractionsto 
be substantial:

[[Page 139]]

    (1) The manufacturer refuses to comply with the provisions ofa test 
order issued by the Administrator under Sec. 89.503.
    (2) The manufacturer refuses to comply with any of therequirements 
of this subpart.
    (3) The manufacturer submits false or incomplete information inany 
report or information provided to the Administrator under thissubpart.
    (4) The manufacturer renders inaccurate any test data submittedunder 
this subpart.
    (5) An EPA enforcement officer(s) or EPA authorizedrepresentative(s) 
is denied the opportunity to conduct activitiesrelated to entry and 
access as authorized in this subpart and awarrant or court order is 
presented to the manufacturer or the partyin charge of a facility in 
question.
    (6) An EPA enforcement officer(s) or EPA authorizedrepresentative(s) 
is unable to conduct activities related to entry andaccess as authorized 
in Sec. 89.506 because a manufacturerhas located a facility in a 
foreign jurisdiction where local lawprohibits those activities.
    (e) The Administrator must notify the manufacturer in writing ofany 
suspension or revocation of a certificate of conformity in wholeor in 
part; a suspension or revocation is effective upon receipt ofthe 
notification or ten days, except that the certificate isimmediately 
suspended with respect to any failed engines as providedfor in paragraph 
(a) of this section.
    (f) The Administrator may revoke a certificate of conformity for 
afamily when the certificate has been suspended pursuant to paragraph(b) 
or (c) of this section if the proposed remedy for thenonconformity, as 
reported by the manufacturer to the Administrator,is one requiring a 
design change or changes to the engine and/oremission control system as 
described in the application forcertification of the affected family.
    (g) Once a certificate has been suspended for a failed engine, 
asprovided for in paragraph (a) of this section, the manufacturer 
musttake the following actions before the certificate is reinstated 
forthat failed engine:
    (1) Remedy the nonconformity.
    (2) Demonstrate that the engine conforms to applicable standardsor 
family emission levels by retesting the engine in accordance withthese 
regulations.
    (3) Submit a written report to the Administrator, after 
successfulcompletion of testing on the failed engine, which contains 
adescription of the remedy and test results for each engine in 
additionto other information that may be required by this part.
    (h) Once a certificate for a failed family has been 
suspendedpursuant to paragraph (b) or (c) of this section, the 
manufacturermust take the following actions before the Administrator 
will considerreinstating the certificate:
    (1) Submit a written report to the Administrator which identifiesthe 
reason for the noncompliance of the engines, describes theproposed 
remedy, including a description of any proposed qualitycontrol and/or 
quality assurance measures to be taken by themanufacturer to prevent 
future occurrences of the problem, and statesthe date on which the 
remedies will be implemented.
    (2) Demonstrate that the engine family for which the certificateof 
conformity has been suspended does in fact comply with theseregulations 
by testing engines selected from normal production runs ofthat engine 
family, at the plant(s), port facility(ies) or associatedstorage 
facility(ies) specified by the Administrator, in accordancewith the 
conditions specified in the initial test order. If themanufacturer 
elects to continue testing individual engines aftersuspension of a 
certificate, the certificate is reinstated for anengine actually 
determined to be in conformance with the applicablestandards or family 
emission levels through testing in accordance withthe applicable test 
procedures, provided that the Administrator hasnot revoked the 
certificate pursuant to paragraph (f) of this section.
    (i) Once the certificate for a family has been revoked 
underparagraph (f) of this section and the manufacturer desires to 
continueintroduction into commerce of a modified version of that family, 
thefollowing actions must be taken before the Administrator may 
considerissuing a certificate for that modified family:

[[Page 140]]

    (1) If the Administrator determines that the proposedchange(s) in 
engine design may have an effect on emission performancedeterioration, 
the Administrator will notify the manufacturer, withinfive working days 
after receipt of the report in paragraph (g) of thissection, whether 
subsequent testing under this subpart is sufficientto evaluate the 
proposed change or changes or whether additionaltesting is required; and
    (2) After implementing the change or changes intended to remedythe 
nonconformity, the manufacturer must demonstrate that the modifiedengine 
family does in fact conform with these regulations by testingengines 
selected from normal production runs of that modified enginefamily in 
accordance with the conditions specified in the initial testorder. If 
the subsequent audit results in passing of the audit, theAdministrator 
will reissue the certificate or issue a new certificate,as the case may 
be, to include that family, provided that themanufacturer has satisfied 
the testing requirements of paragraph (i)(1) of this section. If the 
subsequent audit is failed, the revocationremains in effect. Any design 
change approvals under this subpart arelimited to the family affected by 
the test order.
    (j) At any time subsequent to an initial suspension of acertificate 
of conformity for a test engine pursuant to paragraph (a)of this 
section, but not later than 15 days (or such other period asmay be 
allowed by the Administrator) after notification of theAdministrator's 
decision to suspend or revoke a certificate ofconformity in whole or in 
part pursuant to paragraph (b), (c), or (f)of this section, a 
manufacturer may request a hearing as to whetherthe tests have been 
properly conducted or any sampling methods havebeen 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 anopportunity 
for a hearing conducted in accordance withSec. Sec. 89.512, 89.513, and 
89.514 and
    (2) need not apply to engines no longer in the hands of 
themanufacturer.
    (l) After the Administrator suspends or revokes a certificate 
ofconformity pursuant to this section and prior to the commencement of 
ahearing under Sec. 89.512, if the manufacturer demonstratesto 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 engineswhen 
conducting an audit of a family subsequent to a failure of an SEAand 
while reauditing of the failed family, it may request that 
theAdministrator conditionally reinstate the certificate for that 
family.The Administrator may reinstate the certificate subject to 
thecondition that the manufacturer consents to recall all engines of 
thatfamily produced from the time the certificate is 
conditionallyreinstated if the family fails the subsequent audit at the 
level ofthe standard and to remedy any nonconformity at no expense to 
theowner.

[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'sdecision 
under Sec. 89.511 (b), (c), (d), or (f) to suspendor revoke a 
certificate or disputes the basis for an automaticsuspension pursuant to 
Sec. 89.511 (a), the manufacturer mayrequest a public hearing.
    (b) The manufacturer's request must be filed with theAdministrator 
not later than 15 days after the Administrator'snotification of the 
decision to suspend or revoke, unless otherwisespecified by the 
Administrator. The manufacturer must simultaneouslyserve two copies of 
this request upon the Director of the EnginePrograms and Compliance 
Division and file two copies with the HearingClerk of the Agency. 
Failure of the manufacturer to request a hearingwithin the time provided 
constitutes a waiver of the right to ahearing. Subsequent to the 
expiration of the period for requesting ahearing as of right, the 
Administrator may, at her or his discretionand for good cause shown, 
grant the manufacturer a

[[Page 141]]

hearing tocontest 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 afamily 
is to be the subject of the hearing;
    (2) A concise statement of the issues to be raised by 
themanufacturer at the hearing, except that in the case of the 
hearingrequested under Sec. 89.511(j), the hearing is restricted tothe 
following issues:
    (i) Whether tests have been properly conducted, specifically,whether 
the tests were conducted in accordance with applicableregulations under 
this part and whether test equipment was properlycalibrated and 
functioning;
    (ii) Whether sampling plans have been properly applied,specifically, 
whether sampling procedures specified in appendix A ofthis subpart were 
followed and whether there exists a basis fordistinguishing engines 
produced at plants other than the one fromwhich engines were selected 
for testing which would invalidate theAdministrator's decision under 
Sec. 89.511(c);
    (3) A statement specifying reasons why the manufacturer believesit 
will prevail on the merits of each of the issues raised; and
    (4) A summary of the evidence which supports the 
manufacturer'sposition on each of the issues raised.
    (d) A copy of all requests for public hearings will be kept onfile 
in the Office of the Hearing Clerk and will be made available tothe 
public during Agency business hours.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57020, Oct. 23, 1998]



Sec. 89.513  Administrative procedures for public hearing.

    (a) The Presiding Officer is an Administrative Law Judge 
appointedpursuant 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 
Agencyappointed as a Judicial Officer by the Administrator, pursuant to 
thissection, who meets the qualifications and performs functions 
asfollows:
    (1) Qualifications. A Judicial Officer may be a permanent 
ortemporary employee of the Agency who performs other duties for 
theAgency. The Judicial Officer may not be employed by the Office 
ofEnforcement or have any connection with the preparation orpresentation 
of evidence for a hearing held pursuant to this subpart.The Judicial 
Officer must be a graduate of an accredited law schooland a member in 
good standing of a recognized Bar Association of anystate or the 
District of Columbia.
    (2) Functions. The Administrator may consult with theJudicial 
Officer or delegate all or part of the Administrator'sauthority to act 
in a given case under this section to a JudicialOfficer, provided that 
this delegation does not preclude the JudicialOfficer from referring any 
motion or case to the Administrator whenthe Judicial Officer determines 
such referral to be appropriate.
    (c) For the purposes of this section, one or more JudicialOfficers 
may be designated. As work requires, a Judicial Officer maybe designated 
to act for the purposes of a particular case.
    (d) Summary decision. (1) In the case of a hearing requestedunder 
Sec. 89.511(j), when it clearly appears from the dataand other 
information contained in the request for a hearing that nogenuine and 
substantial question of fact or law exists with respect tothe issues 
specified in Sec. 89.512(c)(2), the Administratormay enter an order 
denying the request for a hearing and reaffirmingthe original decision 
to suspend or revoke a certificate ofconformity.
    (2) In the case of a hearing requested under Sec. 89.512to 
challenge a suspension of a certificate of conformity for thereasons 
specified in Sec. 89.511(d), when it clearly appearsfrom the data and 
other information contained in the request for thehearing that no 
genuine and substantial question of fact or law existswith respect to 
the issue of whether the refusal to comply with theprovisions of a test 
order or any other requirement ofSec. 89.503 was caused by conditions 
and circumstancesoutside the control of the manufacturer, the 
Administrator may enteran order denying the request for a hearing and 
suspending thecertificate of conformity.
    (3) Any order issued under paragraph (d)(1) or (d)(2) of thissection 
has the

[[Page 142]]

force and effect of a final decision of theAdministrator, as issued 
pursuant to Sec. 89.515.
    (4) If the Administrator determines that a genuine and 
substantialquestion of fact or law does exist with respect to any of the 
issuesreferred to in paragraphs (d)(1) and (d)(2) of this section, 
theAdministrator will grant the request for a hearing and publish 
anotice of public hearing in the Federal Register or by suchother means 
as the Administrator finds appropriate to provide noticeto the public.
    (e) Filing and service. (1) An original and two copies ofall 
documents or papers required or permitted to be filed pursuant tothis 
section and Sec. 89.512(c) must be filed with theHearing Clerk of the 
Agency. Filing is considered timely if mailed, asdetermined by the 
postmark, to the Hearing Clerk within the timeallowed by this section 
and Sec. 89.512(b). If filing is tobe accomplished by mailing, the 
documents must be sent to the addressset 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 
inwritten form. Copies of written testimony will be served upon 
allparties as soon as practicable prior to the start of the hearing. 
Acertificate of service will be provided on or accompany each documentor 
paper filed with the Hearing Clerk. Documents to be served upon 
theDirector of the Engine Programs and Compliance Division must be 
sentby registered mail to: Director, Engine Programs and 
ComplianceDivision (6405-J), U.S. Environmental Protection Agency, 
1200Pennsylvania Ave., NW., Washington, DC 20460. Service by 
registeredmail is complete upon mailing.
    (f) Computation of time. (1) In computing any period of 
timeprescribed or allowed by this section, except as otherwise 
provided,the day of the act or event from which the designated period of 
timebegins to run is not included. Saturdays, Sundays, and federal 
legalholidays are included in computing the period allowed for the 
filingof any document or paper, except that when the period expires on 
aSaturday, Sunday, or federal legal holiday, the period is extended 
toinclude the next following business day.
    (2) A prescribed period of time within which a party is requiredor 
permitted to do an act is computed from the time of service, exceptthat 
when service is accomplished by mail, three days will be added tothe 
prescribed period.
    (g) Consolidation. The Administrator or the PresidingOfficer in his 
discretion may consolidate two or more proceedings tobe held under this 
section for the purpose of resolving one or moreissues whenever it 
appears that consolidation will expedite orsimplify consideration of 
these issues. Consolidation does not affectthe right of any party to 
raise issues that could have been raised ifconsolidation had not 
occurred.
    (h) Hearing date. To the extent possible hearings underSec. 89.512 
will be scheduled to commence within 14 days ofreceipt of the 
application in Sec. 89.512.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
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 toSec. 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 asdescribed 
in Sec. 89.7 apply.

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

[[Page 143]]



  Sec. Appendix A to Subpart F ofPart 89--Sampling Plans for Selective 
                 Enforcement Auditing ofNonroad Engines

                   Table 1--Sampling Plan Code Letter
------------------------------------------------------------------------
                                                                   Code
                   Annualengine family sales                      letter
------------------------------------------------------------------------
20-50..........................................................   AA \1\
20-99..........................................................        A
100-299........................................................        B
300-499........................................................        C
500 or greater.................................................        D
------------------------------------------------------------------------
\1\ A manufacturer may optionally use either the samplingplan for code
  letter ``AA'' or sampling plan for codeletter ``A'' for Selective
  Enforcement Audits of enginefamilies 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                        PassNo.      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                        PassNo.      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 144]]


               Table 5--Sampling Plan for CodeLetter ``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                        PassNo.      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.


[59 FR 31335, June 17, 1994, as amended at 70 FR 40446, July13, 2005]



          Subpart G_Importation of Nonconforming NonroadEngines



Sec. 89.601  Applicability.

    (a) Except where otherwise indicated, this subpart is applicableto 
nonroad engines for which the Administrator has promulgatedregulations 
under this part prescribing emission standards

[[Page 145]]

andnonroad vehicles and equipment containing such nonroad engines 
thatare offered for importation or imported into the United States, 
butwhich engines, at the time of conditional importation, are not 
coveredby certificates of conformity issued under section 213 and 
section206(a) of the Clean Air Act as amended (that is, which 
arenonconforming nonroad engines as defined in Sec. 89.602),and this 
part. Compliance with regulations under this subpart does notrelieve any 
person or entity from compliance with other applicableprovisions of the 
Clean Air Act.
    (b) Regulations prescribing further procedures for the importationof 
nonroad engines and nonroad vehicles and equipment into the 
customsterritory of the United States, as defined in 19 U.S.C. 1202, are 
setforth in U.S. Bureau of Customs regulations.
    (c) For the purposes of this subpart, the term ``nonroadengine'' 
includes all nonroad engines incorporated into nonroadequipment or 
nonroad vehicles at the time they are imported or offeredfor import into 
the United States.
    (d) Importers must complete the appropriate EPA declaration 
formbefore importing an engine. These forms are available on the 
Internetat http://www.epa.gov/OTAQ/imports/ or by phone at734-214-4100. 
Importers must keep the forms for fiveyears and make them available upon 
request.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct.23, 1998, 
as amended at 72 FR 53129, Sept. 18, 2007]



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 theAdministrator 
under section 213 and section 206(a) of the Act.
    Currently valid certificate of conformity. A certificate 
ofconformity for which the current date is within the effective periodas 
specified on the certificate of conformity, and which has not 
beenwithdrawn, superseded, voided, suspended, revoked, or 
otherwiserendered invalid.
    Fifteen working day hold period. The period of time betweena request 
for final admission and the automatic granting of finaladmission (unless 
EPA intervenes) for a nonconforming nonroad engineconditionally imported 
pursuant to Sec. 89.605 orSec. 89.609. Day one of the hold period is 
the first workingday (see definition for ``working day'' in this 
section)after the Engine Programs and Compliance Division of EPA 
receives acomplete and valid application for final admission.
    Independent commercial importer (ICI). An importer who isnot an 
original engine manufacturer (OEM) (see definition below), butis the 
entity in whose name a certificate of conformity for a class ofnonroad 
engines has been issued.
    Model year for imported engines. The manufacturer's annualproduction 
period (as determined by the Administrator) which includesJanuary 1 of 
the calendar year; provided, that if the manufacturer hasno annual 
production period, the term ``model year'' meansthe calendar year in 
which a nonroad engine is modified. Anindependent commercial importer 
(ICI) is deemed to have produced anonroad engine when the ICI has 
modified (including labeling) thenonconforming nonroad engine to meet 
applicable emission requirements.
    Nonconforming nonroad engine. A nonroad engine which is notcovered 
by a certificate of conformity prior to final or conditionaladmission 
(or for which such coverage has not been adequatelydemonstrated to EPA) 
and which has not been finally admitted into theUnited States under the 
provisions of Sec. 89.605 orSec. 89.609.
    Original engine manufacturer (OEM). The entity whichoriginally 
manufactured the nonroad engine.
    Original production (OP) year. The calendar year in whichthe nonroad 
engine was originally produced by the OEM.
    Original production (OP) years old. The age of a nonroadengine as 
determined by subtracting the original production year ofthe nonroad 
engine from the calendar year of importation.
    Production changes. Those changes in nonroad engineconfiguration, 
equipment, or calibration which are made by an OEM orICI in the course 
of nonroad engine production and required to bereported under Sec. 
89.123.

[[Page 146]]

    United States. United States includes the customsterritory of the 
United States as defined in 19 U.S.C. 1202, and theVirgin Islands, Guam, 
American Samoa, and the Commonwealth of theNorthern Mariana Islands.
    Useful life. A period of time as specified in subpart B ofthis part 
which for a nonconforming nonroad engine begins at the timeof resale 
(for a nonroad engine owned by the ICI at the time ofimportation) or 
release to the owner (for a nonroad engine not ownedby the ICI at the 
time of importation) of the nonroad engine by theICI after modification 
and/or testing pursuant toSec. 89.605 or Sec. 89.609.
    Working day. Any day on which federal government offices areopen for 
normal business. Saturdays, Sundays, and official federalholidays are 
not working days.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57021, Oct. 23, 1998]



Sec. 89.603  General requirements for importation of nonconforming nonroadengines.

    (a) A nonconforming nonroad engine offered for importation intothe 
United States is to be imported only by an Independent 
CommercialImporter (ICI) who is a holder of a currently valid 
certificate ofconformity unless an exemption or exclusion is granted by 
theAdministrator under Sec. 89.611 of this subpart. For anonroad engine 
imported pursuant to Sec. 89.605, the ICImust hold a currently valid 
certificate of conformity for thatspecific nonroad engine model.
    (b) Any nonroad engine imported into the United States must have 
alegible unique engine identification number permanently affixed to 
orengraved on the engine.
    (c) Final admission may not be granted unless:
    (1) The nonroad engine is covered by a certificate of 
conformityissued under subpart B of this part in the name of the ICI and 
the ICIhas complied with all requirements of Sec. 89.605; or
    (2) The nonroad engine is modified and emission tested inaccordance 
with the provisions of Sec. 89.609 and the ICIhas complied with all 
other requirements of Sec. 89.609; or
    (3) The nonroad engine is exempted or excluded underSec. 89.611.
    (d) The ICI must submit to the Engine Programs and 
ComplianceDivision of EPA a copy of all approved applications for 
certificationused to obtain certificates of conformity for the purpose 
of importingnonconforming nonroad engines pursuant to Sec. 89.605 
orSec. 89.609. In addition, the ICI must submit to the EnginePrograms 
and Compliance Division a copy of all approved productionchanges 
implemented pursuant to Sec. 89.605 or subpart B ofthis part. 
Documentation submitted pursuant to this paragraph (d) mustbe provided 
to the Engine Programs and Compliance Division within 10working days of 
approval of the certification application (orproduction change) by EPA.
    (e)(1) The applicable emission standards for engines imported byan 
ICI under this subpart are the emission standards applicable to 
theOriginal Production (OP) year of the engine.
    (2) Where engine manufacturers have choices in emission standardsfor 
one or more pollutants in a given model year, the standard thatapplies 
to the ICI is the least stringent standard for that pollutantapplicable 
to the OP year for the appropriate power category.
    (3) ICIs may not generate, use or trade emission credits orotherwise 
participate in any way in the averaging, banking and tradingprogram.
    (4) An ICI may import no more than a total of five engines underthis 
part for any given model year, except as allowed by paragraph (e)(5) of 
this section. For ICIs owned by a parent company, theimportation limit 
includes importation by the parent company and allits subsidiaries.
    (5) An ICI may exceed the limit outlined in paragraph (e)(4) ofthis 
section, provided that any engines in excess of the limit meetthe 
emission standards and other requirements outlined in theapplicable 
provisions of Part 89 or 1039 of this chapter for the modelyear in which 
the engine is modified (instead

[[Page 147]]

of the emissionstandards and other requirements applicable for the OP 
year of thevehicle/engine).

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57021, Oct. 23, 1998; 70 FR 40446, July 13, 2005]



Sec. 89.604  Conditional admission.

    (a) A nonroad engine offered for importation underSec. 89.605 or 
Sec. 89.609 may be conditionallyadmitted into the United States. These 
engines are refused finaladmission, unless at the time of conditional 
admission the importerhas submitted to the Administrator a written 
report that the subjectnonroad engine has been permitted conditional 
admission pending EPAapproval of its application for final admission 
underSec. 89.605 or Sec. 89.609. This written report isto contain the 
following:
    (1) Identification of the importer of the nonroad engine and 
theimporter's address, telephone number, and taxpayer 
identificationnumber;
    (2) Identification of the nonroad engine owner, the owner'saddress, 
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 theseregulations 
the nonroad engine is to be imported;
    (5) Identification of the place where the subject nonroad engineis 
to be stored until EPA approval of the importer's application tothe 
Administrator for final admission;
    (6) Authorization for EPA enforcement officers to conductinspections 
or testing otherwise permitted by the Act or regulationsthereunder;
    (7) Identification of the Independent Commercial Importer's 
(ICI)certificate of conformity that permits the ICI to import that 
nonroadengine (for importation under Sec. 89.605 orSec. 89.609); and
    (8) Such other information as is deemed necessary by 
theAdministrator.
    (b) EPA will not require a U.S. Customs Service bond for 
anonconforming nonroad engine which is imported underSec. 89.605 or 
Sec. 89.609. The period ofconditional admission may not exceed 120 
days. Nonroad enginesimported under Sec. 89.605 or Sec. 89.609 may 
notbe operated during the period of conditional admission except for 
thatoperation necessary to comply with the requirements of this 
subpart.During the period of conditional admission applicable toSec. 
89.605 or Sec. 89.609, the importer muststore the nonroad engine at a 
location where the Administrator hasreasonable access to the nonroad 
engine for inspection.
    (c) During the period of conditional admission underSec. 89.605 or 
Sec. 89.609, an ICI may transferresponsibility of a nonroad engine to 
another qualified ICI for thepurposes of complying with this subpart.
    (1) The transferee ICI must be a holder of a currently 
validcertificate of conformity for the specific nonroad engine 
beingtransferred or be authorized to import the nonroad engine pursuant 
toSec. 89.609 as of the transfer date. The transferee ICI mustcomply 
with all the requirements of Sec. 89.603,Sec. 89.604, and either Sec. 
89.605 orSec. 89.609, as applicable.
    (2) For the purpose of this subpart, the transferee ICI 
has``imported'' the nonroad engine as of the transfer date asdesignated 
in a written record that is signed by both ICIs.
    (3) The ICI that originally imported the nonroad engine 
isresponsible for all requirements of this subpart from the actual 
dateof importation until the date of transfer as designated in the 
writtenrecord. The transferee ICI is responsible for all requirements of 
thissubpart beginning on the date of transfer.
    (4) A copy of the written record is to be submitted to the 
EnginePrograms and Compliance Division of EPA within five working days 
ofthe transfer date.
    (d) Notwithstanding any other requirement of this subpart or 
U.S.Customs Service regulations, an ICI may also assume responsibility 
forthe modification and testing of a nonconforming nonroad engine 
whichwas previously imported by another party. The ICI must be a holder 
ofa currently valid certificate of conformity for that specific 
nonroadengine or authorized to import it pursuant to Sec. 89.609 atthe 
time of assuming such responsibility.

[[Page 148]]

The ICI must complywith all the requirements of Sec. 89.603,Sec. 
89.604, and either Sec. 89.605 orSec. 89.609, as applicable. For the 
purposes of thissubpart, the ICI has ``imported'' the nonroad engine as 
ofthe date the ICI assumes responsibility for the modification 
andtesting of the nonroad engine. The ICI must submit 
writtennotification to the Engine Programs and Compliance Division of 
EPAwithin 10 working days of the assumption of that responsibility.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57021, Oct. 23, 1998]



Sec. 89.605  Final admission of certified nonroad engines.

    (a) A nonroad engine may be finally admitted into the UnitedStates 
upon approval of the ICI's application to the Administrator.The 
application is made by completing EPA forms in accordance with 
EPAinstructions. The application contains:
    (1) The information required in Sec. 89.604(a);
    (2) Information demonstrating that the nonroad engine has 
beenmodified 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 
inaccordance with the provisions of the ICI's certificate of 
conformity;presents to EPA a statement written by the applicable 
Original EngineManufacturer that the Original Engine Manufacturer must 
provide to theICI, and to EPA, information concerning production changes 
to theclass of nonroad engines described in the ICI's application 
forcertification; delivers to the Engine Programs and Compliance 
Divisionof EPA notification by the ICI of any production changes 
alreadyimplemented by the Original Engine Manufacturer at the time 
ofapplication and their effect on emissions; and obtains from EPAwritten 
approval to use this demonstration option; or
    (ii) The ICI attests that the nonroad engine has been modified 
inaccordance 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 
engineimported under that certificate of conformity to 
demonstratecompliance with Federal emission requirements. The test is to 
beconducted at a laboratory located within the United States. 
Sequencingof the tests is determined by the date of importation of each 
nonroadengine beginning with the prototype nonroad engine used to obtain 
theapplicable certificate of conformity. Should the ICI exceed 
athreshold of 300 nonroad engines imported under the certificate 
ofconformity without adjustments or other changes in accordance 
withparagraph (a)(3) of this section, the amount of required testing 
isreduced to every fifth nonroad engine.
    (3) The results of every emission test which the ICI conducted onthe 
nonroad engine pursuant to paragraph (a)(2)(ii) of this section.Should a 
subject nonroad engine fail an emission test at any time, thefollowing 
procedures are applicable:
    (i) The ICI may either:
    (A) Conduct one retest that involves no adjustment of the 
nonroadengine from the previous test (for example, adjusting the RPM, 
timing,air-to-fuel ratio, and so forth) other than adjustments to 
adjustableparameters that, upon inspection, were found to be out of 
tolerance.When such an allowable adjustment is made, the parameter may 
be resetonly to the specified (that is, nominal) value (and not any 
othervalue within the tolerance band); or
    (B) Initiate a change in production (production change) under 
theprovisions of subpart B of this part that causes the nonroad engine 
tomeet 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 workingdays 
subsequent to the first emission test;
    (B) Should the subject nonroad engine fail the second emissiontest, 
then the ICI must initiate a change in production (a productionchange) 
under the provisions of subpart B of this part that causes thenonroad 
engine to meet federal emission requirements.
    (iii) If the ICI chooses to initiate a change in production 
(aproduction change) under the provisions of subpart B of this part 
thatcauses the nonroad

[[Page 149]]

engine to meet federal requirements, a changeinvolving adjustments of 
adjustable nonroad engine parameters (forexample, adjusting the RPM, 
timing, air/fuel ratio) represents achange in the specified (that is, 
nominal) value to be deemedacceptable by EPA.
    (iv) A production change made in accordance with this section isto 
be implemented on all subsequent nonroad engines imported under 
thecertificate of conformity after the date of importation of the 
nonroadengine which gave rise to the production change.
    (v) Commencing with the first nonroad engine receiving theproduction 
change, every third nonroad engine imported under thecertificate of 
conformity is to be emission tested to demonstratecompliance with 
federal emission requirements until, as in paragraph(a)(2)(ii) of this 
section, a threshold of 300 nonroad enginesimported under the 
certificate of conformity is exceeded withoutadjustments or other 
changes in accordance with paragraph (a)(3)(i)(A)of this section, at 
which time the amount of required emission testingis reduced to every 
fifth nonroad engine.
    (vi) A report concerning these production changes is to be made 
tothe Engine Programs and Compliance Division of EPA within ten 
workingdays of initiation of the production change. The cause of any 
failureof an emission test is to be identified, if known;
    (4) The applicable deterioration factor, if any;
    (5) The emission test results adjusted by the deteriorationfactor;
    (6) Other information that may be specified by applicableregulations 
or on the certificate of conformity under which thenonroad engine has 
been modified in order to assure compliance withrequirements of the Act;
    (7) All information required under Sec. 89.610 relatedto 
maintenance, warranties, and labeling;
    (8) An attestation by the ICI that the ICI is responsible for 
thenonroad engine's compliance with federal emission 
requirements,regardless of whether the ICI owns the nonroad engine 
imported underthis section;
    (9) The name, address, and telephone number of the person who theICI 
prefers to receive EPA notification underSec. 89.605(c);
    (10) An attestation by the ICI that all requirements ofSec. 89.607 
and Sec. 89.610 have been met; and
    (11) Other information as is deemed necessary by theAdministrator.
    (b) EPA approval for final admission of a nonroad engine underthis 
section is to be presumed not to have been granted if arequirement of 
this subpart has not been met. This includes, but isnot limited to, 
properly modifying the nonroad engine to be inconformity in all material 
respects with the description in theapplication for certification or not 
complying with the provisions ofSec. 89.605(a)(2) or if the final 
emission test results,adjusted by the deterioration factor, if 
applicable, do not complywith applicable emission standards.
    (c) Except as provided in paragraph (b) of this section, EPAapproval 
for final admission of a nonroad engine under this section ispresumed to 
have been granted if the ICI does not receive oral orwritten notice from 
EPA to the contrary within 15 working days of thedate that the Engine 
Programs and Compliance Division of EPA receivesthe ICI's application 
under paragraph (a) of this section. EPA noticeof nonapproval may be 
made to any employee of the ICI. It is theresponsibility of the ICI to 
ensure that the Engine Programs andCompliance Division of EPA receives 
the application and to confirm thedate of receipt. During this 15 
working day hold period, the nonroadengine is to be stored at a location 
where the Administrator hasreasonable access to the nonroad engine for 
the Administrator'sinspection. The storage is to be within 50 miles of 
the ICI's testingfacility to allow the Administrator reasonable access 
for inspectionand testing. A storage facility not meeting this criterion 
must beapproved in writing by the Administrator prior to the submittal 
of theICI's application under paragraph (a) of this section.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57021, Oct. 23, 1998]

[[Page 150]]



Sec. 89.606  Inspection and testing of imported nonroad engines.

    (a) In order to allow the Administrator to determine whether anICI's 
production nonroad engines comply with applicable emissionrequirements 
or requirements of this subpart, an EPA enforcementofficer or authorized 
representative is authorized to conductinspections and/or tests of 
nonroad engines imported by the ICI. TheICI must admit an EPA 
enforcement officer or authorized representativeduring operating hours 
to any of the following places upon demand andupon presentation of 
credentials:
    (1) Any facility where any nonroad engine imported by the ICIunder 
this subpart was or is being modified, tested, or stored and
    (2) Any facility where any record or other document relating 
tomodification, testing, or storage of the nonroad engine, or requiredto 
be kept by Sec. 89.607, is located. EPA may requireinspection or 
testing of nonroad engines at the test facility used bythe ICI or at an 
EPA-designated testing facility, with transportationand/or testing costs 
to be borne by the ICI.
    (b) Upon admission to any facility referred to in paragraph (a) 
ofthis section, an EPA enforcement officer or authorized 
representativeis allowed during operating hours:
    (1) To inspect and monitor any part or aspect of activitiesrelating 
to the ICI's modification, testing, and/or storage of nonroadengines 
imported under this subpart;
    (2) To inspect and make copies of record(s) or document(s) relatedto 
modification, testing, and storage of a nonroad engine, or requiredby 
Sec. 89.607; and
    (3) To inspect and photograph any part or aspect of the 
nonroadengine and any component used in the assembly thereof.
    (c) An EPA enforcement officer or authorized representative is tobe 
furnished, by those in charge of a facility being inspected, withsuch 
reasonable assistance as the officer or representative mayrequest to 
help discharge any function listed in this subpart. An ICImust make 
arrangements with those in charge of a facility operated forits benefit 
to furnish such reasonable assistance without charge toEPA. Reasonable 
assistance includes, but is not limited to, clerical,copying, 
interpretation and translation services, and the makingavailable on 
request of personnel of the facility being inspectedduring their working 
hours to inform the EPA enforcement officer orauthorized representative 
of how the facility operates and to answerany questions.
    (d) The requirements of paragraphs (a), (b), and (c) of thissection 
apply whether or not the ICI owns or controls the facility inquestion. 
It is the ICI's responsibility to make such arrangements asmay be 
necessary to assure compliance with paragraphs (a), (b), and(c) of this 
section. Failure to do so, or other failure to comply withparagraphs 
(a), (b), or (c), may result in sanctions as provided forin the Act or 
Sec. 89.612(e).
    (e) Duly designated enforcement officers are authorized to proceedex 
parte to seek warrants authorizing the inspection or testing of 
thenonroad engines described in paragraph (a) of this section whether 
ornot the enforcement officers first attempted to seek permission 
fromthe ICI or facility owner to inspect such nonroad engines.
    (f) The results of the Administrator's test under this 
sectioncomprise the official test data for the nonroad engine for 
purposes ofdetermining whether the nonroad engine should be permitted 
final entryunder 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 ofthe 
provisions of this subpart must establish and maintain 
adequatelyorganized and indexed records, correspondence and other 
applicabledocuments 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 
finaladmission or exportation of a nonconforming nonroad engine imported 
bythe ICI. These records include, but are not limited to:

[[Page 151]]

    (1) The declaration required by U.S. Bureau of Customsregulations.
    (2) Any documents or other written information required by afederal 
government agency to be submitted or retained in conjunctionwith the 
certification, importation or emission testing (ifapplicable) of nonroad 
engines;
    (3) All bills of sale, invoices, purchase agreements, 
purchaseorders, principal or agent agreements, and correspondence 
between theICI and the ultimate purchaser of each nonroad engine and 
between anyagents of the above parties;
    (4) For nonroad engines imported by an ICI pursuant toSec. 89.605 
or Sec. 89.609, documents providingparts identification data (including 
calibration changes and partnumbers and location of such parts on each 
nonroad engine) associatedwith the emission control system installed on 
each nonroad enginedemonstrating that such emission control system was 
properly installedon such nonroad engine;
    (5) For nonroad engines imported by an ICI pursuant toSec. 89.605 
or Sec. 89.609, documentsdemonstrating that, where applicable, each 
nonroad engine was emissiontested in accordance with subpart E of this 
part and part 86, subpartI of this chapter;
    (6) Documents providing evidence that the requirements ofSec. 
89.610 have been met;
    (7) Documents providing evidence of compliance with all 
relevantrequirements of the Clean Air Act;
    (8) Documents providing evidence of the initiation of the 15working 
day hold period (that is, evidence that the applicationsubmitted 
pursuant to Sec. 89.605(a) orSec. 89.609(b) was received by EPA) for 
each nonroad engineimported pursuant to Sec. 89.605 or Sec. 89.609;
    (9) For nonroad engines owned by the ICI at the time ofimportation, 
documents providing evidence of the date of sale and dateof delivery to 
the ultimate purchaser, together with the name,address, and telephone 
number of the ultimate purchaser for eachnonroad engine imported 
pursuant to Sec. 89.605 orSec. 89.609;
    (10) For nonroad engines not owned by the ICI at the time 
ofimportation, documents providing evidence and date of release to 
theowner (including owner's name, address, and telephone number) for 
eachnonroad engine imported pursuant to Sec. 89.605 orSec. 89.609;
    (11) Documents providing evidence of the date of originalmanufacture 
of the nonroad engine. The importer may substitute analternate date in 
lieu of the date of original manufacture, providedthat the substitution 
of such alternate date is approved in advance bythe Administrator.
    (b) The ICI is responsible for ensuring the maintenance of 
recordsrequired by this section, regardless of whether or not facilities 
usedby the ICI to comply with requirements of this subpart are under 
thecontrol 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 
IndependentCommercial Importer (ICI) pursuant to Sec. 89.605 orSec. 
89.609 and finally admitted by EPA may be inspected andemission tested 
by EPA for the recall period specified inSec. 89.104(b).
    (b) ICIs must maintain for eight years, and provide to EPA 
uponrequest, a list of owners or ultimate purchasers of all 
nonroadengines imported by the ICI under this subpart.
    (c) The Administrator must notify the ICI whenever theAdministrator 
has determined that a substantial number of a class orcategory of the 
ICI's nonroad engines, although properly maintainedand used, do not 
conform to the regulations prescribed under section213 of the Act when 
in actual use throughout their useful lives. Aftersuch notification, the 
recall regulations at subpart H of this partgovern the ICI's 
responsibilities. References to a manufacturer in therecall 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 nonroadengines.

    (a) A nonroad engine may be imported under this section by 
anIndependent Commercial Importer (ICI) possessing a currently 
validcertificate of conformity only if:

[[Page 152]]

    (1) The nonroad engine is six original production years oldor older; 
and
    (2) The ICI's name has not been placed on a currently effectiveEPA 
list of ICIs ineligible to import such modification/test nonroadengines, 
as described in paragraph (e) of this section; and
    (3) The ICI has a currently valid certificate of conformity forthe 
same nonroad engine class and fuel type as the nonroad enginebeing 
imported.
    (b) A nonroad engine conditionally imported under this section maybe 
finally admitted into the United States upon approval of the 
ICI'sapplication by the Administrator. The application is to be made 
bycompleting EPA forms, in accordance with EPA instructions. The 
ICIincludes in the application:
    (1) The identification information required inSec. 89.604;
    (2) An attestation by the ICI that the nonroad engine has 
beenmodified and tested in accordance with the applicable emission 
testsas specified in Subpart B Sec. 89.119(a) of this part at 
alaboratory 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 
applicabledeterioration factor;
    (6) All information required under Sec. 89.610 relatedto 
maintenance, warranties, and labeling;
    (7) An attestation by the ICI that the ICI is responsible for 
thenonroad engine's compliance with federal emission 
requirements,regardless of whether the ICI owns the nonroad engine 
imported underthis section;
    (8) The applicable address and telephone number of the ICI, or 
thename, address, and telephone number of the person who the ICI 
prefersto receive EPA notification under Sec. 89.609(d);
    (9) An attestation by the ICI that all requirements ofSec. 89.607-
95 and Sec. 89.610 have beenmet; and
    (10) Such other information as is deemed necessary by 
theAdministrator.
    (c) EPA approval for final admission of a nonroad engine underthis 
section is presumed not to have been granted if any requirementof this 
subpart has not been met.
    (d) Except as provided in paragraph (c) of this section, EPAapproval 
for final admission of a nonroad engine under this section ispresumed to 
have been granted if the ICI does not receive oral orwritten notice from 
EPA to the contrary within 15 working days of thedate that the Engine 
Programs and Compliance Division of EPA receivesthe ICI's application 
under paragraph (b) of this section. Such EPAnotice of nonapproval may 
be made to any employee of the ICI. It isthe responsibility of the ICI 
to ensure that the Engine Programs andCompliance Division of EPA 
receives the application and to confirm thedate of receipt. During this 
15 working day hold period, the nonroadengine is stored at a location 
where the Administrator has reasonableaccess to the nonroad engine for 
the Administrator's inspection. Thestorage is to be within 50 miles of 
the ICI's testing facility toallow the Administrator reasonable access 
for inspection and testing.A storage facility not meeting this criterion 
must be approved inwriting by the Administrator prior to the submittal 
of the ICI'sapplication under paragraph (b) of this section.
    (e) EPA list of ICIs ineligible to import nonroad engines 
formodification/test. EPA maintains a current list of ICIs who havebeen 
determined to be ineligible to import nonroad engines under thissection. 
The determination of ineligibility is made in accordance withthe 
criteria and procedures in Sec. 89.612(e) of thissubpart.
    (f) Inspections. Prior to final admission, a nonroad engineimported 
under this section is subject to special inspections asdescribed in 
Sec. 89.606 with these additional provisions:
    (1) If, in the judgment of the Administrator, a significant numberof 
nonroad engines imported by an ICI fail to comply with 
emissionrequirements upon inspection or retest or if the ICI fails to 
complywith a provision of these regulations that pertain to nonroad 
enginesimported pursuant to Sec. 89.609, the ICI may be placed onthe 
EPA list of ICIs ineligible to import nonroad engines under thissection 
as specified in paragraph (e) of this section andSec. 89.612(e).

[[Page 153]]

    (2) An individual nonroad engine which fails a retest orinspection 
is to be repaired and retested, as applicable, todemonstrate compliance 
with emission requirements before finaladmission is granted by EPA.
    (3) Unless otherwise specified by EPA, the ICI bears the costs ofall 
retesting under this subsection, including transportation.
    (g) In-use inspection and testing. A nonroad engine importedunder 
this section may be tested or inspected by EPA at any timeduring the 
recall period specified in Sec. 89.104(b), inaccordance with Sec. 
89.608(a). If, in the judgment of theAdministrator, a significant number 
of properly maintained and usednonroad engines imported by the ICI 
pursuant to this section fail tomeet emission requirements, the name of 
the ICI may be placed on theEPA list of ICIs ineligible to import 
nonroad engines under themodification/test provision as specified in 
paragraph (e) of thissection and Sec. 89.612(e).

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57021, Oct. 23, 1998]



Sec. 89.610  Maintenance instructions, warranties, emission labeling.

    The provisions of this section are applicable to all nonroadengines 
imported under the provisions of Sec. 89.605 orSec. 89.609.
    (a) Maintenance instructions. (1) The Independent CommercialImporter 
(ICI) must furnish to the purchaser, or to the owner of eachnonroad 
engine imported under Sec. 89.605 orSec. 89.609 of this subpart, 
written instructions for themaintenance and use of the nonroad engine by 
the purchaser or owner.Each application for final admission of a nonroad 
engine is to providean attestation that such instructions have been or 
will be (if theultimate purchaser is unknown) furnished to the purchaser 
or owner ofsuch nonroad engine at the time of sale or delivery. The ICI 
mustmaintain a record of having furnished such instructions.
    (2) For each nonroad engine imported under Sec. 89.609,a copy of 
the maintenance and use instructions is to be maintained ina file 
containing the records for that nonroad engine.
    (3) The maintenance and use instructions are not to 
containrequirements more restrictive than those set forth inSec. 89.109 
(Maintenance Instructions) and are to be insufficient detail and clarity 
that a mechanic of average training andability can maintain or repair 
the nonroad engine.
    (4) For each nonroad engine imported pursuant toSec. 89.605 or 
Sec. 89.609, ICIs must furnish witheach 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 tothe 
ultimate purchaser or owner is to be copied and maintained in afile 
containing the records for that nonroad engine prior tosubmitting each 
application for final admission pursuant toSec. 89.605(a) or Sec. 
89.609(b).
    (b) Warranties. (1) ICIs must submit to the Engine Programsand 
Compliance Division of EPA sample copies (including revisions) ofany 
warranty documents required by this section prior to importingnonroad 
engines under this subpart.
    (2) ICIs must provide to nonroad engine owners emission 
warrantiesidentical to those required by sections 207(a) of the Act. 
Thewarranty period for each nonroad engine is to commence on the date 
thenonroad engine is delivered by the ICI to the ultimate purchaser 
orowner.
    (3) ICIs must provide warranty insurance coverage by a 
prepaidmandatory service insurance policy underwritten by an 
independentinsurance company. The policy is to:
    (i) Be subject to the approval of the Administrator if theinsurance 
coverage is less than the required warranty;
    (ii) At a minimum, provide coverage for emission-relatedcomponents 
installed or modified by the ICI and, to the maximum extentpossible, the 
emission-related components installed by the OEM;
    (iii) Be transferable to each successive owner for the 
periodsspecified in Sec. 89.104(c); and

[[Page 154]]

    (iv) Provide that in the absence of an ICI's facility 
beingreasonably available (that is, within 50 miles) for performance 
ofwarranty repairs, the warranty repairs may be performed anywhere.
    (4) ICIs must attest in each application for final admission thatthe 
warranty requirements have been met, that the mandatory insurancehas 
been paid and is in effect, and that certificates and statementsof the 
warranties have been or will be provided to the owner orultimate 
purchaser. A copy of the warranties and evidence that thewarranties are 
paid and in effect is to be maintained in a filecontaining the records 
for each nonroad engine prior to submittingeach application for final 
admission pursuant toSec. 89.605(a) or Sec. 89.609(b).
    (c) Emission labeling. (1) For each nonroad engine importedpursuant 
to Sec. 89.605 or Sec. 89.609, the ICImust affix a permanent legible 
label which identifies each nonroadengine and also satisfies the 
following:
    (i) The label meets all the requirements of Sec. 89.110and contains 
the following statement ``This nonroad engine wasoriginally produced in 
(month and year of original production). It hasbeen imported and 
modified by (ICI's name, address, and telephonenumber) to conform to 
United States emission regulations applicable tothe (year) model year.''
    (ii) If the nonroad engine is owned by the ICI at the time 
ofimportation, the label also states ``This nonroad engine iswarranted 
for five years or 3000 hours of operation from the date ofpurchase, 
whichever first occurs.''
    (iii) If the nonroad engine is not owned by the ICI at the time 
ofimportation, the label states ``This nonroad engine is warrantedfor 
five years or 3000 hours of operation from the date of release tothe 
owner, whichever first occurs.''
    (iv) For nonroad engines imported under Sec. 89.609, thelabel 
clearly states in bold letters that ``This nonroad enginehas not been 
manufactured under a certificate of conformity butconforms to United 
States emission regulations under amodification/test program.'' For all 
nonroad engines importedpursuant to Sec. 89.605 or Sec. 89.609, the 
labelcontains the vacuum hose routing diagram applicable to the 
nonroadengines.
    (2) As part of the application to the Administrator for 
finaladmission of each individual nonroad engine underSec. 89.609, the 
ICI must maintain a copy of the labels foreach nonroad engine in a file 
containing the records for that nonroadengine prior to submitting each 
application for final admission. ICIsimporting under Sec. 89.605 or 
Sec. 89.609 mustattest to compliance with the preceding labeling 
requirements of thissection in each application for final admission.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57021, Oct. 23, 1998]



Sec. 89.611  Exemptions and exclusions.

    (a) Individuals, as well as ICIs, are eligible for importingnonroad 
engines into the United States under the provisions of thissection, 
unless otherwise specified.
    (b) Notwithstanding other requirements of this subpart, a 
nonroadengine entitled to one of the temporary exemptions of this 
paragraphmay be conditionally admitted into the United States if prior 
writtenapproval for the conditional admission is obtained from 
theAdministrator. Conditional admission is to be under bond. 
TheAdministrator may request that the U.S. Customs Service require 
aspecific bond amount to ensure compliance with the requirements of 
theAct and this subpart. A written request for approval from 
theAdministrator is to contain the identification required inSec. 
89.604(a) (except for Sec. 89.604(a)(5)) andinformation that 
demonstrates that the importer is entitled to theexemption. 
Noncompliance with provisions of this section may result inthe 
forfeiture of the total amount of the bond or exportation of thenonroad 
engine. The following temporary exemptions are permitted bythis 
paragraph:
    (1) Exemption for repairs or alterations. A person mayconditionally 
import under bond a nonconforming engine solely forpurpose of repairs or 
alterations. The engine may not be operated inthe United States other 
than for the sole purpose of repair oralteration or shipment to the 
point of repair or alteration and to theport of export. It

[[Page 155]]

may not be sold or leased in the United Statesand is to be exported upon 
completion of the repairs or alterations.
    (2) Testing exemption. A test nonroad engine may beconditionally 
imported by a person subject to the requirements ofSec. 89.905. A test 
nonroad engine may be operated in theUnited States provided that the 
operation is an integral part of thetest. This exemption is limited to a 
period not exceeding one yearfrom the date of importation unless a 
request is made by theappropriate importer concerning the nonroad engine 
in accordance withSec. 89.905(f) for a subsequent one-year period.
    (3) Precertification exemption. A prototype nonroad enginefor use in 
applying to EPA for certification pursuant to this subpartmay be 
conditionally imported subject to applicable provisions ofSec. 89.906 
and the following requirements:
    (i) No more than one prototype nonroad engine for each enginefamily 
for which an importer is seeking certification is to beimported.
    (ii) The granting of precertification exemptions by theAdministrator 
is discretionary. Normally, no more than threeoutstanding 
precertification exemptions are allowed for each importer.No 
precertification exemption is allowed if the importer requestingthe 
exemption is in noncompliance with any requirement of this subpartuntil 
the noncompliance is corrected.
    (iii) Unless a certificate of conformity is issued for theprototype 
nonroad engine and the nonroad engine is finally admittedpursuant to the 
requirements of Sec. 89.605 within 180 daysfrom the date of entry, the 
total amount of the bond is to beforfeited or the nonroad engine 
exported unless an extension isgranted by the Administrator. A request 
for an extension is to be inwriting and received by the Administrator 
prior to the date that theprecertification exemption expires.
    (iv) Such precertification nonroad engine may not be operated inthe 
United States other than for the sole purpose of theprecertification 
exemption.
    (4) Display exemptions. (i) A nonroad engine intended solelyfor 
display may be conditionally imported subject to the requirementsof 
Sec. 89.907.
    (ii) A display nonroad engine may be imported by any person 
forpurposes related to a business or the public interest. Such 
purposesdo not include collections normally inaccessible or unavailable 
to thepublic on a daily basis, display of a nonroad engine at a 
dealership,private use, or other purpose that the Administrator 
determines is notappropriate for display exemptions. A display nonroad 
engine may notbe sold in the United States and may not be operated in 
the UnitedStates except for the operation incident and necessary to the 
displaypurpose.
    (iii) A temporary display exemption is granted for 12 months orfor 
the duration of the display purpose, whichever is shorter. Twoextensions 
of up to 12 months each are available upon approval by theAdministrator. 
In no circumstances, however, may the total period ofexemption exceed 36 
months. The U.S. Customs Service bonds a temporarydisplay exemption.
    (c) Notwithstanding any other requirement of this subpart, anonroad 
engine may be finally admitted into the United States underthis 
paragraph if prior written approval for such final admission isobtained 
from the Administrator. Conditional admission of thesenonroad engines 
under this subpart is not permitted for the purpose ofobtaining such 
written approval from the Administrator. A request forapproval is to 
contain the identification information required inSec. 89.604(a) 
(except for Sec. 89.604(a)(5)) andinformation that demonstrates that 
the importer is entitled to theexemption or exclusion. The following 
exemptions or exclusions arepermitted by this paragraph:
    (1) National security exemption. A nonroad engine may beimported 
under the national security exemption found atSec. 89.908.
    (2) Hardship exemption. The Administrator may exempt on acase-by-
case basis a nonroad engine from federal emission requirementsto 
accommodate unforeseen cases of extreme hardship or 
extraordinarycircumstances.
    (3) Exemption for nonroad engines identical to United 
Statescertified versions. (i)

[[Page 156]]

A person (including businesses) iseligible for importing a nonroad 
engine into the United States underthe provisions of this paragraph. An 
exemption will be granted if thenonroad 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 anonroad 
engine certified by the Original Engine Manufacturer (OEM) forsale in 
the United States or is proven to have been modified to beidentical, in 
all material respects, to a nonroad engine certified bythe OEM for sale 
in the United States according to complete writteninstructions provided 
by the OEM's United States representative, orhis/her designee.
    (ii) Proof of conformity. (A) Documentation submittedpursuant to 
this section for the purpose of proving conformity ofindividual nonroad 
engines is to contain sufficiently organized dataor evidence 
demonstrating that the nonroad engine identified pursuantto Sec. 
89.604(a) is identical, in all material respects, toa nonroad engine 
identified in an OEM's application for certification.
    (B) If the documentation does not contain all the 
informationrequired by this part, or is not sufficiently organized, EPA 
notifiesthe importer of any areas of inadequacy, and that the 
documentationdoes not receive further consideration until the required 
informationor organization is provided.
    (C) If EPA determines that the documentation does not clearly 
orsufficiently demonstrate that a nonroad engine is eligible 
forimportation, EPA notifies the importer in writing.
    (D) If EPA determines that the documentation clearly andsufficiently 
demonstrates that a nonroad engine is eligible forimportation, EPA 
grants approval for importation and notifies theimporter in writing. 
Notwithstanding any other requirement of thissubpart, the notice 
constitutes approval for final admission into theUnited States.
    (d) Foreign diplomatic and military personnel may import 
anonconforming nonroad engine without bond. At the time of admission,the 
importer must submit to the Administrator the written reportrequired in 
Sec. 89.604(a) (except for information requiredby Sec. 89.604(a)(5)) 
and a statement from the U.S.Department of State confirming 
qualification for this exemption. Thenonroad engine may not be sold in 
the United States and must beexported if the individual's diplomatic 
status is no longerapplicable, as determined by the Department of State, 
unlesssubsequently brought into conformity in accordance withSec. Sec. 
89.605, 89.609, or 89.611(c)(3).
    (e) Competition exclusion. A nonconforming engine may beimported by 
any person provided the importer demonstrates to theAdministrator that 
the engine is used to propel a vehicle used solelyfor competition and 
obtains prior written approval from theAdministrator. A nonconforming 
engine imported pursuant to thisparagraph may not be operated in the 
United States except for thatoperation incident and necessary for the 
competition purpose, unlesssubsequently brought into conformity with 
United States emissionrequirements in accordance with Sec. Sec. 89.605, 
89.609,or 89.611(c)(3).
    (f) Exclusions/exemptions based on date of originalmanufacture. (1) 
Notwithstanding any other requirements of thissubpart, the following 
nonroad engines are excluded, as determined bythe engine's gross power 
output, from the requirements of the Act inaccordance with section 213 
of the Act and may be imported by anyperson:
    (i) All nonroad engines greater than or equal to 37 kW but lessthan 
75 kW originally manufactured prior to January 1, 1998.
    (ii) All nonroad engines greater than or equal to 75 kW but lessthan 
130 kW originally manufactured prior to January 1, 1997.
    (iii) All nonroad engines greater than or equal to 130 kW but 
lessthan or equal to 560 kW originally manufactured prior to January 
1,1996.
    (iv) All nonroad engines greater than 560 kW originallymanufactured 
prior to January 1, 2000.
    (v) All nonroad engines greater than or equal to 19 kW but lessthan 
37 kW originally manufactured prior to January 1, 1999.

[[Page 157]]

    (vi) All nonroad engines less than 19 kW originallymanufactured 
prior to January 1, 2000.
    (2) Notwithstanding other requirements of this subpart, a 
nonroadengine not subject to an exclusion under Sec. 89.611(f)(1)but 
greater than 20 original production (OP) years old is entitled toan 
exemption from the requirements of the Act, provided that it hasnot been 
modified in those 20 OP years and it is imported into theUnited States 
by an ICI. At the time of admission, the ICI must submitto the 
Administrator the written report required inSec. 89.604(a) (except for 
information required bySec. 89.604(a)(5)).
    (g) An application for exemption and exclusion provided for 
inparagraphs (b), (c), and (e) of this section is to be mailed to: 
U.S.Environmental Protection Agency, Office of Mobile Sources, 
EnginePrograms and Compliance Division (6405-J), 1200 PennsylvaniaAve., 
NW., Washington, DC 20460, Attention: Imports.

[59 FR 31335, June 17, 1994. Redesignated and amended at 63 FR56996, 
57022, Oct. 23, 1998; 70 FR 40446, July 13, 2005; 72 FR 53129,Sept. 18, 
2007]



Sec. 89.612  Prohibited acts; penalties.

    (a) The importation of a nonroad engine, including a nonroadengine 
incorporated into a nonroad vehicle or nonroad equipment, whichis not 
covered by a certificate of conformity other than in accordancewith this 
subpart and the entry regulations of the U.S. CustomsService is 
prohibited. Failure to comply with this section is aviolation of section 
213(d) and section 203 of the Act.
    (b) Unless otherwise permitted by this subpart, during a period 
ofconditional admission, the importer of a nonroad engine may not:
    (1) Register, license, or operate the nonroad engine in the 
UnitedStates;
    (2) Sell or offer the nonroad engine for sale;
    (3) Store the nonroad engine on the premises of a dealer 
(unlessapproved by the Administrator), owner, or purchaser;
    (4) Relinquish control of the nonroad engine to the owner 
orpurchaser; or
    (5) Cause a nonroad engine to be altered in any manner subsequentto 
modification and testing, if applicable, for which an applicationfor 
final admission is based and submitted to the Administrator,unless 
approved in advance by the Administrator.
    (c) A nonroad engine conditionally admitted pursuant toSec. 89.604 
and not granted final admission within 120 daysof such conditional 
admission, or within such additional time as theAdministrator and the 
U.S. Customs Service may allow, is deemed to beunlawfully imported into 
the United States in violation of section213(d) and section 203 of the 
Act, unless the nonroad engine has beendelivered to the U.S. Customs 
Service for export or other dispositionunder applicable Customs laws and 
regulations. A nonroad engine not sodelivered is subject to seizure by 
the U.S. Customs Service.
    (d) An importer who violates section 213(d) and section 203 of 
theAct is subject to the provisions of section 209 of the Act and is 
alsosubject to a civil penalty under section 205 of the Act of not 
morethan $32,500 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 exemptionprovisions of 
Sec. 89.611(b) and, who fails to deliver thenonroad engine to the U.S. 
Customs Service is liable for liquidateddamages in the amount of the 
bond required by applicable Customs lawsand regulations. The maximum 
penalty value listed in this paragraph(d) is shown for calendar year 
2004. Maximum penalty limits for lateryears may be adjusted based on the 
Consumer Price Index. The specificregulatory provisions for changing the 
maximum penalties, published in40 CFR part 19, reference the applicable 
U.S. Code citation on whichthe prohibited action is based.
    (e)(1) An ICI whose nonroad engines imported underSec. 89.605 or 
Sec. 89.609 fail to conform tofederal emission requirements after 
modification and/or testing or whofails to comply with applicable 
provisions of this subpart, may, inaddition to any other applicable 
sanctions and penalties, be subjectto any, or all, of the following 
sanctions:
    (i) The ICI's currently held certificates of conformity may 
berevoked or suspended;

[[Page 158]]

    (ii) The ICI may be deemed ineligible to apply for newcertificates 
of conformity for up to three years; and
    (iii) The ICI may be deemed ineligible to import nonroad 
enginesunder Sec. 89.609 in the future and be placed on a list ofICIs 
ineligible to import nonroad engines under the provisions ofSec. 
89.609.
    (2) Grounds for the actions described in paragraph (e)(1) of 
thissection include, but are not limited to, the following:
    (i) Action or inaction by the ICI or the laboratory performing 
theemission test on behalf of the ICI, which results in 
fraudulent,deceitful, or grossly inaccurate representation of any fact 
orcondition which affects a nonroad engine's eligibility for admissionto 
the United States under this subpart;
    (ii) Failure of a significant number of imported nonroad enginesto 
comply with federal emission requirements upon EPA inspection orretest; 
or
    (iii) Failure by an ICI to comply with requirements of thissubpart.
    (3) The following procedures govern any decision to suspend,revoke, 
or refuse to issue certificates of conformity under thissubpart:
    (i) When grounds appear to exist for the actions described 
inparagraph (e)(1) of this section, the Administrator must notify theICI 
in writing of any intended suspension or revocation of acertificate of 
conformity, proposed ineligibility to apply for newcertificates of 
conformity, or intended suspension of eligibility toconduct 
modification/testing under Sec. 89.609, and thegrounds for such action.
    (ii) Except as provided by paragraph (e)(3)(iv), the ICI must 
takethe following actions before the Administrator will 
considerwithdrawing notice of intent to suspend or revoke the 
ICI'scertificate of conformity or to deem the ICI ineligible to apply 
fornew certification or to deem the ICI ineligible to 
performmodification/testing under Sec. 89.609:
    (A) Submit a written report to the Administrator which identifiesthe 
reason for the noncompliance of the nonroad engine, describes 
theproposed remedy, including a description of any proposed 
qualitycontrol and/or quality assurance measures to be taken by the ICI 
toprevent the future occurrence of the problem, and states the date 
onwhich the remedies are to be implemented or
    (B) Demonstrate that the nonroad engine does in fact comply 
withapplicable regulations in this chapter by retesting, if 
applicable,the nonroad engine in accordance with the applicable emission 
testspecified in subpart E of this part.
    (iii) An ICI may request, within 15 calendar days of 
theAdministrator's notice of intent to suspend or revoke the 
ICI'scertificate of conformity or to deem the ICI ineligible to apply 
fornew certificates or to deem the ICI ineligible to 
performmodification/testing under Sec. 89.609, that theAdministrator 
grant such ICI a hearing:
    (A) As to whether the tests, if applicable, have been 
properlyconducted,
    (B) As to any substantial factual issue raised by theAdministrator's 
proposed action.
    (iv) If, after the Administrator notifies an ICI of the intent 
tosuspend or revoke the ICI's certificate of conformity or to deem 
theICI ineligible to apply for new certificates or to deem the 
ICIineligible to perform modification/testing under Sec. 89.609and 
prior to any final suspension or revocation, the ICI demonstratesto the 
Administrator's satisfaction that the decision to initiatesuspension or 
revocation of the certificate of conformity oreligibility to perform 
modification/testing underSec. 89.609 was based on erroneous 
information, theAdministrator will withdraw the notice of intent.
    (4) Hearings on suspensions and revocations of certificates 
ofconformity or of eligibility to apply for new certificates or 
ofeligibility to perform modification/testing underSec. 89.609 will be 
held in accordance with the following:
    (i) The procedures prescribed by this section will apply wheneveran 
ICI requests a hearing pursuant to paragraph (e)(3)(iii) of thissection.
    (ii) Hearings under paragraph (e)(3)(iii) will be held inaccordance 
with the procedures outlined in Sec. 86.614 ofthis chapter, where 
applicable, provided that whereSec. 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).

[[Page 159]]

    (5) When a hearing is requested under this section and itclearly 
appears from the data or other information contained in therequest for a 
hearing, or submitted at the hearing, that no genuineand substantial 
question of fact exists with respect to the issue ofwhether the ICI 
failed to comply with this subpart, the Administratorwill enter an order 
denying the request for a hearing, or terminatingthe hearing, and 
suspending or revoking the certificate of conformityand/or deeming the 
ICI ineligible to apply for new certificates or toperform modification/
testing under Sec. 89.609.
    (6) In lieu of requesting a hearing under paragraph (e)(3)(iii) 
ofthis section, an ICI may respond in writing to EPA's charges in 
thenotice of intent to suspend or revoke. An ICI's written response 
mustbe received by EPA within 30 days of the date of EPA's notice 
ofintent. No final decision to suspend or revoke will be made beforethat 
time.

[59 FR 31335, June 17, 1994. Redesignated at 63 FR 56996, Oct.23, 1998, 
as amended at 70 FR 40446, July 13, 2005]



Sec. 89.613  Treatment of confidential information.

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

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



Sec. 89.614  Importation of partially complete engines.

    The provisions of 40 CFR 1068.330 apply for importation ofpartially 
complete engines, or engines that will be modified forapplications other 
than those covered by this part 89.

[70 FR 40447, July 13, 2005]



                      Subpart H_Recall Regulations



Sec. 89.701  Applicability.

    The requirements of subpart H are applicable to all nonroadengines 
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 thispart 
are subject to recall regulations specified in part 85, subpart Sof this 
title, except for the items set forth in this section.
    (b) Reference to section 214 of the Clean Air Act inSec. 85.1801 is 
replaced by reference to section 216 of theClean Air Act.
    (c) Reference to section 202 of the Act inSec. 85.1802(a) is 
replaced by reference to section 213 ofthe Act.
    (d) Reference to ``family particulate emission limits asdefined in 
Part 86 promulgated under section 202 of the Act'' inSec. 85.1803(a) 
and Sec. 85.1805(a)(1) is replacedby reference to family emission 
limits as defined in part 89promulgated under section 213 of the Act.
    (e) Reference to ``vehicles or engines'' throughoutthe 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 nonroadengines 
subject to the provisions of subpart A of part 89. Therequirement to 
report emission-related defects affecting a given classor category of 
engines remains applicable for five years from the endof 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 thispart 
are subject to emission defect reporting requirements specifiedin part 
85, subpart T of this chapter, except for the items set forthin this 
section.
    (b) Section 85.1901 is replaced by Sec. 89.801.
    (c) Reference to the Clean Air Act, 42 U.S.C. 1857 inSec. 
85.1902(a) is replaced by reference to the Clean AirAct, 42 U.S.C. 7401.

[[Page 160]]

    (d) Reference to the ``approved Application forCertification 
required by 40 CFR 86.077-22 and like provisionsof Part 85 and Part 86 
of Title 40 of the Code of FederalRegulations'' in Sec. 85.1902(b) is 
replaced byreference to the approved application for certification 
required bySec. 89.115 and like provisions of part 89 of this chapter.
    (e) Reference to section 202(d) of the Act inSec. 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'' throughoutthe subpart is 
replaced by reference to ``engines.''



                     Subpart J_Exemption Provisions



Sec. 89.901  Applicability.

    The requirements of subpart J are applicable to all nonroadengines 
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 ofSec. 89.1006.
    Export exemption means an exemption granted underSec. 89.1004(b) 
for the purpose of exporting new nonroadengines.
    National security exemption means an exemption which may begranted 
under Sec. 89.1004(b) for the purpose of nationalsecurity.
    Manufacturer-owned nonroad engine means an uncertifiednonroad engine 
owned and controlled by a nonroad engine manufacturerand used in a 
manner not involving lease or sale by itself or in avehicle or piece of 
equipment employed from year to year in theordinary course of business 
for product development, production methodassessment, and market 
promotion purposes.
    Testing exemption means an exemption which may be grantedunder Sec. 
89.1004(b) for the purpose of researchinvestigations, studies, 
demonstrations or training, but not includingnational security.



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

    (a) For the purpose of determining the applicability of 
section216(10) of the Act, an internal combustion engine (including the 
fuelsystem) that is not used in a motor vehicle is deemed a nonroad 
engineif it meets the definition in subpart A of this part.
    (b) EPA will maintain a list of nonroad engines that have 
beendetermined to be excluded because they are used solely 
forcompetition. This list will be available to the public and may 
beobtained by writing to the following address: Chief, 
SelectiveEnforcement Auditing Section, Engine Programs and Compliance 
Division(6405-J), Environmental Protection Agency, 1200 
PennsylvaniaAve., NW., Washington, DC 20460.
    (c) Upon written request, EPA will make written determinations asto 
whether certain engines are or are not nonroad engines. Enginesthat are 
determined not to be nonroad engines are excluded fromregulations 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 underSec. 89.905.
    (b) Any nonroad engine manufacturer may request a nationalsecurity 
exemption under Sec. 89.908.
    (c) For nonroad engine manufacturers, nonroad engines 
manufacturedfor export purposes are exempt without application, subject 
to theprovisions of Sec. 89.909.
    (d) For eligible manufacturers, as determined bySec. 89.906, 
manufacturer-owned nonroad engines are exemptwithout application, 
subject to the provisions ofSec. 89.906.
    (e) For any person, display nonroad engines are exempt 
withoutapplication, subject to the provisions of Sec. 89.907.



Sec. 89.905  Testing exemption.

    (a) Any person requesting a testing exemption must demonstrate 
thefollowing:

[[Page 161]]

    (1) That the proposed test program has a purpose whichconstitutes an 
appropriate basis for an exemption in accordance withthis section;
    (2) That the proposed test program necessitates the granting of 
anexemption;
    (3) That the proposed test program exhibits reasonableness inscope; 
and
    (4) That the proposed test program exhibits a degree of 
controlconsonant with the purpose of the test program and EPA's 
monitoringrequirements.
    (5) Paragraphs (b), (c), (d), and (e) of this section describewhat 
constitutes a sufficient demonstration for each of the fouridentified 
elements.
    (b) With respect to the purpose of the proposed test program, 
anappropriate purpose would be research, investigations, 
studies,demonstrations, or training, but not national security. A 
concisestatement 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 apracticable manner without performing or causing to be performed 
oneor more of the prohibited acts under Sec. 89.1003. Inappropriate 
circumstances, time constraints may be a sufficient basisfor necessity, 
but the cost of certification alone, in the absence ofextraordinary 
circumstances, is not a basis for necessity.
    (d) With respect to reasonableness, a test program must exhibit 
aduration of reasonable length and affect a reasonable number ofengines. 
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 
incorporateprocedures consistent with the purpose of the test and be 
capable ofaffording EPA monitoring capability. As a minimum, required 
items ofinformation 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 involvedin 
the test;
    (5) The intended final disposition of the engines;
    (6) The manner in which the engine identification numbers will 
beidentified, 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 
testingexemption to cover nonroad engines intended for use in test 
programsplanned or anticipated over the course of a subsequent one-
yearperiod. Unless otherwise required by the Director, Engine Programs 
andCompliance Division, a manufacturer requesting such an exemption 
needonly furnish the information required by paragraphs (a)(1) and 
(d)(2)of this section along with a description of the record-keeping 
andcontrol procedures that will be employed to assure that the 
enginesare 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, 
anymanufacturer-owned nonroad engine, as defined bySec. 89.902, is 
exempt from Sec. 89.1003, withoutapplication, if the manufacturer 
complies with the following terms andconditions:
    (1) The manufacturer must establish, maintain, and retain 
thefollowing adequately organized and indexed information on 
eachexempted 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 tothese 
records to EPA authorized representatives as outlined inSec. 89.506.
    (3) Unless the requirement is waived or an alternate procedure 
isapproved by the Director, Engine Programs and Compliance Division, 
themanufacturer must permanently affix a label to each

[[Page 162]]

nonroadengine 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 
withoutdestruction or defacement,
    (iii) State in the English language and in block letters andnumerals 
of a color that contrasts with the background of the label,the following 
information:
    (A) The label heading ``Emission ControlInformation;''
    (B) Full corporate name and trademark of manufacturer;
    (C) Engine displacement, engine family identification, and modelyear 
of engine; or person of office to be contacted for furtherinformation 
about the engine;
    (D) The statement ``This nonroad engine is exempt from 
theprohibitions of 40 CFR 89.1003.''
    (4) No provision of paragraph (a)(3) of this section prevents 
amanufacturer from including any other information it desires on 
thelabel.
    (b) Any independent commercial importer that desires 
aprecertification exemption pursuant to Sec. 89.611(b)(3) andis in the 
business of importing, modifying, or testing uncertifiednonroad engines 
for resale under the provisions of subpart G of thispart, must apply to 
the Director, Engine Programs and ComplianceDivision. The Director may 
require such independent commercialimporter to submit information 
regarding the general nature of thefleet activities, the number of 
nonroad engines involved, and ademonstration that adequate record-
keeping procedures for controlpurposes 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 
usedsolely for display purposes, will only be operated incident 
andnecessary to the display purpose, and will not be sold unless 
anapplicable certificate of conformity has been received or the 
enginehas been finally admitted pursuant to subpart G of this part, 
norequest for exemption of the engine is necessary.



Sec. 89.908  National security exemption.

    (a)(1) Any nonroad engine, otherwise subject to this part, whichis 
used in a vehicle that exhibits substantial features 
ordinarilyassociated with military combat such as armor and/or 
permanentlyaffixed weaponry and which will be owned and/or used by an 
agency ofthe federal government with responsibility for national 
defense, willbe considered exempt from these regulations for purposes of 
nationalsecurity. No request for exemption is necessary.
    (2) Manufacturers may request a national security exemption forany 
nonroad engine, otherwise subject to this part, which does notmeet the 
conditions described in paragraph (a)(1) of this section. Amanufacturer 
requesting a national security exemption must state thepurpose for which 
the exemption is required and the request must beendorsed by an agency 
of the federal government charged withresponsibility for national 
defense.
    (b) EPA will maintain a list of models of nonroad engines (and 
thevehicles which use them) that have been granted a national 
securityexemption under paragraph (a)(2) of this section. This list will 
beavailable to the public and may be obtained by writing to thefollowing 
address: Group Manager, Engine Compliance Programs Group,Engine Programs 
and Compliance Division (6403J) EnvironmentalProtection Agency, 1200 
Pennsylvania Ave., NW., Washington, DC 20460.
    (c) Manufacturers must add a legible label, written in blockletters 
in English, to each engine exempted under this section. Thelabel must be 
permanently secured to a readily visible part of theengine needed for 
normal operation and not normally requiringreplacement, such as the 
engine block. This label must include atleast the following items:
    (1) The label heading ``EMISSION CONTROLINFORMATION''.
    (2) Your corporate name and trademark.
    (3) Engine displacement, engine family identification 
(asapplicable), and model year of the engine or whom to contact 
forfurther information.

[[Page 163]]

    (4) The statement ``THIS ENGINE HAS AN EXEMPTION FORNATIONAL 
SECURITY UNDER 40 CFR 89.908.''.

[61 FR 52102, Oct. 4, 1996, as amended at 69 FR 39213, June29, 2004]



Sec. 89.909  Export exemptions.

    (a) A new nonroad engine intended solely for export, and solabeled 
or tagged on the outside of the container and on the engineitself, is 
subject to the provisions of Sec. 89.1003, unlessthe importing country 
has new nonroad engine emission standards whichdiffer from EPA 
standards.
    (b) For the purpose of paragraph (a) of this section, a 
countryhaving no standards, whatsoever, is deemed to be a country 
havingemission standards which differ from EPA standards.
    (c) EPA will maintain a list of foreign countries that have inforce 
nonroad emission standards identical to EPA standards and haveso 
notified EPA. This list may be obtained by writing to the 
followingaddress: Chief, Selective Enforcement Auditing Section, 
ManufacturersOperations Division (6405-J), Environmental Protection 
Agency,1200 Pennsylvania Ave., NW., Washington, DC 20460. New nonroad 
enginesexported to such countries must comply with EPA 
certificationregulations.
    (d) It is a condition of any exemption for the purpose of 
exportunder paragraph (a) of this section, that such exemption is void 
abinitio with respect to a new nonroad engine intended solely forexport, 
where such nonroad engine is sold, or offered for sale, to anultimate 
purchaser or otherwise distributed or introduced intocommerce 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 
madepursuant to Sec. 89.905 or Sec. 89.908, EPAdetermines it is 
appropriate to grant such an exemption, a memorandumof exemption is to 
be prepared and submitted to the person requestingthe exemption. The 
memorandum is to set forth the basis for theexemption, its scope, and 
such terms and conditions as are deemednecessary. Such terms and 
conditions generally include, but are notlimited to, agreements by the 
applicant to conduct the exempt activityin the manner described to EPA, 
create and maintain adequate recordsaccessible to EPA at reasonable 
times, employ labels for the exemptengines setting forth the nature of 
the exemption, take appropriatemeasures to assure that the terms of the 
exemption are met, and adviseEPA of the termination of the activity and 
the ultimate disposition ofthe engines.
    (b) Any exemption granted pursuant to paragraph (a) of thissection 
is deemed to cover any subject engine only to the extent thatthe 
specified terms and conditions are complied with. A breach of anyterm or 
condition causes the exemption to be void ab initio withrespect to any 
engine. Consequently, the causing or the performing ofan act prohibited 
under Sec. 89.1003( a)(1) or (a)(3), otherthan in strict conformity 
with all terms and conditions of thisexemption, renders the person to 
whom the exemption is granted, andany 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 
CFR1068.201(i) to engines exempted or excluded under this subpart.

[59 FR 31335, June 17, 1994, as amended at 69 FR 39213, June29, 2004]



Sec. 89.911  Submission of exemption requests.

    Requests for exemption or further information concerningexemptions 
and/or the exemption request review procedure should beaddressed to: 
Chief, Selective Enforcement Auditing Section, EnginePrograms and 
Compliance Division (6405-J), EnvironmentalProtection 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 asdescribed 
in Sec. 89.7 apply.

[[Page 164]]



Sec. 89.913  What provisions apply to engines certified under the motor-vehicleprogram?

    You may use the provisions of 40 CFR 1039.605 to introduce 
newnonroad engines into commerce if they are already certified to 
therequirements that apply to compression-ignition engines under 40 
CFRparts 85 and 86. However, when using the provisions of 40 
CFR1039.605, references to this part 89 or sections in this part shall 
beused instead of references to 40 CFR part 1039 or sections in 
thatpart.

[70 FR 40447, July 13, 2005]



Sec. 89.914  What provisions apply to vehicles certified under the motor-vehicle program?

    You may use the provisions of 40 CFR 1039.610 to introduce 
newnonroad engines or equipment into commerce if the vehicle is 
alreadycertified to the requirements that apply under 40 CFR parts 85 
and 86.However, when using the provisions of 40 CFR 1039.610, references 
tothis part 89 or sections in this part shall be used instead 
ofreferences to 40 CFR part 1039 or sections in that part.

[70 FR 40447, July 13, 2005]



Sec. 89.915  Staged-assembly exemption.

    You may ask us to provide a temporary exemption to allow you 
tocomplete production of your engines at different facilities, as longas 
you maintain control of the engines until they are in theircertified 
configuration. We may require you to take specific steps toensure that 
such engines are in their certified configuration beforereaching the 
ultimate purchaser. You may request an exemption underthis section in 
your application for certification, or in a separatesubmission.

[70 FR 40447, July 13, 2005]



Sec. 89.916  Emergency-vessel exemption for marine engines below 37 kW.

    The prohibitions in Sec. 89.1003(a)(1) do not apply tonew marine 
engines used in lifeboats and rescue boats as described in40 CFR 94.914.

[73 FR 37194, June 30, 2008]

    Effective Date Note: At 73 FR 37194, June 30, 2008,Sec. 89.916 was 
added, effective July 7, 2008.



       Subpart K_General Enforcement Provisions and ProhibitedActs



Sec. 89.1001  Applicability.

    The requirements of subpart K are applicable to all nonroadengines 
subject to the provisions of subpart A of part 89, and to allnonroad 
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 theoffering for sale, or the introduction, or delivery for 
introduction,into commerce, of any new nonroad engine manufactured after 
theapplicable effective date under this part, or any nonroad vehicle 
orequipment containing such engine, unless such engine is covered by 
acertificate of conformity issued (and in effect) under regulationsfound 
in this part.
    (ii) In the case of any person, except as provided in subpart G 
ofthis part, the importation into the United States of any new 
nonroadengine manufactured after the applicable effective date under 
thispart, 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 orcopying 
of records or to fail to make reports or provide informationrequired 
under Sec. 89.1004.
    (ii) For a person to fail or refuse to permit entry, testing, 
orinspection authorized under Sec. Sec. 89.129, 89.506 or89.1004.
    (iii) For a person to fail or refuse to perform tests, or to 
havetests performed as required under Sec. Sec. 89.119 or89.1004.

[[Page 165]]

    (iv) For a person to fail to establish or maintain records 
asrequired under Sec. 89.1004.
    (3)(i) For a person to remove or render inoperative a device 
orelement of design installed on or in a nonroad engine, vehicle 
orequipment in compliance with regulations under this part prior to 
itssale and delivery to the ultimate purchaser, or for a person 
knowinglyto remove or render inoperative such a device or element of 
designafter the sale and delivery to the ultimate purchaser; or
    (ii) For a person to manufacture, sell or offer to sell, orinstall, 
a part or component intended for use with, or as part of, anonroad 
engine, vehicle or equipment, where a principal effect of thepart or 
component is to bypass, defeat, or render inoperative a deviceor element 
of design installed on or in a nonroad engine in compliancewith 
regulations issued under this part, and where the person knows orshould 
know that the part or component is being offered for sale orinstalled 
for this use or put to such use; or
    (iii) For a person to deviate from the provisions ofSec. 89.130 
when rebuilding an engine (or rebuilding aportion of an engine or engine 
system). Such a deviation violatesparagraph (a)(3)(i) of this section.
    (4) For a manufacturer of a new nonroad engine subject tostandards 
prescribed under this part:
    (i) To sell, offer for sale, or introduce or deliver intocommerce, a 
nonroad engine unless the manufacturer has complied withthe requirements 
of Sec. 89.1007.
    (ii) To sell, offer for sale, or introduce or deliver intocommerce, 
a nonroad engine unless a label or tag is affixed to theengine in 
accordance with Sec. 89.110.
    (iii) To fail or refuse to comply with the requirements ofSec. 
89.1008.
    (iv) Except as provided in Sec. 89.109, to providedirectly or 
indirectly in any communication to the ultimate purchaseror a subsequent 
purchaser that the coverage of a warranty under theAct is conditioned 
upon use of a part, component, or systemmanufactured by the manufacturer 
or a person acting for themanufacturer or under its control, or 
conditioned upon serviceperformed by such persons.
    (v) To fail or refuse to comply with the terms and conditions ofthe 
warranty under Sec. 89.1007.
    (5) For a person to circumvent or attempt to circumvent theresidence 
time requirements of paragraph (2)(iii) of the nonroadengine definition 
in Sec. 89.2.
    (6) For a manufacturer of nonroad vehicles or equipment todistribute 
in commerce, sell, offer for sale, or introduce intocommerce a nonroad 
vehicle or piece of equipment which contains anengine not covered by a 
certificate of conformity, except as otherwiseallowed by this part.
    (b) For the purposes of enforcement of this part, the 
followingapply:
    (1) Nothing in paragraph (a)(3) of this section is to be construedto 
require the use of manufacturer parts in maintaining or repairing 
anonroad engine.
    (2) Actions for the purpose of repair or replacement of a deviceor 
element of design or any other item are not considered prohibitedacts 
under Sec. 89.1003(a) if the action is a necessary andtemporary 
procedure, the device or element is replaced upon completionof the 
procedure, and the action results in the proper functioning ofthe device 
or element of design.
    (3) Actions for the purpose of a conversion of a nonroad enginefor 
use of a clean alternative fuel (as defined in Title II of theAct) are 
not considered prohibited acts underSec. 89.1003(a) if:
    (i) the vehicle complies with the applicable standard whenoperating 
on the alternative fuel, and the device or element isreplaced upon 
completion of the conversion procedure, and
    (ii) in the case of engines converted to dual fuel or flexibleuse, 
the action results in proper functioning of the device or elementwhen 
the nonroad engine operates on conventional fuel.
    (4) Certified nonroad engines shall be used in all vehicles 
andequipment manufactured on or after the applicable model years inSec. 
89.112 that are self-propelled, portable,transportable, or are intended 
to be propelled while performing theirfunction, unless the manufacturer 
of the vehicle or equipment

[[Page 166]]

canprove that the vehicle or equipment will be used in a 
mannerconsistent with paragraph (2) of the definition of nonroad engine 
inSec. 89.2. After the date on which a new standard takeseffect, 
nonroad vehicle and equipment manufacturers may continue touse nonroad 
engines built prior to this date that are not certified tothe standard 
until inventories of those engines are depleted; however,stockpiling of 
such nonroad engines will be considered a violation ofthis section.
    (5)--(6) [Reserved]
    (7) A new nonroad engine intended solely to replace a nonroadengine 
in a piece of nonroad equipment, where the engine requiringreplacement 
is not certified or is certified to emission standardsthat are less 
stringent than those in effect when the replacementengine is built, 
shall not be subject to the prohibitions of paragraph(a)(1) of this 
section or to the requirements of Sec. 89.105and paragraph (b)(4) of 
this section, provided that:
    (i) The engine manufacturer has ascertained that no engineproduced 
by itself or by the manufacturer of the engine that is beingreplaced, if 
different, and certified to the requirements of thissubpart, is 
available with the appropriate physical or performancecharacteristics to 
repower the equipment; and
    (ii) The engine manufacturer or its agent takes ownership 
andpossession of the engine being replaced or confirms that the 
enginehas been destroyed; and
    (iii) If the engine being replaced was not certified to anyemission 
standards under this part, the replacement engine must have apermanent 
label with your corporate name and trademark and thefollowing language, 
or similar alternate language approved by theAdministrator: THIS ENGINE 
DOES NOT COMPLY WITH FEDERAL NONROAD OR ON-HIGHWAY EMISSION 
REQUIREMENTS. SALE OR INSTALLATION OF THIS ENGINE FORANY PURPOSE OTHER 
THAN AS A REPLACEMENT ENGINE FOR AN ENGINEMANUFACTURED PRIOR TO JANUARY 
1 [INSERT APPROPRIATE YEAR] IS AVIOLATION OF FEDERAL LAW SUBJECT TO 
CIVIL PENALTY.
    (iv) If the engine being replaced was certified to emissionstandards 
less stringent than those in effect when you produce thereplacement 
engine, the replacement engine must have a permanent labelwith your 
corporate name and trademark and the following language, orsimilar 
alternate language approved by the Administrator: THIS ENGINECOMPLIES 
WITH U.S. EPA NONROAD EMISSION REQUIREMENTS FOR [Insertappropriate year 
reflecting when the Tier 1 or Tier 2 standards forthe replaced engine 
began to apply] ENGINES UNDER 40 CFR 89.1003(b)(7). SELLING OR 
INSTALLING THIS ENGINE FOR ANY PURPOSE OTHER THAN TOREPLACE A NONROAD 
ENGINE BUILT BEFORE JANUARY 1, [Insert appropriateyear reflecting when 
the next tier of emission standards began toapply] MAY BE A VIOLATION OF 
FEDERAL LAW SUBJECT TO CIVIL PENALTY.
    (v) Where the replacement engine is intended to replace an 
enginethat is certified to emission standards that are less stringent 
thanthose in effect when the replacement engine is built, the 
replacementengine shall be identical in all material respects to a 
certifiedconfiguration of the same or later model year as the engine 
beingreplaced; and
    (vi) Engines sold pursuant to the provisions of this paragraph 
(b)(7) will neither generate nor use emission credits and will not 
bepart of any accounting under the averaging, banking and 
tradingprogram.
    (vii) In cases where an engine is to be imported for 
replacementpurposes under the provisions of this paragraph (b)(7), the 
term``engine manufacturer'' shall not apply to an individualor other 
entity that does not possess a current Certificate ofConformity issued 
by EPA under this part; and
    (viii) The provisions of this section may not be used tocircumvent 
emission standards that apply to new engines under thispart.

[59 FR 31335, June 17, 1994, as amended at 61 FR 58106, Nov.12, 1996; 63 
FR 57022, Oct. 23, 1998; 70 FR 40447, July 13, 2005]



Sec. 89.1004  General enforcement provisions.

    (a) Information collection provisions. (1) Everymanufacturer of new 
nonroad

[[Page 167]]

engines and other persons subject tothe requirements of this part must 
establish and maintain records,perform tests where such testing is not 
otherwise reasonably availableunder this part, make reports and provide 
information theAdministrator may reasonably require to determine whether 
themanufacturer or other person has acted or is acting in compliance 
withthis part or to otherwise carry out the provisions of this part, 
andmust, upon request of an officer or employee duly designated by 
theAdministrator, permit the officer or employee at reasonable times 
tohave access to and copy such records. The manufacturer shall comply 
inall respects with the requirements of subpart I of this part.
    (2) For purposes of enforcement of this part, an officer oremployee 
duly designated by the Administrator, upon presentingappropriate 
credentials, is authorized:
    (i) To enter, at reasonable times, any establishment of 
themanufacturer, or of any person whom the manufacturer engaged 
toperform any activity required under paragraph (a) (1) of this 
section,for the purposes of inspecting or observing any activity 
conductedpursuant to paragraph (a)(1) of this section, and
    (ii) To inspect records, files, papers, processes, controls, 
andfacilities used in performing an activity required by paragraph 
(a)(1)of this section, by the manufacturer or by a person whom 
themanufacturer engaged to perform the activity.
    (b) Exemption provision. The Administrator may exempt a newnonroad 
engine from Sec. 89.1003 upon such terms andconditions as the 
Administrator may find necessary for the purpose ofexport, research, 
investigations, studies, demonstrations, ortraining, or for reasons of 
national security.
    (c) Importation provision. (1) A new nonroad engine,vehicle, or 
equipment offered for importation or imported by a personin violation of 
Sec. 89.1003 is to be refused admission intothe United States, but the 
Secretary of the Treasury and theAdministrator may, by joint regulation, 
provide for deferring a finaldetermination as to admission and 
authorizing the delivery of such anonroad engine offered for import to 
the owner or consignee thereofupon such terms and conditions (including 
the furnishing of a bond) asmay appear to them appropriate to insure 
that the nonroad engine willbe brought into conformity with the 
standards, requirements, andlimitations applicable to it under this 
part.
    (2) If a nonroad engine is finally refused admission under 
thisparagraph, the Secretary of the Treasury shall cause 
dispositionthereof in accordance with the customs laws unless it is 
exported,under regulations prescribed by the Secretary, within 90 days 
of thedate of notice of the refusal or additional time as may be 
permittedpursuant to the regulations.
    (3) Disposition in accordance with the customs laws may not bemade 
in such manner as may result, directly or indirectly, in thesale, to the 
ultimate consumer, of a new nonroad engine that fails tocomply with 
applicable standards of the Administrator under this part.
    (d) Export provision. A new nonroad engine intended solelyfor 
export, and so labeled or tagged on the outside of the containerand on 
the engine itself, shall be subject to the provisions ofSec. 89.1003, 
except that if the country that is to receivethe engine has emission 
standards that differ from the standardsprescribed under subpart B of 
this part, then the engine must complywith 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 
torestrain 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 inany district 
may run into any other district.



Sec. 89.1006  Penalties.

    (a) Violations. A violation of the requirements of thissubpart is a 
violation of the applicable provisions of the Act,including sections 
213(d) and 203, and is subject to the penaltyprovisions thereunder.

[[Page 168]]

    (1) A person who violates Sec. 89.1003(a)(1), (a)(4), or (a)(6), or 
a manufacturer or dealer who violatesSec. 89.1003(a)(3)(i), is subject 
to a civil penalty of notmore than $32,500 for each violation.
    (2) A person other than a manufacturer or dealer who violatesSec. 
89.1003(a)(3)(i) or any person who violatesSec. 89.1003(a)(3)(ii) is 
subject to a civil penalty of notmore than $2,750 for each violation.
    (3) A violation with respect to Sec. 89.1003 (a)(1), (a)(3)(i), 
(a)(4), or (a)(6) constitutes a separate offense with respectto 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 $32,500 per day ofviolation.
    (6) The maximum penalty values listed in this section are shownfor 
calendar year 2004. Maximum penalty limits for later years may 
beadjusted based on the Consumer Price Index. The specific 
regulatoryprovisions for changing the maximum penalties, published in 40 
CFRpart 19, reference the applicable U.S. Code citation on which 
theprohibited action is based.
    (b) Civil actions. The Administrator may commence a civilaction to 
assess and recover any civil penalty under paragraph (a) ofthis section.
    (1) An action under this paragraph may be brought in the 
districtcourt of the United States for the district in which the 
defendantresides or has the Administrator's principal place of business, 
andthe court has jurisdiction to assess a civil penalty.
    (2) In determining the amount of a civil penalty to be assessedunder 
this paragraph, the court is to take into account the gravity ofthe 
violation, the economic benefit or savings (if any) resulting fromthe 
violation, the size of the violator's business, the violator'shistory of 
compliance with Title II of the Act, action taken to remedythe 
violation, the effect of the penalty on the violator's ability 
tocontinue in business, and such other matters as justice may require.
    (3) In any such action, subpoenas for witnesses who are requiredto 
attend a district court in any district may run into any otherdistrict.
    (c) Administrative assessment of certainpenalties--(1) 
Administrative penalty authority. In lieu ofcommencing a civil action 
under paragraph (b) of this section, theAdministrator may assess any 
civil penalty prescribed in paragraph (a)of this section, except that 
the maximum amount of penalty soughtagainst each violator in a penalty 
assessment proceeding shall notexceed $270,000, unless the Administrator 
and the Attorney Generaljointly determine that a matter involving a 
larger penalty amount isappropriate for administrative penalty 
assessment. Any suchdetermination by the Administrator and the Attorney 
General is notsubject to judicial review. Assessment of a civil penalty 
shall be byan order made on the record after opportunity for a hearing 
held inaccordance with the procedures found at part 22 of this chapter. 
TheAdministrator 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 anycivil 
penalty assessed under this paragraph, the Administrator shalltake into 
account the gravity of the violation, the economic benefitor savings (if 
any) resulting from the violation, the size of theviolator's business, 
the violator's history of compliance with TitleII of the Act, action 
taken to remedy the violation, the effect of thepenalty on the 
violator's ability to continue in business, and suchother matters as 
justice may require.
    (3) Effect of administrator's action. (i) Action by theAdministrator 
under this paragraph does not affect or limit theAdministrator's 
authority to enforce any provisions of the Act; exceptthat any violation 
with respect to which the Administrator hascommenced and is diligently 
prosecuting an action under thisparagraph, or for which the 
Administrator has issued a final order notsubject to further judicial 
review and

[[Page 169]]

for which the violator haspaid a penalty assessment under this paragraph 
shall not be thesubject of a civil penalty action under paragraph (b) of 
this section.
    (ii) No action by the Administrator under this paragraph shallaffect 
a person's obligation to comply with a section of this part.
    (4) Finality of order. An order issued under this subsectionis to 
become final 30 days after its issuance unless a petition forjudicial 
review is filed under paragraph (c)(5) of this section.
    (5) Judicial review. A person against whom a civil penaltyis 
assessed in accordance with this subsection may seek review of 
theassessment in the United States District Court for the District 
ofColumbia or for the district in which the violation is alleged to 
haveoccurred, in which such person resides, or where the 
person'sprincipal place of business is located, within the 30-day 
periodbeginning on the date a civil penalty order is issued. The 
personshall simultaneously send a copy of the filing by certified mail 
tothe Administrator and the Attorney General. The Administrator 
shallfile in the court within 30 days a certified copy, or certified 
index,as appropriate, of the record on which the order was issued. The 
courtis not to set aside or remand any order issued in accordance with 
therequirements of this paragraph unless substantial evidence does 
notexist in the record, taken as a whole, to support the finding of 
aviolation or unless the Administrator's assessment of the 
penaltyconstitutes an abuse of discretion, and the court is not to 
imposeadditional civil penalties unless the Administrator's assessment 
ofthe penalty constitutes an abuse of discretion. In any proceedings,the 
United States may seek to recover civil penalties assessed underthis 
section.
    (6) Collection. (i) If any person fails to pay an assessmentof a 
civil penalty imposed by the Administrator as provided in thispart after 
the order making the assessment has become final or after acourt in an 
action brought under paragraph (c)(5) of this section hasentered a final 
judgment in favor of the Administrator, theAdministrator shall request 
that the Attorney General bring a civilaction in an appropriate district 
court to recover the amount assessed(plus interest at rates established 
pursuant to section 6621(a)(2) ofthe Internal Revenue Code of 1986 from 
the date of the final order orthe date of final judgment, as the case 
may be). In such an action,the validity, amount, and appropriateness of 
the penalty is notsubject to review.
    (ii) A person who fails to pay on a timely basis the amount of 
anassessment of a civil penalty as described in paragraph (c)(6)(i) 
ofthis section shall be required to pay, in addition to that amount 
andinterest, the United States' enforcement expenses, 
includingattorney's fees and costs for collection proceedings, and a 
quarterlynonpayment penalty for each quarter during which the failure to 
paypersists. The nonpayment penalty is an amount equal to ten percent 
ofthe aggregate amount of that person's penalties and 
nonpaymentpenalties which are unpaid as of the beginning of such 
quarter.

[59 FR 31335, June 17, 1994, as amended at 70 FR 40447, July13, 2005]



Sec. 89.1007  Warranty provisions.

    (a) The manufacturer of each nonroad engine must warrant to 
theultimate purchaser and each subsequent purchaser that the engine 
isdesigned, built, and equipped so as to conform at the time of salewith 
applicable regulations under section 213 of the Act, and is freefrom 
defects in materials and workmanship which cause such engine tofail 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 
orrebuilder of the part may certify according to Sec. 85.2112that use 
of the part will not result in a failure of the engine tocomply with 
emission standards promulgated in this part.
    (c) For the purposes of this section, the owner of any nonroadengine 
warranted under this part is responsible for the propermaintenance of 
the engine. Proper maintenance includes replacement andservice, at the 
owner's expense at a service establishment or facilityof the owner's 
choosing, of all

[[Page 170]]

parts, items, or devices relatedto emission control (but not designed 
for emission control) under theterms of the last sentence of section 
207(a)(3) of the Act, unlesssuch part, item, or device is covered by any 
warranty not mandated bythis 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, 
andengines manufactured during model years 1996 and after:
    (1) If the Administrator determines that a substantial number ofany 
class or category of engines, although properly maintained andused, do 
not conform to the regulations prescribed under section 213of the Act 
when in actual use throughout their recall period (asdefined under Sec. 
89.104(b)), the Administrator shallimmediately notify the manufacturer 
of such nonconformity and requirethe manufacturer to submit a plan for 
remedying the nonconformity ofthe engines with respect to which such 
notification is given.
    (i) The manufacturer's plan shall provide that the nonconformityof 
any such engines which are properly used and maintained will beremedied 
at the expense of the manufacturer.
    (ii) If the manufacturer disagrees with such determination 
ofnonconformity and so advises the Administrator, the Administratorshall 
afford the manufacturer and other interested persons anopportunity to 
present their views and evidence in support thereof ata public hearing. 
Unless, as a result of such hearing, theAdministrator withdraws such 
determination of nonconformity, theAdministrator shall, within 60 days 
after the completion of suchhearing, order the manufacturer to provide 
prompt notification of suchnonconformity in accordance with paragraph 
(a)(2) of this section. Themanufacturer shall comply in all respects 
with the requirements ofsubpart G of this part.
    (2) Any notification required to be given by the manufacturerunder 
paragraph (a)(1) of this section with respect to any class orcategory of 
engines shall be given to dealers, ultimate purchasers,and subsequent 
purchasers (if known) in such manner and containingsuch information as 
required in subparts H and I of this part.
    (3)(i) The manufacturer shall furnish with each new nonroad 
enginewritten instructions for the proper maintenance and use of the 
engineby the ultimate purchaser as required under Sec. 89.109. 
Themanufacturer shall provide in boldface type on the first page of 
thewritten maintenance instructions notice that maintenance, 
replacement,or repair of the emission control devices and systems may be 
performedby any nonroad engine repair establishment or individual using 
anynonroad engine part which has been certified as provided inSec. 
89.1007(a).
    (ii) The instruction under paragraph (3)(i) of this section mustnot 
include any condition on the ultimate purchaser's using, inconnection 
with such engine, any component or service (other than acomponent or 
service provided without charge under the terms of thepurchase 
agreement) which is identified by brand, trade, or corporatename. 
Subject instructions also must not directly or indirectlydistinguish 
between service performed by the franchised dealers ofsuch manufacturer, 
or any other service establishments with which suchmanufacturer has a 
commercial relationship, and service performed byindependent nonroad 
engine repair facilities with which suchmanufacturer has no commercial 
relationship.
    (iii) The prohibition of paragraph (a)(3)(ii) of this section maybe 
waived by the Administrator if:
    (A) The manufacturer satisfies the Administrator that the enginewill 
function properly only if the component or service so identifiedis used 
in connection with such engine, and
    (B) The Administrator finds that such a waiver is in the 
publicinterest.
    (iv) In addition, the manufacturer shall indicate by means of alabel 
or tag permanently affixed to the engine that the engine iscovered by a 
certificate of conformity issued for the purpose ofassuring achievement 
of emission standards prescribed under section213 of the Act. This label 
or tag shall also contain informationrelating to

[[Page 171]]

control of emissions as prescribed underSec. 89.110.
    (b) The manufacturer bears all cost obligation a dealer incurs asa 
result of a requirement imposed by paragraph (a) of this section.The 
transfer of any such cost obligation from a manufacturer to adealer 
through franchise or other agreement is prohibited.
    (c) If a manufacturer includes in an advertisement a 
statementrespecting the cost or value of emission control devices or 
systems,the manufacturer shall set forth in the statement the cost or 
valueattributed to these devices or systems by the Secretary of 
Labor(through the Bureau of Labor Statistics). The Secretary of Labor, 
andhis or her representatives, has the same access for this purpose 
tothe books, documents, papers, and records of a manufacturer as 
theComptroller General has to those of a recipient of assistance 
forpurposes of section 311 of the Act.
    (d) Any inspection of a nonroad engine for purposes of 
paragraph(a)(1) of this section, after its sale to the ultimate 
purchaser, isto be made only if the owner of such vehicle or engine 
voluntarilypermits such inspection to be made, except as may be provided 
by anystate or local inspection program.



Sec. 89.1009  What special provisions apply to branded engines?

    A manufacturer identifying the name and trademark of anothercompany 
on the emission control information label, as provided bySec. 
89.110(b)(2), must comply with the provisions of 40 CFR1039.640.

[70 FR 40448, July 13, 2005]



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--prohibitedcontrols.
90.111 Requirement of certification--prohibition ofdefeat devices.
90.112 Requirement of certification--adjustableparameters.
90.113 In-use testing program for Phase 1 engines.
90.114 Requirement of certification--engineinformation label.
90.115 Requirement of certification--supplyingproduction engines upon 
          request.
90.116 Certification procedure--determining enginedisplacement, engine 
          class, and engine families.
90.117 Certification procedure--test engine selection.
90.118 Certification procedure--service accumulationand usage of 
          deterioration factors.
90.119 Certification procedure--testing.
90.120 Certification procedure--use of special testprocedures.
90.121 Certification procedure--recordkeeping.
90.122 Amending the application and certificate ofconformity.
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 TradingProvisions

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 withemission 
          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.

[[Page 172]]

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 frequencytable.
90.329 Catalyst thermal stress test.

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

                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 systemdescription.
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--gasolinefueled engines.
90.420 CVS concept of exhaust gas sampling system.
90.421 Dilute gaseous exhaust sampling and analytical systemdescription.
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--gasolinefueled 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 passingand failing 
          criteria for selective enforcement audits.
90.511 Suspension and revocation of certificates ofconformity.
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 Plansfor 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.

[[Page 173]]

90.615 Importation of partially complete engines.

         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 ofconformity.
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, recordretention.
90.806 Responsibility under other legal provisionspreserved.
90.807 Disclaimer of production warranty applicability.
90.808 Ordered recall provisions.

  Subpart J_Exclusion and Exemption of Nonroad Engines FromRegulations

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 precertificationexemption.
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.
90.913 Exemption for engines certified to standards forlarge SI engines.

       Subpart K_Prohibited Acts and General EnforcementProvisions

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 ultimatepurchaser.

                   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. 7401-7671q.

    Source: 60 FR 34598, July 3, 1995, unless otherwisenoted.



                            Subpart A_General



Sec. 90.1  Applicability.

    (a) This part applies to new nonroad spark-ignition engines 
andvehicles with gross power output at or below 19 kilowatts (kW) 
usedfor any purpose, unless we exclude them under paragraph (d) of 
thissection.
    (b) In certain cases, the regulations in this part 90 also applyto 
new engines with a gross power output above 19 kW that wouldotherwise be 
covered by 40 CFR part 1048 or 1051. See 40 CFR 1048.615or 
1051.145(a)(3) for provisions related to this allowance.
    (c) In certain cases, the regulations in this part 90 apply to 
newengines below 50 cc used in motorcycles that are motor vehicles. 
See40 CFR 86.447-2006 for provisions related to this allowance.
    (d) The following nonroad engines and vehicles are not subject tothe 
provisions of this part:

[[Page 174]]

    (1) Engines certified to meet the requirements of 40 CFR part1051 
(e.g., engines used in snowmobiles). This part neverthelessapplies to 
engines used in recreational vehicles if the manufactureruses the 
provisions of 40 CFR 1051.145(a)(3) to exempt them from therequirements 
of 40 CFR part 1051. Compliance with the provisions ofthis 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 partapplies 
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 part1048, 
subject to the provisions of Sec. 90.913.
    (6) Hobby engines.
    (7) Engines that are used exclusively in emergency and 
rescueequipment where no certified engines are available to power 
theequipment safely and practically, but not including 
generators,alternators, compressors or pumps used to provide remote 
power to arescue tool. The equipment manufacturer bears the 
responsibility toascertain on an annual basis and maintain documentation 
available tothe Administrator that no appropriate certified engine is 
availablefrom any source.
    (e) Engines subject to the provisions of this subpart are 
alsosubject 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 
2engines as defined in this subpart.
    (f) Certain text in this part is identified as pertaining to Phase1 
or Phase 2 engines. Such text pertains only to engines of thespecified 
Phase. If no indication of Phase is given, the text pertainsto all 
engines, regardless of Phase.
    (g) This part also applies to engines under 50 cc used inmotorcycles 
that are motor vehicles if the manufacturer uses theprovisions of 40 CFR 
86.447-2006 to meet the emission standardsin this part instead of the 
requirements of 40 CFR part 86. In thiscase, compliance with the 
provisions of this part is a requiredcondition of that exemption.
    (h) This part applies as specified in 40 CFR part 60 subpart JJJJ,to 
spark-ignition engines subject to the standards of 40 CFR part 
60,subpart JJJJ.

[67 FR 68339, Nov. 8, 2002, as amended at 69 FR 2441, Jan. 15,2004; 70 
FR 40448, July 13, 2005; 73 FR 3612, Jan. 18, 2008]



Sec. 90.2  Effective dates.

    (a) This subpart applies to nonroad spark-ignition engines at 
orbelow 19 kW effective with the 1997 model year.
    (b) Notwithstanding paragraph (a) of this section, this 
subpartapplies to class V engines, as specified in Sec. 90.116(b)(5), 
that are preempted from regulation in California by section209(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 greaterthan or 
equal to 5,000 rpm and with no installed speed governor arenot subject 
to the provisions of this part through the 2005 modelyear. Starting with 
the 2006 model year, all the requirements of thispart apply to engines 
used in these vehicles if they are not includedin 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 
definedherein have the meaning given them in the Act.
    Act means the Clean Air Act, as amended, 42 U.S.C. 7401 etseq.
    Adjustable parameter means any device, system, or element ofdesign 
which is physically capable of being adjusted (including thosewhich are 
difficult to access) and which, if adjusted, may affectemissions or 
engine performance during emission testing or normal in-use operation.
    Administrator means the Administrator of the EnvironmentalProtection 
Agency or his or her authorized representative.
    Aftertreatment means the passage of exhaust gases through adevice or 
system such as a catalyst whose purpose is to chemicallyalter the gases 
prior to their release to the atmosphere.

[[Page 175]]

    Aircraft means any vehicle capable of sustained airtravel above 
treetop heights.
    Amphibious vehicle means a vehicle with wheels or tracksthat is 
designed primarily for operation on land and secondarily foroperation in 
water.
    Auxiliary emission control device (AECD) means any elementof design 
that senses temperature, vehicle speed, engine RPM,transmission gear, or 
any other parameter for the purpose ofactivating, modulating, delaying, 
or deactivating the operation of anypart of the emission control system.
    Certification means, with respect to new nonroad engines,obtaining a 
certificate of conformity for an engine family complyingwith the nonroad 
engine emission standards and requirements specifiedin this part.
    DF or df means deterioration factor.
    Eligible production or U.S. production means Phase 2engines produced 
for purposes of being used in the United States, andincludes any engine 
exported and subsequently imported in a new pieceof equipment, but 
excludes any engine introduced into commerce, byitself or in a piece of 
equipment, for use in a state that hasestablished its own emission 
requirements applicable to such enginespursuant to a waiver granted by 
EPA under section 209(e) of the CleanAir Act.
    Emission control system means any device, system, or elementof 
design which controls or reduces the emission of substances from 
anengine.
    Engine as used in this part, refers to nonroad engine.
    Engine family means a group of engines, as specified inSec. 90.116.
    Engine manufacturer means any person engaged in themanufacturing or 
assembling of new nonroad engines or the importing ofsuch engines for 
resale, or who acts for and is under the control ofany such person in 
connection with the distribution of such engines.Engine manufacturer 
does not include any dealer with respect to newnonroad engines received 
by such person in commerce.
    EPA enforcement officer means any officer, employee, orauthorized 
representative of the U.S. Environmental Protection Agencyso designated 
in writing by the Administrator (or by his or herdesignee).
    Equipment manufacturer means a manufacturer of equipmentusing 
engines covered by the provisions of this Part who does not 
alsomanufacture engines covered by the provisions of this Part.
    Exhaust emissions means matter emitted into the atmospherefrom any 
opening downstream from the exhaust port of a nonroad engine.
    Family Emission Limit or FEL means an emission levelthat is declared 
by the manufacturer to serve in lieu of an emissionstandard for the 
purposes of certification, production line testing,and Selective 
Enforcement Auditing for engines participating in theaveraging, banking 
and trading program. A declared FEL will also servein lieu of an 
emission standard where the manufacturer elects toperform voluntary in-
use testing under this part. An FEL must beexpressed to the same number 
of decimal places as the applicableemission standard.
    Fuel system means all components involved in the transport,metering, 
and mixture of the fuel from the fuel tank to the combustionchamber(s) 
including the following: fuel tank, fuel tank cap, fuelpump, fuel lines, 
oil injection metering system, carburetor or fuelinjection components, 
and all fuel system vents.
    Good engineering judgment has the meaning given in 40 CFR1068.30. 
See 40 CFR 1068.5 for the administrative process we use toevaluate good 
engineering judgment.
    Gross power means the power measured at the crankshaft orits 
equivalent, the engine being equipped only with the standardaccessories 
(such as oil pumps, coolant pumps, and so forth) necessaryfor its 
operation on the test bed.
    Handheld equipment engine means a nonroad engine that meetsthe 
requirements specified in Sec. 90.103(a)(2)(I) through(v).
    HC+NOX means total hydrocarbons plus oxides ofnitrogen.
    Hobby engines means engines used in reduced-scale models ofvehicles 
that are not capable of transporting a person (for example,model 
airplanes).

[[Page 176]]

    Marine engine means a nonroad engine that is installedor intended to 
be installed on a marine vessel. This includes aportable auxiliary 
marine engine only if its fueling, cooling, orexhaust system is an 
integral part of the vessel. There are two kindsof marine engines:
    (1) Propulsion marine engine means a marine engine that moves 
avessel through the water or directs the vessel's movement.
    (2) Auxiliary marine engine means a marine engine not used 
forpropulsion.
    Marine vessel has the meaning given in 1 U.S.C. 3, exceptthat it 
does not include amphibious vehicles. The definition in 1U.S.C. 3 very 
broadly includes every craft capable of being used as ameans of 
transportation on water.
    Maximum engine power means the maximum value of gross powerat rated 
speed.
    Model year (MY) means the manufacturer's annual new modelproduction 
period which includes January 1 of the calendar year, endsno later than 
December 31 of the calendar year, and does not beginearlier than January 
2 of the previous calendar year. Where amanufacturer has no annual new 
model production period, model yearmeans calendar year.
    New, for the purposes of this part, means a nonroad engineor nonroad 
vehicle the equitable or legal title to which has neverbeen transferred 
to an ultimate purchaser. Where the equitable orlegal title to the 
engine or vehicle is not transferred to an ultimatepurchaser until after 
the engine or vehicle is placed into service,then the engine or vehicle 
will no longer be new after it is placedinto service. A nonroad engine 
or vehicle is placed into service whenit is used for its functional 
purposes. With respect to importednonroad engines or nonroad vehicles, 
the term ``new''means an engine or vehicle that is not covered by a 
certificate ofconformity issued under this part at the time of 
importation, and thatis manufactured after the effective date of a 
regulation issued underthis part which is applicable to such engine or 
vehicle (or whichwould be applicable to such engine or vehicle had it 
been manufacturedfor importation into the United States).
    New Class I engine family means any group of engines thatemploy a 
design that is different from engine families that the 
enginemanufacturer has previously certified, and does not include any 
enginefamily certified on the basis of carryover data or any engine 
familythat differs from another engine family solely as a result of 
arunning change.
    NMHC+NOX means nonmethane hydrocarbons plusoxides of 
nitrogen.
    Nonroad engine means:
    (1) Except as discussed in paragraph (2) of this definition, 
anyinternal combustion engine:
    (i) In or on a piece of equipment that is self-propelled or servesa 
dual purpose by both propelling itself and performing anotherfunction 
(such as garden tractors, off-highway mobile cranes, andbulldozers); or
    (ii) In or on a piece of equipment that is intended to bepropelled 
while performing its function (such as lawnmowers and stringtrimmers); 
or
    (iii) That, by itself or in or on a piece of equipment, isportable 
or transportable, meaning designed to be and capable of beingcarried or 
moved from one location to another. Indicia oftransportability 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 
usedsolely for competition, or is subject to standards promulgated 
undersection 202 of the Act; or
    (ii) The engine is regulated by a federal New Source 
PerformanceStandard promulgated under section 111 of the Act; or
    (iii) The engine otherwise included in paragraph (1)(iii) of 
thisdefinition remains or will remain at a location for more than 
12consecutive months or a shorter period of time for an engine locatedat 
a seasonal source. A location is any site at a building, 
structure,facility, or installation. Any engine (or engines) that 
replaces anengine at a location and that is intended to perform the same 
orsimilar function as the engine replaced will be included incalculating 
the consecutive time period. An engine located at aseasonal

[[Page 177]]

source is an engine that remains at a seasonal sourceduring the full 
annual operating period of the seasonal source. Aseasonal source is a 
stationary source that remains in a singlelocation on a permanent basis 
(i.e., at least two years) and thatoperates at that single location 
approximately three months (or more)each year. This paragraph does not 
apply to an engine after the engineis removed from the location.
    Nonroad vehicle means a vehicle that is powered by a nonroadengine 
as defined in this section and that is not a motor vehicle or avehicle 
used solely for competition. Nonroad vehicle also includesequipment that 
is powered by nonroad engines.
    Nonroad vehicle manufacturer means any person engaged in 
themanufacturing or assembling of new nonroad vehicles or importing 
suchvehicles for resale, or who acts for and is under the control of 
anysuch person in connection with the distribution of such vehicles. 
Anonroad vehicle manufacturer does not include any dealer with respectto 
new nonroad vehicles received by such person in commerce.
    Operating hours means:
    (1) For engine storage areas or facilities, all times during 
whichpersonnel other than custodial personnel are at work in the 
vicinityof the storage area or facility and have access to it.
    (2) For all other areas or facilities, all times during which 
anassembly line is in operation or all times during which 
testing,maintenance, service accumulation, production or compilation 
ofrecords, or any other procedure or activity related to 
certificationtesting, to translation of designs from the test stage to 
theproduction stage, or to engine manufacture or assembly is 
beingcarried out in a facility.
    Overhead valve engine means an otto-cycle, four strokeengine in 
which the intake and exhaust valves are located above thecombustion 
chamber within the cylinder head. Such engines aresometimes 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 theregulations 
in this part to the standard levels defined for Phase 1.
    Phase 2 engine means any handheld and nonhandheld enginethat was 
produced under a certificate of conformity under theregulations in this 
part to the standards defined for Phase 2 engines.
    Presentation of credentials means the display of thedocument 
designating a person as an EPA enforcement officer or EPAauthorized 
representative.
    Recreational means, for purposes of this part, relating to avehicle 
intended by the vehicle manufacturer to be operated primarilyfor 
pleasure.
    Round, rounded or rounding means, unless otherwisespecified, that 
numbers will be rounded according to ASTM-E29-93a, which is incorporated 
by reference in this partpursuant to Sec. 90.7.
    Scheduled maintenance means any adjustment, repair, 
removal,disassembly, cleaning, or replacement of components or 
systemsrequired by the manufacturer to be performed on a periodic basis 
toprevent part failure or vehicle or engine malfunction, or thoseactions 
anticipated as necessary to correct an overt indication ofmalfunction or 
failure for which periodic maintenance is notappropriate.
    Side valve engine means an otto-cycle, four stroke engine inwhich 
the intake and exhaust valves are located to the side of thecylinder, 
not within the cylinder head. Such engines are sometimesreferred to as 
``L-head'' engines.
    Small volume engine family means any handheld engine familyor any 
nonhandheld engine family whose eligible production in a givenmodel year 
are projected at the time of certification to be no morethan 5,000 
engines.
    Small volume engine manufacturer means, for nonhandheldengines, any 
engine manufacturer whose total eligible production ofnonhandheld 
engines are projected at the time of certification of agiven model year 
to be no more than 10,000 nonhandheld engines. Forhandheld engines, the 
term small volume engine manufacturermeans any engine manufacturer whose 
total eligible production ofhandheld engines are projected at the time 
of certification of

[[Page 178]]

agiven model year to be no more than 25,000 handheld engines.
    Small volume equipment manufacturer means, for nonhandheldequipment, 
any equipment manufacturer whose production of nonhandheldequipment 
subject to regulation under this part or powered by enginesregulated 
under this part, does not exceed 5,000 pieces for a givenmodel year or 
annual production period excluding that equipmentintended for 
introduction into commerce for use in a state that hasestablished its 
own emission requirements applicable to such equipmentor engines in such 
equipment, pursuant to a waiver granted by EPAunder section 209(e) of 
the Clean Air Act. For handheld equipment, theterm small volume 
equipment manufacturer has the same meaningexcept that it is limited to 
25,000 pieces of handheld equipmentrather than 5,000 pieces of 
nonhandheld equipment.
    Small volume equipment model means, for nonhandheldequipment, any 
unique model of equipment whose production subject toregulations under 
this part or powered by engines regulated under thispart, does not 
exceed 500 pieces for a given model year or annualproduction period 
excluding that equipment intended for introductioninto commerce for use 
in a state that has established its own emissionrequirements applicable 
to such equipment or engines in suchequipment, pursuant to a waiver 
granted by EPA under section 209(e) ofthe Clean Air Act. For handheld 
equipment, the term small volumeequipment model has the same meaning 
except that it is limited to5,000 pieces of handheld equipment, rather 
than 500 pieces ofnonhandheld equipment.
    Test engine means the engine or group of engines that amanufacturer 
uses during certification to determine compliance withemission 
standards.
    Ultimate purchaser means, with respect to any new nonroadengine or 
new nonroad vehicle, the first person who in good faithpurchases such 
new nonroad engine or vehicle for purposes other thanresale.
    United States means the States, the District of Columbia,the 
Commonwealth of Puerto Rico, the Commonwealth of the NorthernMariana 
Islands, Guam, American Samoa, and the U.S. Virgin Islands.
    Used solely for competition means exhibiting features thatare not 
easily removed and that would render its use other than incompetition 
unsafe, impractical, or highly unlikely.
    Warranty period means the period of time the engine or partis 
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; 70 FR40448, July 13, 
2005]



Sec. 90.4  Treatment of confidential information.

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

[[Page 179]]



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 ofthe 
subpart. Tables are numbered consecutively by order of appearancein the 
appendix. The table title will indicate the topic.
    (b) Figures for each subpart appear in an appendix at the end ofthe 
subpart. Figures are numbered consecutively by order of appearancein 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. Theincorporation by 
reference was approved by the Director of the FederalRegister in 
accordance with 5 U.S.C. 552(a) and 1 CFR part 51. Copiesmay be 
inspected at U.S. EPA Air and Radiation Docket, roomM-1500, 401 M St., 
SW., Washington D.C. 20460, or at theNational Archives and Records 
Administration (NARA). For informationon the availability of this 
material at NARA, call202-741-6030, 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 materialthat 
has been incorporated by reference in this part.
    (1) ASTM material. The following table sets forth materialfrom the 
American Society for Testing and Materials which has beenincorporated by 
reference. The first column lists the number and nameof the material. 
The second column lists the section(s) of this part,other than Sec. 
90.7, in which the matter is referenced. Thesecond column is presented 
for information only and may not be allinclusive. Copies of these 
materials may be obtained from AmericanSociety for Testing and 
Materials, 1916 Race St., Philadelphia, PA19103.

------------------------------------------------------------------------
         Document number and name             40 CFRpart 90 reference
------------------------------------------------------------------------
ASTM D86-93:
    Standard Test Method for Distillation  Appendix A to subpart D,
     of PetroleumProducts.                  Table 3.
ASTM D1319-89:
    Standard Test Method for Hydrocarbon   Appendix A to subpart D,Table
     Types in Liquid PetroleumProducts by   3.
     Fluorescent Indicator Adsorption.
ASTM D2622-92:
    Standard Test Method for Sulfur in     Appendix A to subpart D,
     Petroleum Products by X-               Table 3.
     raySpectrometry.
ASTM D2699-92:
    Standard Test Method for Knock         Appendix A to subpart D,
     Characteristics of Motor Fuels bythe   Table 3.
     Research Method.
ASTM D2700-92:
    Standard Test Method for Knock         Appendix A to subpart D,
     Characteristics of Motor andAviation   Table 3.
     Fuels by the Motor Method.
ASTM D3231-89:
    Standard Test Method for Phosphorus    Appendix A tosubpart D, Table
     in Gasoline.                           3.
ASTM D3606-92:
    Standard Test Method for               Appendix Ato subpart D, Table
     Determination of Benzene and Toluene   3.
     inFinished 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:

[[Page 180]]

 
    Standard Practice for Using            90.116; 90.509.
     Significant Digits in Test Datato
     Determine Conformance with
     Specifications.
------------------------------------------------------------------------

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

------------------------------------------------------------------------
         Document number and name             40 CFRpart 90 reference
------------------------------------------------------------------------
SAE J1930 September 1991, Electrical/      90.114
 Electronic Systems DiagnosticTerms,
 Definitions, Abbreviations and Acronyms.
SAE Paper 770141, Optimization of a Flame  90.316
 Ionization Detector forDetermination 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 nonroadengines 
and vehicles subject to the provisions of subpart A of part90.



Sec. 90.102  Definitions.

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



Sec. 90.103  Exhaust emission standards.

    (a) Exhaust emissions for new Phase 1 and Phase 2 nonroad 
sparkignition engines at or below 19 kilowatts (kW), shall not exceed 
thefollowing levels. Throughout this part, NMHC+NOX 
standardsare applicable only to natural gas fueled engines at the option 
of themanufacturer, in lieu of HC+NOX standards.

                                   Table 1--Phase 1 Exhaust EmissionStandards
                                            [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, ClassI-B, and Class I Engine Exhaust Emission Standards
                                            [grams perkilowatt-hour]
----------------------------------------------------------------------------------------------------------------
          Engine class                HC+NOX         NMHC+NOX           CO                Effective date
----------------------------------------------------------------------------------------------------------------
I...............................            16.1            14.8             610  August 1, 2007; in addition,
                                                                                   any Class Iengine family
                                                                                   initially produced on or
                                                                                   after August 1, 2003 must
                                                                                   meetthe Phase 2 Class I
                                                                                   standards before they may be
                                                                                   introduced intocommerce.
I-A.............................              50  ..............             610  2001 Model Year.

[[Page 181]]

 
I-B.............................              40              37             610  2001 Model Year.
----------------------------------------------------------------------------------------------------------------


                                        Table 3--Phase 2 ClassII Engine Exhaust Emission Standards by Model Year
                                                                [grams perkilowatt-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 HandheldExhaust 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 
exhaustemission standards. Boundaries for each class are indicated 
inSec. 90.116(b).
    (2) Emission standards for classes III, IV, V may be used only ifan 
engine meets at least one of the following requirements:
    (i) The engine must be used in a piece of equipment that iscarried 
by the operator throughout the performance of its intendedfunction(s);
    (ii) The engine must be used in a piece of equipment that 
mustoperate multipositionally, such as upside down or sideways, 
tocomplete its intended function(s);
    (iii) The engine must be used in a piece of equipment for whichthe 
combined engine and equipment dry weight is under 14 kilograms, nomore 
than two wheels are present on the equipment, and at least one ofthe 
following attributes is also present:
    (A) The operator must alternately provide support or carry 
theequipment throughout the performance of its intended function(s);
    (B) The operator must provide support or attitudinal control forthe 
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 
acombined engine and equipment dry weight under 20 kilograms;
    (v) The engine must be used in a recreational application, with 
acombined total vehicle dry weight under 20 kilograms;
    (vi) Where a piece of equipment otherwise meeting the requirementsof 
paragraph (a)(2)(iii) or (a)(2)(iv) of this section exceeds 
theapplicable weight limit, emission standards for class III, IV or V, 
asapplicable, may still apply if the equipment exceeds the weight 
limitby no more than the extent necessary to allow for the 
incrementalweight of a four stroke engine or the incremental weight of a 
twostroke engine having enhanced emission control acceptable to 
theAdministrator. Any manufacturer utilizing this provision

[[Page 182]]

toexceed the subject weight limitations shall maintain and makeavailable 
to the Administrator upon request, documentation tosubstantiate that the 
exceedance of either weight limitation is adirect result of application 
of a four stroke or enhanced two strokeengine having the same, less or 
very similar power to two strokeengines that could otherwise be used to 
power the equipment and remainwithin the weight limitations.
    (3) Notwithstanding paragraph (a)(2) of this section, two 
strokeengines used to power lawnmowers or other nonhandheld equipment 
maymeet Phase 1 Class III, IV or V standards and requirements, 
asappropriate, through model year 2002 subject to the provisions ofSec. 
90.107(e), (f) and (h). Such engines shall not beincluded in any 
computations of Phase 2 averaging, banking, or tradingcredits or 
eligible production.
    (4) Notwithstanding paragraph (a)(2) of this section, two-
strokeengines used to power snowthrowers may meet class III, IV, or 
Vstandards.
    (5) Notwithstanding paragraph (a)(2) of this section, engines 
usedexclusively to power products which are used exclusively 
inwintertime, such as snowthrowers and ice augers, at the option of 
theengine manufacturer, need not certify to or comply with 
standardsregulating emissions of HC, NOX. HC+NOX 
orNMHC+NOX. as applicable. If the manufacturer exercises 
theoption to certify to standards regulating such emissions, such 
enginesmust meet such standards. If the engine is to be used in any 
equipmentor vehicle other than an exclusively wintertime product such as 
asnowthrower or ice auger, it must be certified to the 
applicablestandard 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, attheir option, 
certify their engine families as Phase 1 engines untilthe 2010 model 
year for nonhandheld engine families excluding Class I-A and Class I-B 
engine families, until the 2008 model year for ClassIII and Class IV 
engine families, and until the 2010 model year forClass V engine 
families. Such engines shall not exceed the applicablePhase 1 standards 
and are excluded from the averaging, banking andtrading program and any 
related credit calculations. Beginning withthe 2010 model year for 
nonhandheld engine families, the 2008 modelyear for Class III and Class 
IV engine families, and the 2010 modelyear for Class V engine families, 
these engines must meet theapplicable Phase 2 standards.
    (7) In lieu of certifying to the applicable Phase 2 
standards,manufacturers of small volume engine families, as defined in 
this partmay, at their option, certify their small volume engine 
families asPhase 1 engines until the 2010 model year for nonhandheld 
enginefamilies excluding Class I-A and Class I-B engine families, until 
the2008 model year for Class III and Class IV engine families, and 
untilthe 2010 model year for Class V engine families. Such engines 
shallnot exceed the applicable Phase 1 standards and are excluded from 
theaveraging, banking and trading program and any related 
creditcalculations. Beginning with the 2010 model year for 
nonhandheldengine families, the 2008 model year for Class III and Class 
IV enginefamilies, and the 2010 model year for Class V engine families, 
theseengines must meet the applicable Phase 2 standards.
    (8) Notwithstanding the standards shown in Table 3 of thissection, 
the HC+NOX (NMHC+NOX) standard forPhase 2 Class II 
side valve engine families with annual production of1000 or less shall 
be 24.0 g/kW-hr (22.0 g/kW-hr) for model years 2010and later. Engines 
produced subject to this provision may not exceedthis standard and are 
excluded from the averaging, banking and tradingprogram and any related 
credit calculations.
    (b) Exhaust emissions will be measured using the procedures setforth 
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 FR24305, 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 1engines 
only.

[[Page 183]]

Paragraphs (d) through (h) of this section applyonly to Phase 2 engines.
    (a) If all test engines representing an engine family haveemissions 
less than or equal to each emission standard in a givenengine 
displacement class, that family complies with that class ofemission 
standards.
    (b) If any test engine representing an engine family has 
emissionsgreater than any one emission standard in a given engine 
displacementclass, that family will be deemed not in compliance with 
that class ofemission standards.
    (c) If catalysts are used in an engine family, the 
enginemanufacturer must affirm that catalyst durability has been 
confirmedon the basis of the evaluation procedure that is specified in 
subpartE of this part.
    (d) The exhaust emission standards (FELs, where applicable) forPhase 
2 engines set forth in this part apply to the emissions of theengines 
for their full useful lives as determined pursuant toSec. 90.105.
    (e) For all Phase 2 engines, if all test engines representing 
anengine family have emissions, when properly tested according 
toprocedures in this part, less than or equal to each Phase 2 
emissionstandard (FEL, where applicable) in a given engine class and 
givenmodel year, when multiplicatively adjusted by the deterioration 
factordetermined in this section, that family complies with that class 
ofemission standards for purposes of certification. If any test 
enginerepresenting an engine family has emissions adjusted 
multiplicativelyby the deterioration factor determined in this section, 
greater thanany one emission standard (FEL, where applicable) for a 
givendisplacement class, that family does not comply with that class 
ofemission standards.
    (f) Each engine manufacturer must comply with all provisions ofthe 
averaging, banking and trading program outlined in subpart C ofthis part 
for each engine family participating in that program.
    (g)(1) Small volume engine manufacturers and small volume 
enginefamilies may, at their option, take deterioration factors 
forHC+NOX (NMHC+NOX) and CO from Table 1 or Table2 
of this paragraph (g), or they may calculate deterioration factorsfor 
HC+NOX (NMHC+NOX) and CO according to theprocess 
described in paragraph (h) of this section. For technologiesthat are not 
addressed in Table 1 or Table 2 of this paragraph (g),the manufacturer 
may ask the Administrator to assign a deteriorationfactor prior to the 
time of certification. The provisions of thisparagraph (g) do not apply 
to Class I-A and Class I-B engines.
    (2) Table 1 follows:

Table 1: Nonhandheld EngineHC+NOX (NMHC+NOX) and CO AssignedDeterioration Factors for Small Volume Manufacturers
                                         and Small VolumeEngine Families
----------------------------------------------------------------------------------------------------------------
                                           Side valve engines         Overhead
                                         ----------------------     valveengines
              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 theformula in Sec.
                                                                                        90.104(g)(4).
Class II................................           1.6     1.1           1.4     1.1  ..........................
----------------------------------------------------------------------------------------------------------------

    (3) Table 2 follows:

  Table 2--Handheld EngineHC+NOX and CO Assigned Deterioration Factors for SmallVolume Manufacturers and Small
                                             Volume Engine Families
----------------------------------------------------------------------------------------------------------------
                                     Two-stroke engines \1\      Four-stroke engines
           Engine class            ----------------------------------------------------          Engines
                                       HC+NOX         CO         HC+NOX         CO         withaftertreatment
----------------------------------------------------------------------------------------------------------------
Class III.........................          1.1          1.1          1.5          1.1  Dfs must be calculated
                                                                                         using theformula in
                                                                                         Sec.  90.104(g)(4).
Class IV..........................          1.1          1.1          1.5          1.1

[[Page 184]]

 
Class V...........................          1.1          1.1          1.5          1.1
----------------------------------------------------------------------------------------------------------------
\1\ Two-stroke technologies to which these assigneddeterioration factors apply include conventional two-
  strokes,compression wave designs, and stratified scavenging designs.

    (4) Formula for calculating deterioration factors for engines 
withaftertreatment:

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 shownin 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 forall 
classes of engines.

    (h)(1) Manufacturers shall obtain an assigned df or calculate adf, 
as appropriate, for each regulated pollutant for all Phase 2engine 
families. Such dfs shall be used for certification, productionline 
testing, and Selective Enforcement Auditing.
    (2) For engines not using assigned dfs from Table 1 or Table 2 
ofparagraph (g) of this section, dfs shall be determined as follows:
    (i) On at least one test engine representing the configurationchosen 
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 toSec. 90.117, conduct 
full Federal test procedure emissiontesting pursuant to the regulations 
of subpart E of this part at thenumber of hours representing stabilized 
emissions pursuant toSec. 90.118. If more than one engine is tested, 
average theresults and round to the same number of decimal places 
contained inthe applicable standard, expressed to one additional 
significantfigure;
    (ii) Conduct such emission testing again following aging theengine. 
The aging procedure should be designed to allow themanufacturer to 
appropriately predict the in-use emissiondeterioration expected over the 
useful life of the engine, taking intoaccount the type of wear and other 
deterioration mechanisms expectedunder typical consumer use which could 
affect emissions performance.If more than one engine is tested, average 
the results and round tothe same number of decimal places contained in 
the applicablestandard, expressed to one additional significant figure;
    (iii) Divide the full useful life emissions (average emissions, 
ifapplicable) for each regulated pollutant by the stabilized 
emissions(average emissions, if applicable) and round to two 
significantfigures. The resulting number shall be the df, unless it is 
less than1.0, in which case the df shall be 1.0.
    (iv) At the manufacturer's option additional emission test pointscan 
be scheduled between the stabilized emission test point and thefull 
useful life test period. If intermediate tests are scheduled, thetest 
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-halfof full 
useful life (plus or minus 2 hours). For each pollutantHC+NOX 
(NMHC+NOX) and CO, a line must befitted to the data points 
treating the initial test as occurring athour zero, and using the method 
of least-squares. The deteriorationfactor is the calculated emissions 
durability period divided by thecalculated emissions at zero hours.
    (3) EPA may reject a df if it has evidence that the df is 
notappropriate for that family within 30 days of receipt from 
themanufacturer. The manufacturer must retain actual emission test 
datato support its choice of df and furnish that data to the 
Administratorupon request. Manufacturers may request approval by the 
Administratorof alternate procedures for determining

[[Page 185]]

deterioration. Anysubmitted df not rejected by EPA within 30 days shall 
be deemed tohave been approved.
    (4) Calculated deterioration factors may cover families and 
modelyears in addition to the one upon which they were generated if 
themanufacturer submits a justification acceptable to the 
Administratorin advance of certification that the affected engine 
families can bereasonably expected to have similar emission 
deteriorationcharacteristics.
    (5) Engine families that undergo running changes need not generatea 
new df if the manufacturer submits a justification acceptable to 
theAdministrator concurrent with the running change that the 
affectedengine families can be reasonably expected to have similar 
emissiondeterioration 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 lifecategory 
for each engine family at the time of certification asdescribed in this 
section. Such category shall be the category whichmost closely 
approximates the expected useful lives of the equipmentinto which the 
engines are anticipated to be installed as determinedby the engine 
manufacturer. Manufacturers shall retain dataappropriate to support 
their choice of useful life category for eachengine family. Such data 
shall be furnished to the Administrator uponrequest.
    (1) For nonhandheld engines: Manufacturers shall select a usefullife 
category from Table 1 of this section at the time ofcertification. 
Engines with gross power output greater than 19 kW thathave an engine 
displacement less than or equal to one liter thatoptionally certify 
under this part as allowed inSec. 90.1(a), must certify to a useful 
life period of 1,000hours.
    (2) Table 1 follows:

     Table 1: Useful Life Categories forNonhandheld 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 
lifecategory from Table 2 of this paragraph (a) at the time 
ofcertification.
    (4) Table 2 follows:

       Table 2: Useful Life Categories forHandheld 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 lifecategory, 
for a given engine family, may include but are not limitedto:
    (i) Surveys of the life spans of the equipment in which thesubject 
engines are installed;
    (ii) Engineering evaluations of field aged engines to ascertainwhen 
engine performance deteriorates to the point where usefulnessand/or 
reliability is impacted to a degree sufficient to necessitateoverhaul 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, ofspecific 
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), everymanufacturer of new 
engines produced during or after model year 1997must obtain a 
certificate of conformity covering such engines;however, engines 
manufactured during an annual production periodbeginning prior to 
September 1, 1996 are not required to be certified.
    (2) Except as required in paragraph (b)(3) of this section, ClassII 
engines

[[Page 186]]

manufactured during an annual production periodbeginning prior to 
September 1, 2000 are not required to meet Phase 2requirements.
    (b)(1) The annual production period begins either when an 
enginefamily is first produced or on January 2 of the calendar 
yearpreceding the year for which the model year is designated, 
whicheverdate is later. The annual production period ends either when 
the lastengine is produced or on December 31 of the calendar year for 
whichthe model year is named, whichever date is sooner.
    (2) Notwithstanding paragraph (b)(1) of this section, 
annualproduction periods beginning prior to September 1, 1996 may not 
exceed12 months in length.
    (3) Manufacturers who commence an annual production period for 
aClass II engine family between January 1, 2000 and September 1, 
2000must meet Phase 2 requirements for that family only if that 
productionperiod will exceed 12 months in length.
    (c) Except as provided in paragraph (d) of this section, 
acertificate of conformity is deemed to cover the engines named in 
suchcertificate and produced during the annual production period, 
asdefined in paragraph (b) of this section.
    (d) Except as provided in paragraph (e) of this section, 
thecertificate of conformity must be obtained from the 
Administratorprior to selling, offering for sale, introducing into 
commerce, orimporting into the United States the new engine. Engines 
producedprior to the effective date of a certificate of conformity may 
also becovered by the certificate, once it is effective, if the 
followingconditions are met:
    (1) The engines conform in all respects to the engines describedin 
the application for the certificate of conformity.
    (2) The engines are not sold, offered for sale, introduced 
intocommerce, or delivered for introduction into commerce prior to 
theeffective date of the certificate of conformity.
    (3) EPA is notified prior to the beginning of production when 
suchproduction will start, and EPA is provided a full opportunity 
toinspect and/or test the engines during and after their production. 
EPAmust have the opportunity to conduct SEA production line testing as 
ifthe vehicles had been produced after the effective date of 
thecertificate.
    (e) Engines that are certified by EPA prior to January 2, 1996 
formodel year 1997 may be delivered for introduction into commerce 
priorto January 2, 1996 once a certificate of conformity has been 
issued.
    (f) Engines imported by an original equipment manufacturer 
afterDecember 31 of the calendar year for which the model year is named 
arestill covered by the certificate of conformity as long as 
theproduction of the engine was completed before December 31 of 
thatyear.

[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 
tothe Administrator a completed application for a certificate 
ofconformity.
    (b) The application must be approved and signed by the 
authorizedrepresentative of the manufacturer.
    (c) The application must be updated and corrected by amendment 
asprovided in Sec. 90.122 to accurately reflect themanufacturer's 
production.
    (d) Required content. Each application must include thefollowing 
information:
    (1) A description of the basic engine design including, but 
notlimited to, the engine family specifications;
    (2) An explanation of how the emission control system 
operates,including a detailed description of all emission control 
systemcomponents (Detailed component calibrations are not required to 
beincluded; they must be provided if requested, however.), eachauxiliary 
emission control device (AECD), and all fuel systemcomponents to be 
installed on any production or test engine(s);
    (3) Proposed test engine(s) selection and the rationale for thetest 
engine(s) selection;
    (4) Special or alternate test procedures, if applicable;
    (5) The service accumulation period necessary to break in the 
testengine(s) and stabilize emission levels;

[[Page 187]]

    (6) A description of all adjustable operating parametersincluding 
the following:
    (i) The nominal or recommended setting and the associatedproduction 
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 toestablish 
each physically adjustable range;
    (v) Information relating to why the physical limits or stops usedto 
establish the physically adjustable range of each parameter, or anyother 
means used to inhibit adjustment, are effective in preventingadjustment 
of parameters to settings outside the manufacturer'sintended 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 
partnumbers; the altitude ranges at which the kits must be installed on 
orremoved from the engine for proper emissions and engine 
performance;statements to be included in the owner's manual for 
theengine/equipment combination (and other maintenance 
relatedliterature) that: declare the altitude ranges at which the kit 
must beinstalled or removed; and state that the operation of theengine/
equipment at an altitude that differs from that at which it 
wascertified, for extended periods of time, may increase emissions; and 
astatement that an engine with the altitude kit installed will meeteach 
emission standard throughout its useful life (the rationale forthis 
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 testengine;
    (9) A statement that the test engine(s), as described in 
themanufacturer's application for certification, has been tested 
inaccordance with the applicable test procedures, utilizing the fuelsand 
equipment required under subparts D and E of this part, and thaton the 
basis of such tests the engine(s) conforms to the requirementsof this 
part;
    (10) An unconditional statement certifying that all engines in 
theengine family comply with all requirements of this part and the 
CleanAir Act;
    (11) This paragraph (d)(11) is applicable only to Phase 2 engines.
    (i) Engine manufacturers participating in the averaging, bankingand 
trading program as described in subpart C of this part shalldeclare the 
applicable Family Emission Limit (FEL) forHC+NOX 
(NMHC+NOX).
    (ii) Provide the applicable useful life as determined underSec. 
90.105.
    (12) A statement indicating whether the engine family containsonly 
nonroad engines, only stationary engines, or both.
    (e)(1) In addition to the information specified in paragraph (d)of 
this section, manufacturers of two-stroke lawnmower engines mustsubmit 
with their application for a certificate of conformity:
    (i) For model year 1997, information establishing the highestnumber 
of two-stroke lawnmower engines produced in a single annualproduction 
period from 1992 through 1994. This number will be known asthe 
production baseline.
    (ii) For model years 1998 through 2002, information documentingthe 
previous year's production and projected production for thecurrent year.
    (2) In model year 1997, two-stroke lawnmower engine manufacturersmay 
produce up to 100 percent of their production baseline establishedunder 
paragraph (e)(1)(i) of this section.
    (3) In model year 1998, two-stroke lawnmower engine manufacturersmay 
produce up to 75 percent of their production baseline.
    (4) From model years 1999 through 2002, two-stroke lawnmowerengine 
manufacturers may produce up to 50 percent of their productionbaseline.
    (5) In model year 2003, two-stroke lawnmower engine 
manufacturersmust meet class I or II standards specified inSec. 
90.103(a). If in model year 2003 those standards havebeen superseded by 
Phase 2 standards, two-stroke lawnmower enginemanufacturers must meet 
the Phase 2 standards that are

[[Page 188]]

equivalentto the class I or II standards.
    (f) At the Administrator's request, the manufacturer must supplysuch 
additional information as may be required to evaluate theapplication 
including, but not limited to, projected nonroad engineproduction.
    (g)(1) The Administrator may modify the information 
submissionrequirements of paragraph (d) of this section, provided that 
all ofthe information specified therein is maintained by the 
enginemanufacturer 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 thissection whether or not 
such information is actually submitted to theAdministrator for any 
particular model year.
    (3) The Administrator may review an engine manufacturer's recordsat 
any time. At the Administrator's discretion, this review may takeplace 
either at the manufacturer's facility or at another facilitydesignated 
by the Administrator.
    (h)(1) The Administrator may, upon receipt of a written requestfrom 
an equipment manufacturer, accompanied by sufficientdocumentation, 
permit two stroke engines produced for nonhandheldequipment other than 
lawnmowers to meet the standards specified inSec. 90.103(a)(3) under 
the schedule outlined in paragraph(e) of this section. The equipment 
manufacturer must demonstrate tothe satisfaction of the Administrator 
that:
    (i) Four stroke engines for such equipment are not available 
withsuitable physical or performance characteristics; and
    (ii) The equipment can not be converted to use four stroke 
engineswithout substantial redesign for which additional lead time 
isnecessary to avoid economic hardship.
    (2) The Administrator may waive the phase-in percentages 
ofparagraphs (e)(3) and (e)(4) of this section for engines used in 
lowvolume nonhandheld equipment other than lawnmowers where the 
equipmentmanufacturer demonstrates to the satisfaction of the 
Administratorthat 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 FR24307, Apr. 25, 
2000; 73 FR 3612, Jan. 18, 2008]



Sec. 90.108  Certification.

    (a) If, after a review of the manufacturer's submittedapplication, 
information obtained from any inspection, and such otherinformation as 
the Administrator may require, the Administratordetermines that the 
application is complete and that the engine familymeets the requirements 
of this part and the Clean Air Act, theAdministrator shall issue a 
certificate of conformity.
    (b) The Administrator shall give a written explanation 
whencertification is denied. The manufacturer may request a hearing on 
adenial. (See Sec. 90.124 for procedure.)
    (c) For certificates issued for engine families included in 
theaveraging, banking and trading program as described in subpart C 
ofthis part:
    (1) Failure to comply with all applicable averaging, banking 
andtrading provisions in this part will be considered to be a failure 
tocomply with the terms and conditions upon which the certificate 
wasissued, and the certificate may be determined to be void abinitio.
    (2) The manufacturer shall bear the burden of establishing to 
thesatisfaction of the Administrator that the conditions upon which 
thecertificate was granted were satisfied or waived.
    (d) The Administrator may, upon request by a manufacturer, waiveany 
requirement of this part otherwise necessary for the issuance of 
acertificate. The Administrator may set such conditions in acertificate 
as he or she deems appropriate to assure that the waivedrequirements are 
either satisfied or are demonstrated, for the subjectengines, to be 
inappropriate, irrelevant or met by the application ofa different 
requirement under this chapter. The Administrator mayindicate on such 
conditional certificates that failure to meet theseconditions may result 
in

[[Page 189]]

suspension or revocation or the voidingab 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'' meansthe housing for 
the crankshaft and other related internal parts.
    (c) Notwithstanding paragraph (a) of this section, theAdministrator 
will allow open crankcases for engines used exclusivelyto power 
snowthrowers based upon a manufacturer's demonstration thatall 
applicable emission standards will be met by the engine for 
thecombination of emissions from the crankcase, and exhaust 
emissionsmeasured using the procedures in subpart E of this part. 
Thisdemonstration may be made based upon best engineering judgment. 
Uponrequest of the Administrator, the manufacturer must provide 
anexplanation of any procedure or methodology used to determine that 
thetotal CO emissions from the crankcase and the exhaust are below 
theapplicable 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 
withemission standards if such device, system, or element of design 
willcause 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 
anunreasonable risk to public health, welfare, or safety whileoperating. 
For example, this would apply if the engine emits a noxiousor toxic 
substance it would otherwise not emit that contributes tosuch 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 operationoutside normal 
emission test conditions and reduces emission controleffectiveness.
    (1) Defeat device includes any auxiliary emission control 
device(AECD) that reduces the effectiveness of the emission control 
systemunder conditions which may reasonably be expected to be 
encountered innormal operation and use unless such conditions are 
included in thetest procedure.
    (2) Defeat device does not include such items which either 
operateonly during engine starting or are necessary to protect the 
engine (orvehicle in which it is installed) against damage or accident 
duringits operation.



Sec. 90.112  Requirement of certification--adjustable parameters.

    (a) Engines equipped with adjustable parameters must comply withall 
requirements of this subpart for any specification within thephysically 
available range.
    (b) An operating parameter is not considered adjustable if it 
ispermanently sealed by the manufacturer or otherwise not 
normallyaccessible using ordinary tools.
    (c) The Administrator may require that adjustable parameters beset 
to any specification within the adjustable range duringcertification or 
a selective enforcement audit to determine compliancewith 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 
testingprovisions for Phase 2 engines are found in subpart M of this 
part. Atthe time of certification the engine manufacturer may propose 
whichengine families should be included in an in-use test program. EPA 
willapprove a manufacturer's test program if the selected engine 
familiesrepresent an adequate consideration of the elements listed 
inparagraphs (b) and (c) of this section.

[[Page 190]]

    (b) Number of engines to be tested. The number ofengines to be 
tested by a manufacturer is determined by the followingmethod:
    (1) For an engine manufacturer with total projected annualproduction 
of more than 75,000 engines destined for the United Statesmarket for 
that model year, the minimum number of engines to be testedmay 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 
ofsmall SI engines destined for the United States market for that 
modelyear by 50,000, and round to the nearest whole number;
    (ii) Test five engines each from 25 percent of all engine 
familiescertified in that model year; and
    (iii) Test three engines each from 50 percent of all enginefamilies 
certified in that model year.
    (2) An engine manufacturer with total projected annual productionof 
75,000 engines or less destined for the United States market forthat 
model year may test a minimum of two engines.
    (c) Criteria for selecting test engines. An enginemanufacturer may 
select test engines from engine families utilizingthe following criteria 
and in the order specified:
    (1) Engine families using emission control technology which 
mostlikely 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 versusoverhead 
valve engines);
    (5) Engine families using emission control technology 
specificallyinstalled 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 notbeen 
included in prior model year in-use testing programs as requiredby these 
provisions.
    (d) Collection of in-use engines. An engine manufacturer mayprocure 
in-use engines which have been operated for between half andthree-
quarters of the engine's advertised (or projected) useful life.All 
testing may be completed within three years from the date thecertificate 
is first issued for an engine family undergoing in-usetesting.
    (1) Test engines may be procured from sources not associated withthe 
engine manufacturer or vehicle manufacturer, except that withprior 
approval of the Administrator, an engine manufacturer withannual sales 
of less than 50,000 engines may obtain in-use enginesassociated with 
itself or its vehicle manufacturer.
    (2) A test engine should have a maintenance history representativeof 
actual in-use conditions.
    (i) A manufacturer may question the end user regarding 
theaccumulated usage, maintenance, operating conditions, and storage 
ofthe test engines.
    (ii) Documents used in the procurement process may be maintainedas 
required in Sec. 90.121.
    (3) Maintenance and testing of test engines. (i) Themanufacturer may 
perform minimal set-to-spec maintenance on a testengine. Maintenance may 
include only that which is listed in theowner's instructions for engines 
with the amount of service and age ofthe acquired test engine.
    (ii) Documentation of all maintenance and adjustments may 
bemaintained and retained as required by Sec. 90.121.
    (4) One valid emission test may be conducted for each in-useengine.
    (5) If a selected in-use engine fails to comply with anyapplicable 
certification emission standard, the manufacturer maydetermine the 
reason for noncompliance. The manufacturer may reportall determinations 
for noncompliance in its annual in-use test resultreport as described 
below.
    (e) In-use test program reporting. The manufacturer maysubmit to the 
Administrator by January 30 of each calendar year allemission testing 
results generated from in-use testing. The followinginformation may be 
reported for each test engine:
    (1) Engine family;
    (2) Model;
    (3) Engine serial number;
    (4) Date of manufacture;

[[Page 191]]

    (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 toa 
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 manufacturea 
permanent and legible label identifying each nonroad engine. Thelabel 
must meet the following requirements:
    (1) Be attached in such a manner that it cannot be removed 
withoutdestroying or defacing the label;
    (2) Be durable and readable for the entire engine life;
    (3) Be secured to an engine part necessary for normal 
engineoperation 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 
personafter the engine is installed in the vehicle.
    (b) If the nonroad vehicle obscures the label on the engine, 
thenonroad vehicle manufacturer must attach a supplemental label so 
thatthis label is readily visible to the average person. The 
supplementallabel must:
    (1) Be attached in such a manner that it cannot be removed 
withoutdestroying or defacing the label;
    (2) Be secured to a vehicle part necessary for normal operationand 
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 enginemanufacturer;
    (3) The statement, ``This (specify vehicle or engine, asapplicable) 
is certified to operate on (specify operatingfuel(s));''
    (4) Identification of the Exhaust Emission Control 
System(Abbreviations may be used and must conform to the nomenclature 
andabbreviations provided in the Society of Automotive 
Engineersprocedure J1930, ``Electrical/Electronic Systems 
DiagnosticTerms, Definitions, Abbreviations and Acronyms,'' 
September1991. This procedure has been incorporated by reference. 
SeeSec. 90.7.);
    (5) All engine lubricant requirements;
    (6) Date of engine manufacture [day (optional), month and year];
    (7) The statement ``THIS ENGINE CONFORMS TO U.S. EPA REGSFOR [MODEL 
YEAR].'';
    (8) EPA standardized engine family designation;
    (9) Engine displacement [in cubic centimeters];
    (10) Other information concerning proper maintenance and use 
orindicating compliance or noncompliance with other standards may 
beindicated on the label;
    (11) For Phase 2 engines, the useful life category as determinedby 
the manufacturer pursuant to Sec. 90.105. Such usefullife category 
shall be shown by one of the following statements to beappended to the 
statement required under paragraph (c)(7) of thissection:
    (i) ``EMISSIONS COMPLIANCE PERIOD: [useful life]HOURS''; or
    (ii) ``EMISSIONS COMPLIANCE PERIOD: CATEGORY [fill in C, Bor A as 
indicated and appropriate from the tables inSec. 90.105], REFER TO 
OWNER'S MANUAL FOR FURTHERINFORMATION'';
    (d) If there is insufficient space on the engine (or on thevehicle 
where a supplemental label is required under paragraph (b) ofthis 
section) to accommodate a label including all the informationrequired in 
paragraph (c) of this section, the manufacturer may deleteor alter the 
label as indicated in this paragraph. The informationdeleted 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 specifiedelsewhere on 
the engine.
    (2) Exclude the information required by paragraph (c)(6) of 
thissection, if

[[Page 192]]

the date the engine was manufactured is stamped onthe engine.
    (e) The Administrator may, upon request, waive or modify the 
labelcontent 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 ofparagraph 
(c)(11)(ii) of this section must provide in the documentsintended to be 
conveyed to the ultimate purchaser, the statement:
    (1) For nonhandheld engines: The Emissions Compliance Periodreferred 
to on the Emissions Compliance label indicates the number ofoperating 
hours for which the engine has been shown to meet Federalemission 
requirements. For engines less than 66 cc, Category C=50hours, B=125 
hours, and A=300 hours. For engines equal to or greaterthan 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 referredto 
on the Emissions Compliance label indicates the number of operatinghours 
for which the engine has been shown to meet Federal 
emissionrequirements. Category C=50 hours, B=125 hours, and A=300 hours.
    (3) The manufacturer must provide, in the same document as 
thestatement in paragraph (f)(1) or (f)(2) of this section, a 
statementof the engine's displacement or an explanation of how to 
readilydetermine the engine's displacement. The Administrator may 
approvealternate language to the statement in paragraph (f)(1) or (f)(2) 
ofthis section, provided that the alternate language provides 
theultimate purchaser with a clear description of the number of 
hoursrepresented by each of the three letter categories for the 
subjectengine's displacement.
    (g) Stationary engines required by 40 CFR part 60, subpart JJJJ,to 
meet the requirements of this part 90 must meet the labelingrequirements 
of 40 CFR 60.4242.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15239, Mar.30, 1999; 65 
FR 24307, Apr. 25, 2000; 73 FR 3613, Jan. 18, 2008]



Sec. 90.115  Requirement of certification--supplying production enginesupon request.

    Upon the Administrator's request, the manufacturer must supply 
areasonable number of production engines for testing and 
evaluation.These engines must be representative of typical production 
andsupplied for testing at such time and place and for such 
reasonableperiods 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 
enginevalues and rounded to the nearest whole cubic centimeter in 
accordancewith ASTM E29-93a. This procedure has been incorporated 
byreference. See Sec. 90.7.
    (1) Class I-A--nonhandheld equipment engines less than 66 ccin 
displacement;
    (2) Class I-B--nonhandheld equipment engines greater than orequal to 
66 cc but less than 100 cc in displacement;
    (3) Class I--nonhandheld equipment engines greater than orequal to 
100 cc but less than 225 cc in displacement;
    (4) Class II--nonhandheld equipment engines greater than orequal to 
225 cc in displacement;
    (5) Class III--handheld equipment engines less than 20 cc 
indisplacement,
    (6) Class IV--handheld equipment engines equal or greaterthan 20 cc 
but less than 50 cc in displacement, and
    (7) Class V--handheld equipment engines equal to or greaterthan 50 
cc in displacement.
    (c) The manufacturer's product line will be divided into groupingsof 
engine families as specified by paragraph (d) of this section.
    (d) To be classed in the same engine family, engines must 
beidentical in all of the following applicable respects:
    (1) The combustion cycle;
    (2) The cooling mechanism;
    (3) The cylinder configuration (inline, vee, opposed, borespacings, 
and so forth);
    (4) The number of cylinders;
    (5) The engine class;
    (6) The location of valves, where applicable, with respect to 
thecylinder (e.g. side valves or overhead valves);

[[Page 193]]

    (7) The number of catalytic converters, location, volume 
andcomposition;
    (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 
therespects listed in paragraph (d) of this section may be 
furtherdivided into different engine families if the Administrator 
determinesthat they may be expected to have different emission 
characteristics.This determination is based upon the consideration of 
features suchas:
    (1) The bore and stroke;
    (2) The combustion chamber configuration;
    (3) The intake and exhaust timing method of actuation (poppetvalve, 
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 intoengine 
families based upon the criteria listed in paragraph (d) ofthis section, 
the Administrator will establish families for thoseengines based upon 
the features most related to their emissioncharacteristics.

[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 
eachengine family, a test engine that the manufacturer determines to 
bemost likely to exceed the emission standard. For Phase 2 engines, 
themanufacturer must select, from each engine family, a test engine of 
aconfiguration that the manufacturer determines to be most likely 
toexceed the HC+NOX (NMHC+NOX) Family 
EmissionLimit (FEL), or HC+NOX (NMHC+NOX) standard 
ifno FEL is applicable.
    (b) The test engine must be constructed to be representative 
ofproduction 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 ofdeterioration factors.

    (a)(1) The test engine must be operated with all emission 
controlsystems operating properly for a period sufficient to 
stabilizeemissions.
    (2) The period sufficient to stabilize emissions may not exceed 
12hours.
    (b) No maintenance, other than recommended lubrication and 
filterchanges, may be performed during service accumulation without 
theAdministrator's approval.
    (c) Service accumulation is to be performed in a manner using 
goodengineering judgment to ensure that emissions are representative 
ofproduction engines.
    (d) The manufacturer must maintain, and provide to theAdministrator 
if requested, records stating the rationale forselecting a service 
accumulation period less than 12 hours and recordsdescribing the method 
used to accumulate hours on the test engine(s).
    (e) For purposes of establishing whether Phase 2 engines complywith 
applicable exhaust emission standards or FELs, the test resultsfor each 
regulated pollutant as measured pursuant toSec. 90.119 shall be 
multiplied by the applicable dfdetermined under Sec. 90.104 (g) or (h). 
The product of thetwo numbers shall be rounded to the same number of 
decimal placescontained in the applicable standard, and compared against 
theapplicable 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 thetest engine 
using the specified test procedures and appropriate testcycle. All test 
results must be reported to the Administrator.
    (1) The test procedure to be used is detailed in Subpart E of 
thispart.

[[Page 194]]

    (i) Class I and II engines must use the test cycle that 
isappropriate for their application. Engines that operate only 
atintermediate speed must use Test Cycle A, which is described in Table2 
of Appendix A to subpart E of this part. Engines that operate onlyat 
rated speed must use Test Cycle B, which is described in Table 2 
ofAppendix A to subpart E of this part. If an engine family 
includesengines used in both rated-speed and intermediate-speed 
applications,the manufacturer must select the duty cycle that will 
result in worst-case emission results for certification. For any testing 
aftercertification, the engine must be tested using the most 
appropriatetest cycle based on the engine's installed governor.
    (ii) Class I-A, III, IV, and V engines must use Test Cycle 
Cdescribed in subpart E of this part.
    (2) Emission test equipment provisions are described in subpart Dof 
this part.
    (b) Administrator testing. (1) The Administrator may requirethat any 
one or more of the test engines be submitted to theAdministrator, at 
such place or places as the Administrator maydesignate, for the purposes 
of conducting emission tests. TheAdministrator may specify that testing 
will be conducted at themanufacturer's facility, in which case 
instrumentation and equipmentspecified by the Administrator must be made 
available by themanufacturer for test operations. Any testing conducted 
at amanufacturer's facility must be scheduled by the manufacturer 
aspromptly as possible.
    (2)(i) Whenever the Administrator conducts a test on a testengine, 
the results of that test will, unless subsequently invalidatedby the 
Administrator, comprise the official data for the engine andthe 
manufacturer's data will not be used in determining compliancewith 
emission standards.
    (ii) Prior to the performance of such test, the Administrator 
mayadjust or cause to be adjusted any adjustable parameter of the 
testengine which the Administrator has determined to be subject 
toadjustment for certification testing, to any setting within 
thephysically adjustable range of that parameter, to determine 
whethersuch engine conforms to applicable emission standards.
    (iii) For those engine parameters which the Administrator has 
notdetermined to be subject to adjustment for certification testing, 
thetest engine presented to the Administrator for testing will 
becalibrated within the production tolerances applicable to 
themanufacturer specification shown on the engine label or in the 
owner'smanual, as specified in the application for certification.
    (c) Use of carryover test data. In lieu of testing, themanufacturer 
may submit, with the Administrator's approval, emissiontest data used to 
certify substantially similar engine families inprevious years. This 
``carryover'' test data is onlyallowable if the data shows the test 
engine would fully comply withthe emission standards for the applicable 
class.
    (d) Scheduled maintenance during testing. No scheduledmaintenance 
may be performed during testing of the engine.
    (e) Unscheduled maintenance on test engines. (1)Manufacturers may 
not perform any unscheduled engine, emission controlsystem, or fuel 
system adjustment, repair, removal, disassembly,cleaning, or replacement 
on a test engine without the advance approvalof the Administrator.
    (2) The Administrator may approve unscheduled maintenance if:
    (i) A preliminary determination has been made that a part failureor 
system malfunction, or the repair of such failure or malfunction,does 
not render the engine unrepresentative of engines in use, anddoes not 
require direct access to the combustion chamber; and
    (ii) A determination has been made that the need for maintenanceor 
repairs is indicated by an overt malfunction such as persistentmisfire, 
engine stall, overheating, fluid leakage, or loss of oilpressure.
    (3) Emission measurements may not be used as a means ofdetermining 
the need for unscheduled maintenance under paragraph (e)(2) of this 
section.
    (4) The Administrator must have the opportunity to verify theextent 
of any overt indication of part failure (for example, misfire,stall), or 
an activation of an audible and/or visual signal, prior tothe 
manufacturer performing any

[[Page 195]]

maintenance related to such overtindication or signal.
    (5) Unless approved by the Administrator prior to use, 
enginemanufacturers may not use any equipment, instruments, or tools 
toidentify malfunctioning, maladjusted, or defective engine 
componentsunless the same or equivalent equipment, instruments, or tools 
areavailable at dealerships and other service outlets and are used 
inconjunction with scheduled maintenance on such components.
    (6) If the Administrator determines that part failure or 
systemmalfunction occurrence and/or repair rendered the 
engineunrepresentative of production engines, the engine cannot be used 
as atest engine.
    (7) Unless waived by the Administrator, complete emission testsare 
required before and after any engine maintenance which mayreasonably be 
expected to affect emissions.
    (f) Engine failure. A manufacturer may not use as a testengine any 
engine which incurs major mechanical failure necessitatingdisassembly of 
the engine. This prohibition does not apply to failureswhich occur after 
completion of the service accumulation period.

[60 FR 34598, July 3, 1995, as amended at 65 FR 24308, Apr.25, 2000; 70 
FR 40448, July 13, 2005]



Sec. 90.120  Certification procedure--use of special test procedures.

    (a) Use of special test procedures by EPA. The Administratormay 
establish special test procedures for any engine that theAdministrator 
determines is not susceptible to satisfactory testingunder the specified 
test procedures set forth in subpart E of thispart.
    (b)(1) Use of alternate test procedures by an enginemanufacturer. A 
manufacturer may elect to use an alternate testprocedure provided that 
it yields results equal to the results fromthe specified test procedure 
in subpart E, its use is approved inadvance by the Administrator, and 
the basis for equivalent resultswith the specified test procedure is 
fully described in themanufacturer's application.
    (2) An engine manufacturer electing to use alternate testprocedures 
is solely responsible for the results obtained. TheAdministrator may 
reject data generated under test procedures which donot correlate with 
data generated under the specified procedures.
    (3) [Reserved]
    (4) Where we specify mandatory compliance with the procedures of40 
CFR part 1065, manufacturers may elect to use the proceduresspecified in 
40 CFR part 86, subpart N, as an alternate test procedurewithout advance 
approval by the Administrator.
    (c) Optional procedures approved during Phase 1 can be carriedover 
to Phase 2, following advance approval by the Administrator, tothe 
extent the alternate procedure continues to yield results equal tothe 
results from the specified test procedures in subpart E of thispart.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15239, Mar.30, 1999; 70 
FR 40448, July 13, 2005]



Sec. 90.121  Certification procedure--recordkeeping.

    (a) The engine manufacturer must maintain the following 
adequatelyorganized records:
    (1) Copies of all applications filed with the Administrator;
    (2) A copy of all data obtained through the in-use testingprogram; 
and
    (3) A detailed history of each test engine used for 
certificationincluding the following:
    (i) A description of the test engine's construction, including 
ageneral description of the origin and buildup of the engine, stepstaken 
to insure that it is representative of production engines,description of 
components specially built for the test engine, and theorigin and 
description of all emission-related components;
    (ii) A description of the method used for engine 
serviceaccumulation, 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), andreason(s) for such maintenance;
    (iv) A description of all emission tests performed includingroutine 
and

[[Page 196]]

standard test documentation, as specified in subpartE of this part, 
date(s), and the purpose of each test;
    (v) A description of all tests performed to diagnose engine 
oremission control performance, giving the date and time of each and 
thereason(s) for the test; and
    (vi) A description of any significant event(s) affecting theengine 
during the period covered by the history of the test engine butnot 
described by an entry under one of the previous paragraphs of 
thissection.
    (b) Routine emission test data, such as those reporting test 
celltemperature and relative humidity at start and finish of test and 
rawemission results from each mode or test phase, must be retained for 
aperiod of one year after issuance of all certificates of conformity 
towhich they relate. All other information specified in paragraph (a) 
ofthis section must be retained for a period of eight years 
afterissuance of all certificates of conformity to which they relate.
    (c) Records may be kept in any format and on any media, 
providedthat, at the Administrator's request, organized, written records 
inEnglish are promptly supplied by the manufacturer.
    (d) The manufacturer must supply, at the Administrator's 
request,copies of any engine maintenance instructions or explanations 
issuedby the manufacturer.



Sec. 90.122  Amending the application and certificate of conformity.

    (a) The engine manufacturer must notify the Administrator wheneither 
an engine is to be added to a certificate of conformity, an FELis to be 
changed, or changes are to be made to a product line coveredby a 
certificate of conformity. Notification occurs when themanufacturer 
submits an amendment to the original application prior toeither 
producing such engines or making such changes to a productline.
    (b) The amendment must request that the engine 
manufacturer'sexisting certificate of conformity be amended and include 
thefollowing 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 testengine 
is or is not still appropriate.
    (c) The Administrator may require the engine manufacturer toperform 
tests on an engine representing the engine to be added orchanged.
    (d) Decision by Administrator. (1) Based on the submittedamendment 
and data derived from such testing as the Administrator mayrequire or 
conduct, the Administrator must determine whether theproposed addition 
or change would still be covered by the certificateof conformity then in 
effect.
    (2) If the Administrator determines that the new or changedengine(s) 
meets the requirements of this subpart and the Act, theappropriate 
certificate of conformity will be amended.
    (3) If the Administrator determines that the proposed amendmentwould 
not be covered by the certificate of conformity, theAdministrator must 
provide a written explanation to the enginemanufacturer of his or her 
decision not to amend the certificate. Themanufacturer may request a 
hearing on a denial.
    (4) If the Administrator determines that a revised FEL meets 
therequirements of this subpart and the Act, the appropriate 
certificateof conformity will be amended, or a new certificate will be 
issued toreflect the revised FEL. The certificate of conformity is 
revisedconditional upon compliance with Sec. 90.207(b).
    (e)(1) Alternatively, an engine manufacturer may make changes inor 
additions to production engines concurrently with amending 
theapplication for an engine family as set forth in paragraph (a) and 
(b)of this section. In these circumstances the manufacturer may 
implementthe production change without EPA pre-approval provided the 
requestfor change together with all supporting emission test data, 
relatedengineering evaluations, and other supporting documentation 
isreceived at EPA within three working days of implementing the 
change.Such changes

[[Page 197]]

are ultimately still subject to the provisions ofparagraphs (c) and (d) 
of this section.
    (2) If, after a review, the Administrator determines thatadditional 
testing or information is required, the engine manufacturermust provide 
required test data or information within 30 days or ceaseproduction of 
the affected engines.
    (3) If the Administrator determines that the affected engines donot 
meet applicable requirements, the Administrator will notify theengine 
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, 
theAdministrator determines that the test engine does not meet 
applicablestandards and requirements, the Administrator will notify 
themanufacturer in writing, setting forth the basis for 
thisdetermination.
    (b) Notwithstanding the fact that engines described in 
theapplication may comply with all other requirements of this 
subpart,the Administrator may deny the issuance of or revoke a 
previouslyissued certificate of conformity if the Administrator finds 
any one ofthe following infractions to be substantial:
    (1) The engine manufacturer submits false or incompleteinformation;
    (2) The engine manufacturer denies an EPA enforcement officer orEPA 
authorized representative the opportunity to conduct 
authorizedinspections;
    (3) The engine manufacturer fails to supply requested informationor 
amend its application to include all engines being produced;
    (4) The engine manufacturer renders inaccurate any test data whichit 
submits or otherwise circumvents the intent of the Act or thispart; or
    (5) The engine manufacturer denies an EPA enforcement officer orEPA 
authorized representative reasonable assistance (as defined inSec. 
90.506).
    (c) If a manufacturer knowingly commits an infraction specified 
inparagraph (b)(1) or (b)(4) of this section or knowingly commits 
anyfraudulent act which results in the issuance of a certificate 
ofconformity, the Administrator may deem such certificate void abinitio.
    (d) When the Administrator denies or revokes a certificate 
ofconformity, the engine manufacturer will be provided a 
writtendetermination. The manufacturer may request a hearing on 
theAdministrator's decision.
    (e) Any revocation of a certificate of conformity extends nofurther 
than to forbid the introduction into commerce of those enginespreviously 
covered by the certification which are still in thepossession of the 
engine manufacturer, except in cases of such fraudor other misconduct 
that makes the certification void ab initio.



Sec. 90.124  Request for hearing.

    (a) An engine manufacturer may request a hearing on 
theAdministrator's denial or revocation of a certificate of conformity.
    (b) The engine manufacturer's request must be filed within 30 daysof 
the Administrator's decision, be in writing, and set forth 
themanufacturer's objections to the Administrator's decision and data 
tosupport the objections.
    (c) If, after review of the request and supporting data, 
theAdministrator finds that the request raises a substantial and 
factualissue, the Administrator will provide the engine manufacturer 
ahearing.



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 anew 
engine or engine family subject to certification testing underthis 
subpart must admit or cause to be admitted to any applicablefacilities 
during operating hours any EPA enforcement officer or

[[Page 198]]

EPA authorized representative as provided inSec. 90.506.



    Subpart C_Certification Averaging, Banking, and TradingProvisions

    Source: 64 FR 15239, Mar. 30, 1999, unless otherwisenoted.



Sec. 90.201  Applicability.

    The requirements of this subpart C are applicable to all Phase 
2spark-ignition engines subject to the provisions of subpart A of 
thispart except as provided in Sec. 90.103(a). These provisionsare not 
applicable to any Phase 1 engines. Participation in theaveraging, 
banking and trading program is voluntary, but if amanufacturer elects to 
participate, it must do so in compliance withthe regulations set forth 
in this subpart. The provisions of thissubpart are applicable for 
HC+NOX (NMHC+NOX)emissions but not for CO 
emissions. To the extent specified in 40 CFRpart 60, subpart JJJJ, 
stationary engines certified under this partand subject to the standards 
of 40 CFR part 60, subpart JJJJ, mayparticipate in the averaging, 
banking, and trading program describedin this subpart.

[73 FR 3613, Jan. 18, 2008]



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 betweenengine 
families within a given manufacturer's product line.
    Banking means the retention of emission credits by themanufacturer 
generating the emission credits or obtaining such creditsthrough 
trading, for use in future model year averaging or trading aspermitted 
in this part.
    Emission credits represent the amount of emission reductionor 
exceedance, by an engine family, below or above the 
applicableHC+NOX (NMHC+NOX) emission 
standard,respectively. FELs below the standard create 
``positivecredits,'' while FELs above the standard create 
``negativecredits.'' In addition, ``projected credits'' referto emission 
credits based on the projected applicable productionvolume of the engine 
family. ``Reserved credits'' areemission credits generated within a 
model year waiting to be reportedto EPA at the end of the model year. 
``Actual credits''refer to emission credits based on actual applicable 
production volumeas contained in the end-of-year reports submitted to 
EPA. Some or allof these credits may be revoked if EPA review of the 
end-of-yearreports or any subsequent audit action(s) reveals problems or 
errorsof any nature with credit computations.
    Trading means the exchange of emission credits betweenmanufacturers.



Sec. 90.203  General provisions.

    (a) The certification averaging, banking, and trading provisionsfor 
HC+NOX and NMHC+NOX emissions fromeligible engines 
are described in this subpart.
    (b) An engine family may use the averaging, banking and 
tradingprovisions for HC+NOX and NMHC+NOX 
emissionsif it is subject to regulation under this part with certain 
exceptionsspecified in paragraph (c) of this section. HC+NOX 
andNMHC+NOX credits shall be interchangeable subject to 
thelimitations on credit generation, credit usage, and other 
provisionsdescribed in this subpart.
    (c) A manufacturer shall not include in its calculation of 
creditgeneration and may exclude from its calculation of credit usage, 
anynew engines:
    (1) Which are intended to be exported, unless the manufacturer 
hasreason or should have reason to believe that such engines have been 
orwill be imported in a piece of equipment; or
    (2) Which are subject to state engine emission standards pursuantto 
a waiver granted by EPA under section 209(e) of the Act, unless 
themanufacturer demonstrates to the satisfaction of the 
Administratorthat inclusion of these engines in averaging, banking and 
trading isappropriate.
    (d) For an engine family using credits, a manufacturer may, at 
itsoption, include its entire production of that engine family in 
itscalculation of credit usage for a given model year.
    (e) (1) A manufacturer may certify engine families at FamilyEmission

[[Page 199]]

Limits (FELs) above or below the applicable emissionstandard subject to 
the limitation in paragraph (f) of this section,provided the summation 
of the manufacturer's projected balance ofcredits from all calculations 
and credit transactions for all engineclasses in a given model year is 
greater than or equal to zero, asdetermined under Sec. 90.207. 
Notwithstanding the previoussentence, a manufacturer may project a 
negative balance of credits asallowed under Sec. 90.207(c)(2).
    (2) A manufacturer of an engine family with an FEL exceeding 
theapplicable emission standard must obtain positive emission 
creditssufficient to address the associated credit shortfall via 
averaging,banking, or trading.
    (3) A nonhandheld engine family with an FEL below the 
applicableemission standard may generate positive emission credits 
foraveraging, banking, or trading, or a combination thereof. A 
handheldengine family with an FEL below the applicable emission standard 
maygenerate positive emission credits for averaging or trading. 
Ahandheld engine family meeting the requirements ofSec. 90.205(a)(4) or 
(5), whichever is applicable, maygenerate 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 thefamily in question if the manufacturer elects to recertify to a 
higherFEL. Credits may not be used to remedy a nonconformity determined 
byan SEA, except that the Administrator may permit the use of credits 
toaddress a nonconformity determined by an SEA where the use of 
suchcredits is one component of a multi-part remedy for the 
previouslyproduced engines and the remedy, including the use of credits 
and thequantity of credits being used, is such that the Administrator 
issatisfied that the manufacturer has strong and lasting incentive 
toaccurately verify its new engine emission levels and will set or 
resetits FELs for current and future model years so that production 
linecompliance is assured.
    (5) In the case of a production line testing (PLT) failurepursuant 
to subpart H of this part, a manufacturer may revise the FELbased upon 
production line testing results obtained under subpart H ofthis part and 
upon Administrator approval pursuant toSec. 90.122(d). The manufacturer 
may use credits to coverboth past production and subsequent production 
of the engines asneeded as allowed under Sec. 90.207(c)(1).
    (f) No Phase 2 engine family may have a HC + NOX FELthat 
is greater than 32.2 g/kW-hr for Class I engines, 94 g/kW-hr forClass I-
A engines, 50 g/kW-hr for Class I-B engines, 26.8 g/kW-hr forClass II 
engines, 336 g/kW-hr for Class III engines, 275 g/kW-hr forClass IV 
engines, or 186 g/kW-hr for Class V engines.
    (g)(1) Credits generated in a given model year by an engine 
familysubject to the Phase 2 emission requirements may only be used 
inaveraging, banking or trading, as appropriate, for any other 
enginefamily for which the Phase 2 requirements are applicable. 
Creditsgenerated 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 
thatthe production weighted average FEL for HC+NOX 
(includingNMHC+NOX FELs), for all of the manufacturer's Class 
IIengines, will not exceed 13.6 g/kW-hr for the 2005 model year, 13.1g/
kW-hr for the 2006 model year and 12.6 g/kW-hr for the 2007 and 
eachsubsequent Phase 2 model year. Such demonstration shall be subject 
tothe review and approval of the Administrator, shall be provided at 
thetime of the first Class II certification of that model year and 
shallbe 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 
270days after the end of the model year. Except as provided inSec. 
90.207(c), an engine family generating negative creditsfor which the 
manufacturer does not obtain or generate an adequatenumber of positive 
credits by that date from the same or previousmodel year engines will 
violate the conditions of the certificate

[[Page 200]]

of conformity. The certificate of conformity may be voided abinitio 
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 
theapplicable emission standard must be offset by positive credits 
fromengine families having FELs below the applicable emission standard, 
asallowed under the provisions of this subpart. Averaging of credits 
inthis manner is used to determine compliance underSec. 90.207(b). A 
manufacturer may have a negative balanceof credits as allowed under 
Sec. 90.207(c)(2).
    (b) Cross-class averaging of credits is allowed across all classesof 
nonroad spark-ignition engines at or below 19 kW.
    (c) Credits used in averaging for a given model year may beobtained 
from credits generated in the same model year by anotherengine family, 
credits banked in previous model years, or credits ofthe same or 
previous model year obtained through trading subject tothe provisions of 
Sec. 90.205(a). Credits generated underthe previously available 
``Optional transition year averaging,banking, and trading program for 
Phase 2 handheld engines'' ofSec. Sec. 90.212 through 90.220, since 
repealed, may alsobe used in averaging. The restrictions of this 
paragraphnotwithstanding, credits from a given model year may be used 
toaddress credit needs of previous model year engines as allowed 
underSec. 90.207(c).
    (d) The use of credits generated under the early bankingprovisions 
of Sec. 90.205(b) is subject to regulations underthis 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 Iengine 
family with an FEL below the applicable emission standard for agiven 
model year may bank credits in that model year for use inaveraging and 
trading. For new Class I engine families initiallyproduced during the 
period starting August 1, 2003 through July 31,2007, a manufacturer of a 
Class I engine family with an FEL below theapplicable emission standard 
for a given model year may bank creditsin that model year for use in 
averaging and trading.
    (2) Beginning with the 2000 model year, a manufacturer of a ClassI-A 
or Class I-B engine family with an FEL below the applicableemission 
standard for a given model year may bank credits in thatmodel year for 
use in averaging and trading.
    (3) Beginning with the 2001 model year, a manufacturer of a ClassII 
engine family with an FEL below the applicable emission standardfor a 
given model year may bank credits in that model year for use inaveraging 
and trading.
    (4) For the 2002 model year, a manufacturer of a Class III orClass 
IV engine family may bank credits for use in future model yearaveraging 
and trading from only those Class III or Class IV enginefamilies with an 
FEL at or below 72 g/kW-hr. Beginning with the 2003model year, a 
manufacturer of a Class III or Class IV engine familywith an FEL below 
the applicable emission standard may generatecredits for use in future 
model year averaging and trading.
    (5) Beginning with the 2004 model year, a manufacturer of a ClassV 
engine family with an FEL below the applicable emission standard 
maygenerate credits for use in future model year averaging and trading.
    (6) Negative credits may be banked only according to therequirements 
under Sec. 90.207(c).
    (b)(1) For Class I engine families initially produced during 
theperiod 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 suchClass 
I engines shall be calculated against a HC + NOXlevel of 20.5 
g/kW-hr and may continue to be calculated against the20.5 g/kW-hr level 
until August 1, 2007.
    (2) Beginning with the 1999 model year and prior to the 
applicabledate listed in paragraph (a) of this section for Class II 
engines, amanufacturer may bank early credits for all Class II

[[Page 201]]

engines withHC+NOX FELs below 12.1 g/kW-hr. All early credits 
forClass II engines shall be calculated against a HC+NOXlevel 
of 18.0 g/kW-hr.
    (3) Beginning with the 2000 model year and prior to the 
applicabledate listed in paragraph (a) of this section for Class III 
engines, amanufacturer may bank early credits for all Class III engines 
withHC+NOX FELs below 72 g/kW-hr. All early credits for 
ClassIII engines shall be calculated against a HC+NOX level 
of238 g/kW-hr.
    (4) Beginning with the 2000 model year and prior to the 
applicabledate listed in paragraph (a) of this section for Class IV 
engines, amanufacturer may bank early credits for all Class IV engines 
withHC+NOX FELs below 72 g/kW-hr. All early credits for 
ClassIV engines shall be calculated against a HC+NOX level 
of196 g/kW-hr.
    (5) Beginning with the 2000 model year and prior to the 
applicabledate listed in paragraph (a) of this section for Class V 
engines, amanufacturer may bank early credits for all Class V engines 
withHC+NOX FELs below 87 g/kW-hr. All early credits for 
ClassV engines shall be calculated against a HC+NOX level 
of143 g/kW-hr.
    (6) Engines certified under the early banking provisions of 
thisparagraph are subject to all of the requirements of this 
partapplicable to Phase 2 engines.
    (c) A manufacturer may bank actual credits only after the end ofthe 
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 certificationprocess for 
banking will be considered reserved and may beredesignated for trading 
or averaging in the end-of-year report andfinal report.
    (d) Credits declared for banking from the previous model year 
thathave not been reviewed by EPA may be used in averaging or 
tradingtransactions. However, such credits may be revoked at a later 
timefollowing EPA review of the end-of-year report or any subsequent 
auditactions.

[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 withother 
engine manufacturers in trading, subject to the tradingrestriction 
specified in Sec. 90.207(c)(2).
    (b) Credits for trading can be obtained from credits banked 
inprevious model years or credits generated during the model year of 
thetrading transaction.
    (c) Traded credits can be used for averaging, banking, or 
furthertrading transactions, subject to Sec. 90.205(a).
    (d) Traded credits are subject to the limitations on use for 
pastmodel years, as set forth in Sec. 90.204(c).
    (e) In the event of a negative credit balance resulting from 
atransaction, both the buyer and the seller are liable, except in 
casesinvolving fraud. Certificates of all engine families participating 
ina negative trade may be voided ab initio pursuant toSec. 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 emissionstandards.

    (a) For each engine family, HC+NOX[NMHC+NOX] 
certification emission credits (positive ornegative) are to be 
calculated according to the following equation androunded to the nearest 
gram. Consistent units are to be usedthroughout the equation.

Credits = Productionx(Standard--FEL)xPowerxUseful lifexLoad Factor

Where:

Production = eligible production as defined in this part. 
Annualproduction projections are used to project credit availability 
forinitial certification. Eligible production volume is used 
indetermining actual credits for end-of-year compliance determination.
Standard = the current and applicable Small SI engineHC+NOX 
(NMHC+NOX) emission standard in gramsper kilowatt hour as 
determined in Sec. 90.103 or, for earlycredits, the applicable emission 
level as specified inSec. 90.205(b).
FEL = the family emission limit for the engine family in grams 
perkilowatt hour.
Power = the maximum modal power of the certification test engine,in 
kilowatts, as calculated from the applicable federal test procedureas 
described in this part.

[[Page 202]]

Useful Life = the useful life in hours corresponding to theuseful life 
category for which the engine family was certified.
Load Factor = 47 percent (i.e., 0.47) for Test Cycle A and TestCycle B, 
and 85 percent (i.e., 0.85) for Test Cycle C. For approvedalternate test 
procedures, the load factor must be calculatedaccording to the following 
formula:
[GRAPHIC] [TIFF OMITTED] TN05AP99.000

Where:

%MTT modei = percent of the maximum FTP torque formode i.
%MTS modei = percent of the maximum FTP enginerotational 
speed for mode i.
WF modei = the weighting factor for mode i.

    (b) Manufacturer compliance with the emission standards isdetermined 
on a corporate average basis at the end of each model year.A 
manufacturer is in compliance when the sum of positive and 
negativeemission credits it holds is greater than or equal to zero, 
exceptthat the sum of positive and negative credits may be less than 
zero asallowed under paragraph (c) of this section.
    (c)(1) If, as a result of production line testing as required 
insubpart H of this part, an engine family is determined to be 
innoncompliance pursuant to Sec. 90.710, the manufacturer mayraise its 
FEL for past and future production as necessary. Further, amanufacturer 
may carry a negative credit balance (known also as acredit deficit) for 
the subject class and model year and for the nextthree model years. The 
credit deficit may be no larger than thatcreated by the nonconforming 
family. If the credit deficit stillexists after the model year following 
the model year in which thenonconformity occurred, the manufacturer must 
obtain and apply creditsto offset the remaining credit deficit at a rate 
of 1.2 grams for eachgram of deficit within the next two model years. 
The provisions ofthis paragraph are subject to the limitations in 
paragraph (d) of thissection.
    (c)(2) For model years 2004 through 2007, an engine manufacturerwho 
certifies at least one Class V engine family in a given model yearmay 
carry forward a credit deficit for four model years, but must notcarry 
such deficit into the fifth year, provided the deficit isattributable to 
negative credits from its Class V engine families,subject to the 
following provisions:
    (i) Credit deficits are permitted for model years 2004 through2007 
but cannot occur for more than two consecutive model years for agiven 
manufacturer;
    (ii)(A) If an engine manufacturer calculates that it has a 
creditdeficit for a given model year, it must obtain sufficient credits 
fromengine families produced by itself or another manufacturer in a 
modelyear no later than the fourth model year following the model year 
forwhich it calculated the credit deficit. (Example: if a 
manufacturercalculates that it has a credit deficit for the 2004 model 
year, itmust obtain sufficient credits to offset that deficit from its 
ownproduction or that of other manufacturers' 2008 or earlier model 
yearengine families.);
    (B) An engine manufacturer carrying the deficit into the firstmodel 
year following the year in which it was generated must generateor obtain 
credits to offset that deficit and apply them to the deficitat a rate of 
1:1. An engine manufacturer carrying the deficit into thesecond and 
third model years must generate or obtain credits to offsetthat deficit 
and apply them to the deficit at a rate of 1.1:1(i.e., deficits carried 
into the second and third model yearmust be repaid with credits equal to 
110 percent of the deficit).Deficits carried into the fourth model year 
must be offset by creditsat a rate of 1.2:1 (i.e., 120 percent of the 
deficit);
    (iii) An engine manufacturer who has a credit deficit may usecredits 
from any class of spark-ignition nonroad engines at or below19 kilowatts 
generated or obtained through averaging, banking ortrading to offset the 
credit deficit; and,

[[Page 203]]

    (iv) An engine manufacturer must not bank credits for futureuse or 
trade credits to another engine manufacturer during a modelyear in which 
it has generated a deficit or into which it has carrieda deficit.
    (d) Regulations elsewhere in this part notwithstanding, if anengine 
manufacturer experiences two or more production line testingfailures 
pursuant to the regulations in subpart H of this part in agiven model 
year, the manufacturer may raise the FEL of previouslyproduced engines 
only to the extent that such engines represent nomore than 10 percent of 
the manufacturer's total eligible productionfor that model year, as 
determined on the date when the FEL isadjusted. For any additional 
engine families determined to be innoncompliance, the manufacturer must 
conduct offsetting projectsapproved 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 toSec. 
90.708(c).
    (f) Except as allowed at paragraph (c) of this section, when 
amanufacturer is not in compliance with the applicable emissionstandard 
by the date 270 days after the end of the model year,considering all 
credit calculations and transactions completed bythen, the manufacturer 
will be in violation of the regulations in thispart and EPA may, 
pursuant to Sec. 90.123, void abinitio the certificates of engine 
families for which themanufacturer has not obtained sufficient positive 
emission credits.
    (g) Credit deficits. (1) Manufacturers must offset any deficitsfor a 
given model year by the reporting deadline for the fourth modelyear 
following the model year in which the deficits were generated asrequired 
in paragraph (c)(2) of this section. Manufacturers may offsetdeficits by 
generating credits or acquiring credits generated byanother 
manufacturer.
    (2)(i) Failure to meet the requirements of paragraph (c)(2) ofthis 
section within the required timeframe for offsetting deficitswill be 
considered to be a failure to satisfy the conditions uponwhich the 
certificate(s) was issued and the individual noncomplyingengines not 
covered by the certificate must be determined according tothis section.
    (ii) If deficits are not offset within the specified time period,the 
number of engines which could not be covered in the calculation toshow 
compliance with the fleet average HC+NOX standard inthe model 
year in which the deficit occurred and thus are not coveredby the 
certificate must be calculated using the methodology describedin 
paragraph (g)(2)(iii) of this section.
    (iii) EPA will determine the engines for which the condition onthe 
certificate was not satisfied by designating engines in the ClassV 
engine family with the highest HC+NOX FELs first 
andcontinuing progressively downward through the Class V engine 
familiesuntil a number of engines having a credit need, as calculated 
underparagraph (a) of this section, equal to the remaining deficit 
isreached. If this calculation determines that only a portion of 
enginesin a Class V engine family contribute to the deficit situation, 
thenEPA will designate a subset of actual engines in that engine family 
asnot covered by the certificate, starting with the last engine 
producedand counting backwards. EPA may request additional information 
fromthe manufacturer that would help identify the actual engine 
notcovered by the certificate.
    (iv) In determining the engine count, EPA will calculate the massof 
credits based on the factors identified in paragraph (a) of thissection.
    (3) If a manufacturer is purchased by, merges with or 
otherwisecombines with another manufacturer, the manufacturer continues 
to beresponsible for offsetting any deficits outstanding within 
therequired time period. Any failure to offset the deficits will 
beconsidered to be a violation of paragraph (g)(1) of this section 
andmay subject the manufacturer to an enforcement action for sale 
ofengines not covered by a certificate, pursuant to paragraph (g)(2) 
ofthis section.
    (4) If a manufacturer that has a deficit ceases production 
ofhandheld engines, the manufacturer will be considered immediately 
inviolation of paragraph (g)(1) of this section and may be subject to 
anenforcement action for

[[Page 204]]

sale of engines not covered by acertificate, pursuant to paragraph 
(g)(2) of this section
    (5) For purposes of calculating the statute of limitations, 
aviolation of the requirements of paragraph (g)(1) of this section, 
afailure to satisfy the conditions upon which a certificate(s) wasissued 
and hence a sale of engines not covered by the certificate, alloccur 
upon the expiration of the deadline for offsetting deficitsspecified in 
paragraph (g)(1) of this section.

[64 FR 15239, Mar. 30, 1999; 64 FR 16526, Apr. 5, 1999, asamended 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 
isrequested will not, to the best of the manufacturer's belief, causethe 
manufacturer to be in noncompliance under Sec. 90.207(b)when all 
credits are calculated for the manufacturer's enginefamilies.
    (2) Declare an FEL for each engine family for 
HC+NOX(NMHC+NOX). The FEL must have the same 
number ofsignificant digits as the emission standard.
    (3) Indicate the projected number of credits generated/needed 
forthis family; the projected applicable eligible annual 
productionvolume, and the values required to calculate credits as given 
inSec. 90.207.
    (4) Submit calculations in accordance with Sec. 90.207of projected 
emission credits (positive or negative) based on annualproduction 
projections for each family.
    (5) (i) If the engine family is projected to have negativeemission 
credits, state specifically the source (manufacturer/enginefamily or 
reserved) of the credits necessary to offset the creditdeficit according 
to projected annual production.
    (ii) If the engine family is projected to generate credits, 
statespecifically (manufacturer/engine family or reserved) where 
theprojected annual credits will be applied.
    (iii) The manufacturer may supply the information required by 
thissection in the form of a spreadsheet detailing the 
manufacturer'sannual production plans and the credits generated or 
consumed by eachengine family.
    (b) All certificates issued are conditional upon 
manufacturercompliance with the provisions of this subpart both during 
and afterthe model year of production.
    (c) Failure to comply with all provisions of this subpart will 
beconsidered to be a failure to satisfy the conditions upon which 
thecertificate was issued, and the certificate may be determined to 
bevoid ab initio pursuant to Sec. 90.123.
    (d) The manufacturer bears the burden of establishing to 
thesatisfaction of the Administrator that the conditions upon which 
thecertificate was issued were satisfied or waived.
    (e) Projected credits based on information supplied in 
thecertification application may be used to obtain a certificate 
ofconformity. However, any such credits may be revoked based on reviewof 
end-of-year reports, follow-up audits, and any other verificationsteps 
considered appropriate by the Administrator.



Sec. 90.209  Maintenance of records.

    (a) The manufacturer must establish, maintain, and retain 
thefollowing adequately organized and indexed records for each 
enginefamily:
    (1) EPA engine family identification code;
    (2) Family Emission Limit (FEL) or FELs where FEL changes havebeen 
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 enginesthat 
constitute eligible production as defined in Sec. 90.3for each FEL.
    (b) Any manufacturer producing an engine family participating 
intrading reserved credits must maintain the following records on 
anannual 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 inSec. 
90.207;
    (4) The resulting type and number of credits generated/required;

[[Page 205]]

    (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 
bemaintained under this section for a period of eight years from the 
duedate for the end-of-model year report. Records may be retained as 
hardcopy or reduced to microfilm, ADP diskettes, and so forth, 
dependingon the manufacturer's record retention procedure; provided, 
that inevery case all information contained in the hard copy is 
retained.
    (d) Nothing in this section limits the Administrator's discretionin 
requiring the manufacturer to retain additional records, or 
submitinformation not specifically required by this section, if 
otherwisepermitted by law.
    (e) Pursuant to a request made by the Administrator, themanufacturer 
must submit to the Administrator the information that themanufacturer is 
required to retain.
    (f) EPA may, pursuant to Sec. 90.123, void abinitio a certificate 
of conformity for an engine family for whichthe manufacturer fails to 
retain the records required in this sectionor 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 tocalculate credits as given in Sec. 90.207, and the number 
ofcredits generated/required. Manufacturers must also submit how 
andwhere credit surpluses were dispersed (or are to be banked) and/or 
howand through what means credit deficits were met. Copies of 
contractsrelated to credit trading must be included or supplied by the 
broker,if applicable. The report must include a calculation of 
creditbalances to show that the credit summation for all engines is 
equal toor greater than zero (or less than zero in cases of negative 
creditbalances as permitted in Sec. 90.207(c)). For model year2005 and 
later, the report must include a calculation of theproduction weighted 
average HC+NOX (includingNMHC+NOX) FEL for Class 
II engine families to showcompliance with the provisions of Sec. 
90.203(g)(2).
    (b) The calculation of eligible production for end-of-year andfinal 
reports must be based on engines produced for the United Statesmarket, 
excluding engines which are subject to state emissionstandards pursuant 
to a waiver granted by EPA under section 209(e) ofthe Act. Upon advance 
written request, the Administrator will considerother methods to track 
engines for credit calculation purposes thatprovide high levels of 
confidence that eligible production or salesare accurately counted.
    (c)(1)End-of-year reports must be submitted within 90 days of theend 
of the model year to: Manager, Engine Compliance Programs Group(6403-J), 
U.S. Environmental Protection Agency, Washington, DC20460.
    (2) Unless otherwise approved by the Administrator, final 
reportsmust 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 
finalreports in the specified time for any engines subject to 
regulationunder this part is a violation of Sec. 90.1003(a)(2) 
andsection 213(d) of the Clean Air Act for each engine.
    (e) A manufacturer generating credits for banking only who failsto 
submit end-of-year reports in the applicable specified time period(90 
days after the end of the model year) may not use the creditsuntil such 
reports are received and reviewed by EPA. Use of projectedcredits 
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 correctedin the 
final report.
    (g) If EPA or the manufacturer determines that a reporting 
erroroccurred on an end-of-year or final report previously submitted to 
EPAunder this section, the manufacturer's credits and credit 
calculationsmust be recalculated. Erroneous positive credits will be 
void exceptas provided in paragraph (h) of this section. Erroneous 
negative

[[Page 206]]

credit balances may be adjusted by EPA.
    (h) If EPA review determines a reporting error in themanufacturer's 
favor (that is, resulting in an increased creditbalance) or if the 
manufacturer discovers such an error within 270days of the end of the 
model year, EPA shall restore the credits foruse by the manufacturer.



Sec. 90.211  Request for hearing.

    An engine manufacturer may request a hearing on theAdministrator's 
voiding of the certificate underSec. Sec. 90.203(h), 90.206(e), 
90.207(f), 90.208(c), or90.209(f), pursuant to Sec. 90.124. The 
procedures ofSec. 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 toperform 
exhaust emission tests on new nonroad spark-ignition enginesand vehicles 
subject to the provisions of subpart A of this part.Certain text in this 
subpart is identified as pertaining to Phase 1 orPhase 2 engines. Such 
text pertains only to engines of the specifiedPhase. If no indication of 
Phase is given, the text pertains to allengines, regardless of Phase.
    (b) Exhaust gases, either raw or dilute, are sampled while thetest 
engine is operated using a steady state test cycle on an 
enginedynamometer. The exhaust gases receive specific component 
analysisdetermining concentration of pollutant. Emission concentrations 
areconverted to mass emission rates in grams per hour based on 
eitherfuel flow, fuel flow and engine intake air flow, or exhaust 
volumeflow. Weighted emission rates are reported as grams per brake-
kilowatthour (g/kW-hr). See subpart E of this part for a complete 
descriptionof the test procedure.
    (c) Additional information about system design, 
calibrationmethodologies, and so forth, for raw gas sampling can be 
found in 40CFR part 1065. Examples for system design, calibration 
methodologies,and so forth, for dilute exhaust gas sampling can be found 
in 40 CFRpart 1065.
    (d) For Phase 2 Class I, Phase 2 Class I-B, and Phase 2Class II 
natural gas fueled engines, use the procedures of 40 CFR part1065 to 
measure nonmethane hydrocarbon (NMHC) exhaust emissions fromPhase 2 
Class I, Phase 2 Class I-B, and Phase 2 Class IInatural gas fueled 
engines.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15243, Mar.30, 1999; 65 
FR 24312, Apr. 25, 2000; 70 FR 40448, July 13, 2005]



Sec. 90.302  Definitions.

    The definitions in Sec. 90.3 apply to this subpart. Thefollowing 
definitions also apply to this subpart.
    Intermediate speed means the engine speed which is 85percent of the 
rated speed.
    Natural gas means a fuel whose primary constituent ismethane.
    Rated speed means the speed at which the manufacturerspecifies 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 tothis 
subpart.
    (b) The symbols in Table 1 in Appendix A of this subpart apply 
tothis subpart.



Sec. 90.304  Test equipment overview.

    (a) All engines subject to this subpart are tested for 
exhaustemissions. Engines are operated on dynamometers meeting 
thespecification given in Sec. 90.305.
    (b) The exhaust is tested for gaseous emissions using a raw 
gassampling system as described in Sec. 90.414 or a constantvolume 
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) 
absorptiontype for carbon monoxide and carbon dioxide analysis; 
paramagnetic(PMD), zirconia (ZRDO), or electrochemical type (ECS) for 
oxygenanalysis; a flame ionization (FID) or heated flame ionization 
(HFID)type for hydrocarbon analysis; and a chemiluminescent detector 
(CLD)or heated

[[Page 207]]

chemiluminescent detector (HCLD) for oxides of nitrogenanalysis.



Sec. 90.305  Dynamometer specifications and calibration accuracy.

    (a) Dynamometer specifications. The dynamometer test standand other 
instruments for measurement of speed and power output mustmeet the 
engine speed and torque accuracy requirements shown in Table2 in 
Appendix A of this subpart. The dynamometer must be capable ofperforming 
the test cycle described in Sec. 90.410.
    (b) Dynamometer calibration accuracy. (1) The dynamometertest stand 
and other instruments for measurement of power output mustmeet the 
calibration frequency shown in Table 2 in Appendix A of thissubpart.
    (2) A minimum of three calibration weights for each range used 
isrequired. The weights must be equally spaced and traceable to 
within0.5 percent of National Institute for Standards and Testing 
(NIST)weights. Laboratories located in foreign countries may 
certifycalibration 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 
adistance into a torque must be used in a horizontal position 
forhorizontal shaft dynamometers (five degrees). 
For verticalshaft dynamometers, a pulley system may be used to convert 
thedynamometer's horizontal loading into the vertical plane.
    (2) Calculate the indicated torque (IT) for each calibrationweight 
to be used by:

IT=Moment Arm (meters) x Calibration Weight (Newtons)

    (3) Attach each calibration weight specified inSec. 90.305(b)(2) to 
the moment arm at the calibrationdistance determined in paragraph (a)(2) 
of this section. Record thepower 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 thecalculated 
torque.
    (6) If the measured torque is not within two percent of 
thecalculated torque, adjust or repair the system. Repeat steps 
inparagraphs (a)(1) through (a)(6) of this section with the adjusted 
orrepaired system.
    (b) Option. A master load-cell or transfer standard may be used 
toverify the torque measurement system.
    (1) The master load-cell and read out system must be calibratedusing 
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 spacedtorque 
values as indicated by the master load-cell for each in-userange used.
    (4) The in-use torque measurement must be within two percent ofthe 
torque measured by the master system for each load used.
    (5) If the in-use torque is not within two percent of the 
mastertorque, 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 flywheeltorque 
transducer calibration, but may be used to span the transducerprior to 
engine testing.
    (d) Other engine dynamometer system calibrations such as speed 
areperformed as specified by the dynamometer manufacturer or as 
dictatedby good engineering practice.



Sec. 90.307  Engine cooling system.

    An engine cooling system is required with sufficient capacity 
tomaintain the engine at normal operating temperatures as prescribed 
bythe engine manufacturer. Auxiliary fan(s) may be used to 
maintainsufficient engine cooling during engine dynamometer operation.



Sec. 90.308  Lubricating oil and test fuels.

    (a) Lubricating oil. Use the engine lubricating oil whichmeets the 
engine manufacturer's specifications for a particular engineand intended 
usage.
    (1) Manufacturers must use engine lubricants representative 
ofcommercially available engine lubricants.

[[Page 208]]

    (2) For 2-stroke engines, the fuel/oil mixture ratio must bethat 
which is recommended by the manufacturer.
    (b) Test Fuels--Certification. (1) The manufacturermust use gasoline 
having the specifications, or substantiallyequivalent specifications 
approved by the Administrator, as specifiedin Table 3 in Appendix A of 
this subpart for exhaust emission testingof gasoline fueled engines. As 
an option, manufacturers may use thefuel specified in 40 CFR part 1065, 
subpart H, for gasoline-fueledengines.
    (2) Alternative fuels, such as natural gas, propane, and 
methanol,used for exhaust emission testing and service accumulation 
ofalternative fuel spark-ignition engines must be representative 
ofcommercially available alternative fuels.
    (i) The manufacturer shall recommend the alternative fuel to beused 
for certification testing and engine service accumulation inaccordance 
with paragraph (b)(3) of this section.
    (ii) The Administrator shall determine the alternative fuel to 
beused for testing and engine service accumulation, taking 
intoconsideration 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 toshow 
that only the designated fuel would be used in customer service;and
    (iii) Fuel specifications are approved in writing by 
theAdministrator prior to the start of testing.
    (c) Test fuels--service accumulation and aging.Unleaded gasoline 
representative of commercial gasoline generallyavailable through retail 
outlets must be used in service accumulationand aging for gasoline-
fueled spark-ignition engines. As analternative, the certification test 
fuels specified under paragraph(b) of this section may be used for 
engine service accumulation andaging. Leaded fuel may not be used during 
service accumulation oraging.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15243, Mar.30, 1999; 70 
FR 40448, July 13, 2005]



Sec. 90.309  Engine intake air temperature measurement.

    (a) The measurement location must be within 10 cm of the 
engineintake system (i.e., the air cleaner, for most engines.)
    (b) The temperature measurements must be accurate to within2 [deg]C.



Sec. 90.310  Engine intake air humidity measurement.

    This section refers to engines which are supplied with intake 
airother than the ambient air in the test cell (i.e., air which has 
beenpumped directly to the engine air intake system). For engines 
whichuse ambient test cell air for the engine intake air, the ambient 
testcell humidity measurement may be used.
    (a) Humidity conditioned air supply. Air that has had itsabsolute 
humidity altered is considered humidity-conditioned air. Forthis type of 
intake air supply, the humidity measurements must be madewithin the 
intake air supply system and after the humidityconditioning has taken 
place.
    (b) Unconditioned air supply. Humidity measurements inunconditioned 
intake air supply systems must be made in the intake airstream entering 
the supply system. Alternatively, the humiditymeasurements can be 
measured within the intake air supply stream.



Sec. 90.311  Test conditions.

    (a) General requirements. (1) Ambient temperature levelsencountered 
by the test engine throughout the test sequence may not beless than 20 
[deg]C or more than 30 [deg]C. All engines must beinstalled on the test 
bed at their design installation angle toprevent abnormal fuel 
distribution.
    (2) Calculate all volumes and volumetric flow rates at 
standardconditions for temperature and pressure, and use these 
conditionsconsistently throughout all calculations. Standard conditions 
fortemperature 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 theinlet to the engine and the dry atmospheric pressure (designated 
asps and expressed in kPa), and determine the parameter 
faccording to the

[[Page 209]]

following provisions for naturally aspiratedengines:
[GRAPHIC] [TIFF OMITTED] TR03JY95.009


For a certification test to be recognized as valid, theparameter 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. 
Theexpiration date stated by the gas supplier must be recorded.
    (b) Pure gases. The required purity of the gases is definedby the 
contamination limits specified in this subsection. Thefollowing gases 
must be available for operation:
    (1) Purified nitrogen, also refered to as ``zero-gradenitrogen'' 
(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 ``zeroair'' 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 valuesare to be 
derived from NIST ``Standard ReferenceMaterials'' (SRM's) and are to be 
single blends as specified inthis subsection.
    (2) Mixtures of gases having the following chemical compositionsmust 
be available:

C3 H8 and purified synthetic air and/
    orC3 H8 and purified nitrogen;
CO and purified nitrogen;
NOX and purified nitrogen (the amount ofNO2 
    contained in this calibration gas must not exceed fivepercent of the 
    NO content);
CO2 and purified nitrogen.

    Note: For the HFID or FID the manufacturer may choose to useas a 
diluent span gas and the calibration gas either purifiedsynthetic air or 
purified nitrogen. Any mixture of C3H8 and 
purified synthetic air which contains aconcentration of propane higher 
than what a gas supplier considers tobe safe may be substituted with a 
mixture of C3H8 and purified nitrogen. However, 
the manufacturer mustbe consistent in the choice of diluent (zero air or 
purified nitrogen)between the calibration and span gases. If a 
manufacturer chooses touse C3 H8 and purified 
nitrogen for thecalibration gases, then purified nitrogen must be the 
diluent for thespan gases.

    (3) The true concentration of a span gas must be withintwo percent of the NIST gas standard. The true 
concentrationof a calibration gas must be within one percent of the NISTgas standard. The use of 
precision blending devices (gas dividers) toobtain the required 
calibration gas concentrations is acceptable. Giveall concentrations of 
calibration gas on a volume basis (volumepercent or volume ppm).
    (4) The gas concentrations used for calibration and span may alsobe 
obtained by means of a gas divider, diluting either with 
purifiedN2 or with purified synthetic air. The accuracy of 
themixing device must be such that the concentration of the diluted 
gasesmay be determined to within two percent.
    (d) Oxygen interference check gases must contain propane with 
350ppmC 75 ppmC hydrocarbon. Determine the 
concentration valueto calibration gas tolerances by chromatographic 
analysis of totalhydrocarbons plus impurities or by dynamic blending. 
For gasolinefueled engines, oxygen contentration must be between 0 and 1 
percentO2. Nitrogen must be the predominant diluent with 
thebalance oxygen.
    (e) Fuel for the hydrocarbon flame ionization detector (HC-FID)must 
be a blend of 40 two percent hydrogen with the 
balancebeing helium. The mixture must contain less than one ppm 
equivalentcarbon response; 98 to 100 percent hydrogen fuel may be used 
withadvance approval of the Administrator.
    (f) Hydrocarbon analyzer burner air. The concentration ofoxygen must 
be within one mole percent of the oxygen concentration ofthe burner air 
used in the latest oxygen interference check (percentO2 I), 
see Sec. 90.316(d). If the difference inoxygen concentration is greater 
than one mole percent, then the oxygeninterference must be checked and, 
if necessary, the analyzer

[[Page 210]]

adjusted to meet the percent O2 I requirements. Theburner air 
must contain less than two ppmC hydrocarbon.



Sec. 90.313  Analyzers required.

    (a) Analyzers. Analyze measured gases with the followinginstruments:
    (1) Carbon monoxide (CO) analysis. (i) The carbon monoxideanalyzer 
shall be of the non-dispersive infrared (NDIR) absorptiontype.
    (ii) The use of linearizing circuits is permitted.
    (2) Carbon dioxide (CO2) analysis. (i) Thecarbon 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, 
thehydrocarbon analyzer shall be of the heated flame ionization 
(HFID)type. For constant volume sampling, the hydrocarbon analyzer may 
be ofthe flame ionization (FID) type or of the heated flame 
ionization(HFID) type.
    (ii) For the HFID system, if the temperature of the exhaust gas 
atthe 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 
walltemperature of 190 [deg]C 11 [deg]C. If the 
temperature ofthe exhaust gas at the sample probe is above 190 [deg]C, 
thetemperature of the valves, pipe work, and so forth, must be 
controlledso 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 continuousoperation at 
temperatures to 200 [deg]C. It must by capable ofmaintaining temperature 
within 5.5 [deg]C of the set point.
    (iv) Fuel and burner air must conform to the specifications inSec. 
90.312.
    (v) The percent of oxygen interference must be less than 
threepercent, 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 
NOconverter efficiency must be at least 90 percent.
    (B) An ice bath located after the NOX 
converter(optional).
    (C) A chemiluminescent detector (CLD) or heated 
chemiluminescentdetector (HCLD).
    (ii) The quench interference must be less than 3.0 percent 
asmeasured in Sec. 90.325.
    (b) Other analyzers and equipment. Other types of analyzersand 
equipment may be used if shown to yield equivalent results and 
ifapproved in advance by the Administrator.
    (c) The following requirements must be incorporated as indicatedin 
systems used for testing under this subpart.
    (1) Carbon monoxide and carbon dioxide measurements must be madeon a 
dry basis (for raw exhaust measurement only). Specificrequirements for 
the means of drying the sample can be found inSec. 90.313(e).
    (2) Calibration or span gases for the NOX 
measurementsystem must pass through the NO2 to NO converter.
    (d) The electromagnetic compatibility (EMC) of the equipment mustbe 
on a level as to minimize additional errors.
    (e) Gas drying. Chemical dryers are not an acceptable methodof 
removing water from the sample. Water removal by condensation 
isacceptable. If water is removed by condensation, the sample 
gastemperature or sample dew point must be monitored either within 
thewater trap or downstream and its temperature must not exceed 7[deg]C. 
A water trap performing this function is an acceptablemethod. Means 
other than condensation may be used only with priorapproval from the 
Administrator.



Sec. 90.314  Analyzer accuracy and specifications.

    (a) Measurement and accuracy--general. The analyzersmust have a 
measuring range which allows them to measure theconcentrations of the 
exhaust gas sample pollutants with theaccuracies shown in Table 2 in 
Appendix A of this subpart.
    (1) Precision. The precision of the analyzer must be, atworst, two 
percent of full-scale concentration for each range

[[Page 211]]

used. The precision is defined as 2.5 times the standarddeviation(s) of 
10 repetitive responses to a given calibration or spangas.
    (2) Noise. The analyzer peak-to-peak response to zero andcalibration 
or span gases over any 10-second period must not exceedtwo percent of 
full-scale chart deflection on all ranges used.
    (3) Zero drift. The analyzer zero-response drift during aone-hour 
period must be less than two percent of full-scale chartdeflection on 
the lowest range used. The zero-response is defined asthe mean response 
including noise to a zero-gas during a 30-secondtime interval.
    (4) Span drift. The analyzer span drift during a one-hourperiod must 
be less than two percent of full-scale chart deflection onthe lowest 
range used. The analyzer span is defined as the differencebetween the 
span-response and the zero-response. The span-response isdefined as the 
mean response including noise to a span gas during a30-second time 
interval.
    (b) Operating procedure for analyzers and sampling system.Follow the 
start-up and operating instructions of the instrumentmanufacturer or use 
good engineering practice. Adhere to the minimumrequirements given in 
Sec. Sec. 90.316 through 90.325 andSec. 90.409.
    (c) Emission measurement accuracy--Bag sampling. (1)Good engineering 
practice dictates that exhaust emission sampleanalyzer readings below 15 
percent of full-scale chart deflectionshould generally not be used.
    (2) Some high resolution read-out systems, such as computers, 
dataloggers, and so forth, can provide sufficient accuracy and 
resolutionbelow 15 percent of full scale. Such systems may be used 
provided thatadditional calibrations are made to ensure the accuracy of 
thecalibration curves. The following procedure for calibration below 
15percent of full scale may be used:

    Note to paragraph (c): If a gas divider is used, the gasdivider must 
conform to the accuracy requirements as follows. The useof precision 
blending devices (gas dividers) to obtain the requiredcalibration gas 
concentrations is acceptable, provided that theblended gases are 
accurate to within 1.5 percent of NIST 
gasstandards or other gas standards which have been approved by 
theAdministrator. This accuracy implies that primary gases used 
forblending must be ``named'' to an accuracy of at leastone percent, traceable to NIST or other approved 
gasstandards.

    (i) Span the full analyzer range using a top range calibrationgas. 
The span gases must be accurate to within two 
percent ofNIST gas standards or other gas standards which have been 
approved bythe Administrator.
    (ii) Generate a calibration curve according to, and meeting 
therequirements, of the sections describing analyzer calibrations 
whichare found in Sec. Sec. 90.316, 90.317, 90.318, and 90.320.
    (iii) Select a calibration gas (a span gas may be used 
forcalibrating the CO2 analyzer) with a concentration 
betweenthe two lowest non-zero gas divider increments. This gas must 
be``named'' to an accuracy of one percent of 
NISTgas standards or other standards approved by the Administrator.
    (iv) Using the calibration curve fitted to the points generated 
inparagraphs (c)(2) (i) and (ii) of this section, check theconcentration 
of the gas selected in paragraph (c)(2)(iii) of thissection. The 
concentration derived from the curve must be within2.3 percent (2.8 percent for 
CO2 spangas) of the gas's original named concentration.
    (v) Provided the requirements of paragraph (c)(2)(iv) of thissection 
are met, use the gas divider with the gas selected inparagraph 
(c)(2)(iii) of this section and determine the remainder ofthe 
calibration points. Fit a calibration curve perSec. Sec. 90.316, 
90.317, 90.318, and 90.320 of thischapter for the entire analyzer range.
    (d) Emission measurement accuracy--continuoussampling. Analyzers 
used for continuous analysis must be operatedsuch that the measured 
concentration falls between 15 and 100 percentof full-scale chart 
deflection. Exceptions to these limits are:
    (1) The analyzer's response may be less than 15 percent or morethan 
100 percent of full scale if automatic range change circuitry isused and 
the limits for range changes are between 15 and 100 percentof full-scale 
chart deflection;
    (2) The analyzer's response may be less than 15 percent of fullscale 
if:

[[Page 212]]

    (i) The alternative in paragraph (c)(2) of this section isused to 
ensure that the accuracy of the calibration curve ismaintained 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 
integratedchart deflection value for the cycle is greater than 15 
percent offull scale; or
    (iv) The contribution of all data read below the 15 percent levelis 
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 accordingto the 
recommendations of the manufacturer. If not specified, aminimum of two 
hours should be allowed for warming up the analyzers.
    (b) NDIR, FID, and HFID analyzer. Tune and maintain the NDIRanalyzer 
per the instrument manufacturer recommendations orspecifications or 
using good engineering practice. The combustionflame of the FID or HFID 
analyzer must be optimized in order to meetthe specifications in Sec. 
90.316(b).
    (c) Zero setting and calibration. Using purified syntheticair (or 
nitrogen), set the CO, CO2, NOX. andHC analyzers 
at zero. Connect the appropriate calibrating gases to theanalyzers and 
record the values. Use the same gas flow rates andpressure as when 
sampling exhaust.
    (d) Rechecking of zero setting. Recheck the zero settingand, if 
necessary, repeat the procedure described in paragraph (c) ofthis 
section.



Sec. 90.316  Hydrocarbon analyzer calibration.

    (a) Calibrate the FID and HFID hydrocarbon analyzer as describedin 
this section. Operate the HFID to a set point 5.5 
[deg]Cbetween 185 and 197 [deg]C.
    (b) Initial and periodic optimization of detector response.Prior to 
initial use and at least annually thereafter, adjust the FIDand HFID 
hydrocarbon analyzer for optimum hydrocarbon response asspecified in 
this paragraph. Alternative methods yielding equivalentresults may be 
used, if approved in advance by the Administrator.
    (1) Follow good engineering practices for initial instrumentstart-up 
and basic operating adjustment using the appropriate fuel(see Sec. 
90.312) and purified synthetic air or zero-gradenitrogen.
    (2) Use of one of the following procedures is required for FID 
orHFID optimization:
    (i) The procedure outlined in Society of Automotive Engineers(SAE) 
paper No. 770141, ``Optimization of a Flame IonizationDetector for 
Determination of Hydrocarbon in Diluted AutomotiveExhausts;'' author, 
Glenn D. Reschke. This procedure has beenincorporated by reference. See 
Sec. 90.7.
    (ii) The HFID optimization procedures outlined in 40 CFR part1065, 
subpart D.
    (iii) Alternative procedures may be used if approved in advance 
bythe Administrator.
    (3) After the optimum flow rates have been determined, record 
themfor future reference.
    (c) Initial and periodic calibration. Prior to initial useand 
monthly thereafter, or within one month prior to the certificationtest, 
the FID or HFID hydrocarbon analyzer must be calibrated on allnormally 
used instrument ranges using the steps in this paragraph. Usethe same 
flow rate and pressures as when analyzing samples. Introducecalibration 
gases directly at the analyzer. An optional method fordilute sampling 
described in 40 CFR part 1065, subpart F, may be used.
    (1) Adjust analyzer to optimize performance.
    (2) Zero the hydrocarbon analyzer with purified synthetic air 
orzero-grade nitrogen.
    (3) Calibrate on each used operating range with calibration 
gaseshaving nominal concentrations between 10 and 90 percent of that 
range.A minimum of six evenly spaced points covering at least 80 percent 
ofthe 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.

[[Page 213]]

 
10, 30, 50, 70, 90........................  No, though equally spaced
                                             and entirerange 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 ateach data point, 
calculate concentration values by use of a singlecalibration factor for 
that range. If the deviation exceeds twopercent at any point, use the 
best-fit non-linear equation whichrepresents the data to within two 
percent of each test point todetermine concentration.
    (d) Oxygen interference optimization. Prior to initial useand 
monthly thereafter, perform the oxygen interference optimizationas 
described in this paragraph. Choose a range where the oxygeninterference 
check gases will fall in the upper 50 percent. Conductthe test, as 
outlined in this paragraph, with the oven temperature setas required by 
the instrument manufacturer. Oxygen interference checkgas 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 percentof 
full scale repeat paragraphs (d)(1) and (d)(2) of this section tocorrect 
the problem.
    (4) Introduce the five percent and 10 percent oxygen 
interferencecheck gases.
    (5) Recheck the zero response. If it has changed by more thanone percent of full scale, repeat the test.
    (6) Calculate the percent of oxygen interference (designated 
aspercent O2 I) for each mixture in paragraph (d)(4) of 
thissection according to the following equation.
[GRAPHIC] [TIFF OMITTED] TR03JY95.010

Where:

A = hydrocarbon concentration (ppmC) of the span gas used inparagraph 
(d)(2) of this section.
B = hydrocarbon concentration (ppmC) of the oxygen interferencecheck 
gases used in paragraph (d)(4) of this section.

    (7) The percent of oxygen interference (designated as 
percentO2 I) must be less than three 
percent for allrequired 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'sspecifications, repeating paragraphs (d)(1) through (d)(7) 
of thissection for each flow.
    (9) If the oxygen interference is greater than the 
specificationafter adjusting the air flow, vary the fuel flow and 
thereafter thesample flow, repeating paragraphs (d)(1) through (d)(7) of 
thissection for each new setting.
    (10) If the oxygen interference is still greater than 
thespecifications, repair or replace the analyzer, FID fuel, or 
burnerair prior to testing. Repeat this section with the repaired 
orreplaced equipment or gases.

[60 FR 34598, July 3, 1995, as amended at 70 FR 40448, July13, 2005]

[[Page 214]]



Sec. 90.317  Carbon monoxide analyzer calibration.

    (a) Calibrate the NDIR carbon monoxide analyzer as described inthis 
section.
    (b) Initial and periodic interference. Prior to its initialuse and 
annually thereafter, check the NDIR carbon monoxide analyzerfor response 
to water vapor and CO2.
    (1) Follow good engineering practices for instrument start-up 
andoperation. Adjust the analyzer to optimize performance on the 
mostsensitive range to be used.
    (2) Zero the carbon monoxide analyzer with either purifiedsynthetic 
air or zero-grade nitrogen.
    (3) Bubble a mixture of three percent CO2 inN2 
through water at room temperature and record analyzerresponse.
    (4) An analyzer response of more than one percent of full scalefor 
ranges above 300 ppm full scale or more than three ppm on rangesbelow 
300 ppm full scale requires corrective action. (Use ofconditioning 
columns is one form of corrective action which may betaken.)
    (c) Initial and periodic calibration. Prior to its initialuse and 
monthly thereafter, or within one month prior to thecertification test, 
calibrate the NDIR carbon monoxide analyzer.
    (1) Adjust the analyzer to optimize performance.
    (2) Zero the carbon monoxide analyzer with either purifiedsynthetic 
air or zero-grade nitrogen.
    (3) Calibrate on each used operating range with carbon monoxide-in-
N2 calibration gases having nominal concentrationsbetween 10 
and 90 percent of that range. A minimum of six evenlyspaced points 
covering at least 80 percent of the 10 to 90 range (64percent) 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 rangecovered, a
                                             minimum of six points are
                                             needed.
------------------------------------------------------------------------


Additional calibration points may be generated. For each 
rangecalibrated, if the deviation from a least-squares best-fit 
straightline is two percent or less of the value at each data point, 
calculateconcentration values by use of a single calibration factor for 
thatrange. If the deviation exceeds two percent at any point, use 
thebest-fit non-linear equation which represents the data to within 
twopercent of each test point to determine concentration.



Sec. 90.318  Oxides of nitrogen analyzer calibration.

    (a) Calibrate the chemiluminescent oxides of nitrogen analyzer 
asdescribed in this section.
    (b) Initial and Periodic Interference: Prior to its initialuse and 
monthly thereafter, or within one month prior to thecertification test, 
check the chemiluminescent oxides of nitrogenanalyzer for NO2 
to NO converter efficiency. Figure 1 inAppendix 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 
andoperation. Adjust the analyzer to optimize performance.
    (2) Zero the oxides of nitrogen analyzer with purified syntheticair 
or zero-grade nitrogen.
    (3) Connect the outlet of the NOX generator to thesample 
inlet of the oxides of nitrogen analyzer which has been set tothe most 
common operating range.
    (4) Introduce into the NOX generator analyzer-systeman 
NO-in-nitrogen (N2) mixture with an NO concentrationequal to 
approximately 80 percent of the most common operating range.The 
NO2 content of the gas mixture must be less than fivepercent 
of the NO concentration.
    (5) With the oxides of nitrogen analyzer in the NO mode, recordthe 
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 
NOindicated by the analyzer is about 10 percent less than indicated 
inparagraph (b)(5) of this section. Record the concentration of NO 
inthis NO+O2 mixture as value ``c.''
    (7) Switch the NOX generator to the generation modeand 
adjust the generation rate so that the NO measured on

[[Page 215]]

theanalyzer is 20 percent of that measured in paragraph (b)(5) of 
thissection. 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 NOXmode 
and measure total NOX. Record this value as``a.''
    (9) Switch off the NOX generator but maintain gas 
flowthrough the system. The oxides of nitrogen analyzer will indicate 
theNOX in the NO+O2 mixture. Record this value 
as``b''.
    (10) Turn off the NOX generator O2 (orair) 
supply. The analyzer will now indicate the NOX in theoriginal 
NO-in-N2 mixture. This value should be no morethan five 
percent above the value indicated in paragraph (b)(4) ofthis section.
    (11) Calculate the efficiency of the NOX converter 
bysubstituting 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 
actionwill be required.
    (c) Initial and periodic calibration. Prior to its initialuse and 
monthly thereafter, or within one month prior to thecertification test, 
calibrate the chemiluminescent oxides of nitrogenanalyzer on all 
normally used instrument ranges. Use the same flowrate as when analyzing 
samples. Proceed as follows:
    (1) Adjust analyzer to optimize performance.
    (2) Zero the oxides of nitrogen analyzer with purified syntheticair 
or zero-grade nitrogen.
    (3) Calibrate on each normally used operating range with NO-in-
N2 calibration gases having nominal concentrations between10 
and 90 percent of that range. A minimum of six evenly spaced 
pointscovering at least 80 percent of the 10 to 90 range (64 percent) 
isrequired (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 rangecovered, a
                                             minimum of six points are
                                             needed.
------------------------------------------------------------------------


Additional calibration points may be generated. For each 
rangecalibrated, if the deviation from a least-squares best-fit 
straightline is two percent or less of the value at each data point, 
calculateconcentration values by use of a single calibration factor for 
thatrange. If the deviation exceeds two percent at any point, use 
thebest-fit non-linear equation which represents the data to within 
twopercent of each test point to determine concentration.
    (d) The initial and periodic interference, system check, 
andcalibration test procedures specified in 40 CFR part 1065, subpart 
D,may be used in lieu of the procedures specified in this section.

[60 FR 34598, July 3, 1995, as amended at 70 FR 40449, July13, 2005]



Sec. 90.319  NOX converter check.

    (a) The efficiency of the converter used for the conversion 
ofNO2 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 ofthis 
subpart (see also Sec. 90.318 of this chapter) and theprocedure 
described in paragraphs (a)(2) through (a)(8) of thissection, test the 
efficiency of converters by means of an ozonator.
    (2) Calibrate the HCLD or CLD in the most common operating 
rangefollowing the manufacturer's specifications using zero and span 
gas(the NO content of which must amount to about 80 percent of 
theoperating range and the NO2 concentration of the 
gasmixture less than five percent of the NO concentration). 
TheNOX analyzer must be in the NO mode so that the span 
gasdoes not pass through the converter. Record the 
indicatedconcentration.

[[Page 216]]

    (3) Calculate the efficiency of the NOX converteras 
described in Sec. 90.318(b).
    (4) Via a T-fitting, add oxygen continuously to the gas flow 
untilthe concentration indicated is about 20 percent less than 
theindicated calibration concentration given in paragraph (a)(2) of 
thissection. Record the indicated concentration ``c.'' Theozonator is 
kept deactivated throughout the process.
    (5) Activate the ozonator to generate enough ozone to bring the 
NOconcentration down to about 20 percent (minimum 10 percent) of 
thecalibration concentration given in paragraph (a)(2) of this 
section.Record the indicated concentration ``d.''

    Note: If, with the analyzer in the most common range, 
theNOX converter can not give a reduction from 80 percent 
to20 percent, then use the highest range which will give the reduction.

    (6) Switch the NO analyzer to the NOX mode which 
meansthat 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 
inparagraph (a)(6) of this section passes through the converter into 
thedetector. Record the indicated concentration ``b.''
    (8) Switched to NO mode with the ozonator deactivated, the flow 
ofoxygen or purified synthetic air is also shut off. The 
NOXreading of the analyzer may not deviate by more than 
fivepercent 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 
eachcalibration of the NOX analyzer.
    (c) The efficiency of the converter may not be less than 90percent.



Sec. 90.320  Carbon dioxide analyzer calibration.

    (a) Prior to its initial use and monthly thereafter, or within 
onemonth prior to the certification test, calibrate the NDIR 
carbondioxide analyzer as follows:
    (1) Follow good engineering practices for instrument start-up 
andoperation. Adjust the analyzer to optimize performance.
    (2) Zero the carbon dioxide analyzer with either purifiedsynthetic 
air or zero-grade nitrogen.
    (3) Calibrate on each normally used operating range with 
carbondioxide-in-N2 calibration or span gases having 
nominalconcentrations between 10 and 90 percent of that range. A minimum 
ofsix evenly spaced points covering at least 80 percent of the 10 to 
90range (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 rangecovered, a
                                             minimum of six points are
                                             needed.
------------------------------------------------------------------------


Additional calibration points may be generated. For each 
rangecalibrated, if the deviation from a least-squares best-fit 
straightline is two percent or less of the value at each data point, 
calculateconcentration values by use of a single calibration factor for 
thatrange. If the deviation exceeds two percent at any point, use 
thebest-fit non-linear equation which represents the data to within 
twopercent of each test point to determine concentration.
    (b) The initial and periodic interference, system check, 
andcalibration test procedures specified in 40 CFR part 1065, subparts 
Cand D, may be used in lieu of the procedures in this section.

[60 FR 34598, July 3, 1995, as amended at 70 FR 40449, July13, 2005]



Sec. 90.321  NDIR analyzer calibration.

    (a) Detector optimization. If necessary, follow theinstrument 
manufacturer's instructions for initial start-up and basicoperating 
adjustments.
    (b) Calibration curve. Develop a calibration curve for eachrange 
used as follows:
    (1) Zero the analyzer.
    (2) Span the analyzer to give a response of approximately 90percent 
of full-scale chart deflection.
    (3) Recheck the zero response. If it has changed more than 
0.5percent of full scale, repeat the steps given in

[[Page 217]]

paragraphs (b)(1) and (b)(2) of this section.
    (4) Record the response of calibration gases having 
nominalconcentrations between 10 and 90 percent of full-scale 
concentration.A minimum of six evenly spaced points covering at least 80 
percent ofthe 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 rangecovered, a
                                             minimum of six points are
                                             needed.
------------------------------------------------------------------------

    (5) Generate a calibration curve. The calibration curve must be 
offourth order or less, have five or fewer coefficients, and be of 
theform of the following equation (1) or (2). Include zero as a 
datapoint. Compensation for known impurities in the zero gas can be 
madeto the zero-data point. The calibration curve must fit the data 
pointswithin two percent of point or one percent of full scale, 
whichever isless.
[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 
thissection exists; or,
    (ii) The responses generated in paragraph (b)(4) of this sectionare 
within one percent of full scale or two percent of point,whichever is 
less, of the responses predicted by the calibration curvefor the gases 
used in paragraph (b)(4) of this section.
    (7) If multiple range analyzers are used, the lowest range usedmust 
meet the curve fit requirements below 15 percent of full scale.
    (c) Linear calibration criteria. If any range is within twopercent 
of being linear, a linear calibration may be used. Todetermine if this 
criterion is met:
    (1) Perform a linear least-square regression on the datagenerated. 
Use an equation of the form y=mx, where x is the actualchart 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 
(designatedas y).
    (3) Determine the linearity (designated as percent L) for 
eachcalibration gas by:
[GRAPHIC] [TIFF OMITTED] TR03JY95.012

    (4) The linearity criterion is met if the %L is less thantwo percent for each data point generated. For each 
emissiontest, use a calibration curve of the form Y=mx. The slope 
(designatedas 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 asrequired 
by the test equipment manufacturer or as necessary accordingto good 
engineering practice.



Sec. 90.323  Analyzer bench checks.

    (a) Prior to initial use and after major repairs, verify that 
eachanalyzer complies with the specifications given in Table 2 in 
AppendixA of this subpart.
    (b) If a stainless steel NO2 to NO converter is 
used,condition all new or replacement converters. The conditioning 
consistsof either purging the converter with air for a minimum of four 
hoursor until the converter efficiency is greater than 90 percent. The

[[Page 218]]

converter must be at operational temperature while purging. Donot 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 withinthe 
analysis system where a vacuum leak could affect the test results.
    (2) The maximum allowable leakage rate on the vacuum side is 
0.5percent of the in-use flow rate for the portion of the system 
beingchecked. The analyzer flows and bypass flows may be used to 
estimatethe in-use flow rates.
    (3) The sample probe and the connection between the sample probeand 
valve V2, see Figure 1 in Appendix B of subpart E of this part,may be 
excluded from the leak check.
    (b) Pressure-side leak check. Substantial leaks of thesample on the 
pressure side of the system may impact sample integrityif the leaks are 
of sufficient magnitude. As a safety precaution, goodengineering 
practice would require that manufacturers perform periodicpressure-side 
leak checks of the sampling system. The recommendedmaximum leakage rate 
on the pressure side is five percent of the in-use flow rate.

[60 FR 34598, July 3, 1995, as amended at 70 FR 40449, July13, 2005]



Sec. 90.325  Analyzer interference checks.

    (a) Gases present in the exhaust other than the one being 
analyzedcan interfere with the reading in several ways. Positive 
interferenceoccurs in NDIR and PMD instruments when the interfering gas 
gives thesame effect as the gas being measured, but to a lesser 
degree.Negative interference occurs in NDIR instruments by the 
interferinggas broadening the absorption band of the measured gas, and 
in CLDinstruments by the interfering gas quenching the radiation. 
Theinterference checks described in this section are to be made 
initiallyand after any major repairs that could affect analyzer 
performance.
    (b) CO analyzer water and CO2 interferencechecks. Bubble 
through water at room temperature a CO2span gas having a 
concentration of between 80 percent and 100 percentinclusive of full 
scale of the maximum operating range used duringtesting and record the 
analyzer response. For dry measurements, thismixture may be introduced 
into the sample system prior to the watertrap. The analyzer response 
must not be more than one percent of fullscale for ranges equal to or 
above 300 ppm or more than three ppm forranges below 300 ppm.
    (c) NOX analyzer quench check. The twogases of concern for CLD (and 
HCLD) analyzers are CO2 andwater vapor. Quench responses to 
these two gases are proportional totheir concentrations and, therefore, 
require test techniques todetermine quench at the highest expected 
concentrations experiencedduring testing.
    (1) NOX analyzer CO2 quenchcheck. (i) Pass a 
CO2 span gas having a concentrationof 80 percent to 100 
percent of full scale of the maximum operatingrange used during testing 
through the CO2 NDIR analyzerand record the value ``a.''
    (ii) Dilute the CO2 span gas approximately 50 percentwith 
NO span gas and pass through the CO2 NDIR and CLD (orHCLD). 
Record the CO2 and NO values as ``b''and ``c'' respectively.
    (iii) Shut off the CO2 and pass only the NO span 
gasthrough the CLD (or HCLD). Record the NO value as ``d.''
    (iv) Calculate the percent CO2 quench as follows, notto 
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)


[[Page 219]]


    (2) NOX analyzer water quench check.(i) This check 
applies to wet measurements only. An NO span gas havinga concentration 
of 80 percent to 100 percent of full scale of a normaloperating range is 
passed through the CLD (or HCLD) and the responserecorded as ``D''. The 
NO span gas is then bubbled throughwater at room temperature and passed 
through the CLD (or HCLD) and theanalyzer's response recorded as AR. 
Determine and record theanalyzer's absolute operating pressure and the 
bubbler watertemperature. (It is important that the NO span gas contains 
minimalNO2 concentration for this check. No allowance 
forabsorption of NO2 in water has been made in the 
followingquench calculations.)
    (ii) Calculations for water quench must consider dilution of theNO 
span gas with water vapor and scaling of the water vaporconcentration 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 waterconcentration (``Z1'', 
percent) in the mixture by thefollowing 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 
vapormixture concentration (designated as D1) by the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.015



Sec. 90.326  Pre- and post-test analyzer calibration.

    Calibrate only the range of each analyzer used during the 
engineexhaust emission test prior to and after each test in accordance 
withthe following:
    (a) Make the calibration by using a zero gas and a span gas. Thespan 
gas value must be between 75 and 100 percent of the highest rangeused.
    (b) Use the same analyzer(s) flow rate and pressure as that 
usedduring exhaust emission test sampling.
    (c) Warm-up and stabilize the analyzer(s) before the calibrationis 
made.
    (d) If necessary clean and/or replace filter elements 
beforecalibration is made.
    (e) Calibrate analyzer(s) as follows:
    (1) Zero the analyzer using the appropriate zero gas. Adjustanalyzer 
zero if necessary. Zero reading should be stable.
    (2) Span the analyzer using the appropriate span gas for the 
rangebeing calibrated. Adjust the analyzer to the calibration set point 
ifnecessary.
    (3) Re-check zero and span set points.
    (4) If the response of the zero gas or span gas differs more thanone 
percent of full scale at the highest range used, then repeatparagraphs 
(e)(1) through (3) of this section.

[60 FR 34598, July 3, 1995, as amended at 70 FR 40449, July13, 2005]



Sec. 90.327  Sampling system requirements.

    (a) Sample component surface temperature. For samplingsystems which 
use heated components, use engineering judgment tolocate the coolest 
portion of each component (pump, sample linesection, filters, and so 
forth) in the heated portion of the samplingsystem that has a separate 
source of power or heating element. Monitorthe temperature at that 
location. If several components are within anoven, then only the surface 
temperature of the component with thelargest thermal mass and the oven 
temperature need be measured.
    (b) If water is removed by condensation, monitor the sample 
gastemperature or sample dew point either within the water trap 
ordownstream. 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 
maximumtolerances shown in Table 2 in Appendix A of this subpart are 
notexceeded.
    (b) All equipment and analyzers must be calibrated according tothe 
frequencies shown in Table 2 in Appendix A of this subpart.
    (c) Prior to initial use and after major repairs, bench check 
eachanalyzer (see Sec. 90.323).

[[Page 220]]

    (d) Calibrate equipment as specified in Sec. 90.306and Sec. Sec. 
90.315 through 90.322.
    (e) At least monthly, or after any maintenance which could 
altercalibration, perform the following calibrations and checks.
    (1) Leak check the vacuum side of the system (seeSec. 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 
thespecifications in Table 2 in Appendix A of this subpart are met.
    (f) Verify that all NDIR analyzers meet the water rejection ratioand 
the CO2 rejection ratio as specified inSec. 90.325.
    (g) Verify that the dynamometer test stand and power 
outputinstrumentation meet the specifications in Table 2 in Appendix A 
ofthis subpart.



Sec. 90.329  Catalyst thermal stress test.

    (a) Oven characteristics. The oven used for thermallystressing the 
test catalyst must be capable of maintaining atemperature of 500 5 [deg]C and 1000 10 [deg]C.
    (b) Evaluation gas composition. (1) A synthetic exhaust gasmixture 
is used for evaluating the effect of thermal stress oncatalyst 
conversion efficiency.
    (2) The synthetic exhaust gas mixture must have the 
followingcomposition:

------------------------------------------------------------------------
                                                       Volume   Partsper
                     Constituent                       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 notrequired 
for engine families certified to the Phase 2 standards.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15243, Mar.30, 1999]



             Sec. Appendix A to Subpart D of Part90--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
                   balancecalculation.
FFD               Fuel specific factor for exhaust flow
                   calculationon dry basis.
FFH               Fuel specific factor representing the
                   hydrogen tocarbon ratio.
FFW               Fuel specific factor for exhaust flow
                   calculationon 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 testmode.
mass              Pollutant mass flow.....................  g/h
nd, i             Engine speed (average at the i'th         1/min
                   modeduring the cycle).
Ps                Dry atmospheric pressure................  kPa
Pd                Test ambient saturation vapor pressure    kPa
                   at ambienttemperature.
P                 Gross power output uncorrected..........  kW
PAUX              Declared total power absorbed by          kW
                   auxiliariesfitted for the test.
PM                Maximum power measured at the test speed  kW
                   undertest conditions.
Pi                Pi = PM, i +PAUX, i.....................
PB                Total barometric pressure (average of     kPa
                   the pre-testand post-test values).
Ra                Relative humidity of the ambient air....  percent
T                 Absolute temperature at air inlet.......  C

[[Page 221]]

 
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          N-m
                   duringthe cycle).
TSC               Temperature of the intercooled air......  C
Tref.             Reference temperature...................  C
VEXHD             Exhaust gas volume flow rate on drybasis  m\3\/h
VAIRW             Intake air volume flow rate on wetbasis.  m\3\/h
PB                Total barometric pressure...............  kPa
VEXHW             Exhaust gas volume flow rate on wetbasis  m\3\/h
WF                Weighing factor.........................
WFE               Effective weighing factor...............
------------------------------------------------------------------------


                             Table 2--MeasurementCalibration Accuracy and Frequency
----------------------------------------------------------------------------------------------------------------
                                            Permissibledeviation from reading *
    No.                Item           ----------------------------------------------     Calibrationfrequency
                                                Non-idle                 Idle
----------------------------------------------------------------------------------------------------------------
1.........  Engine speed.............  2 %  Same.............  Monthly or within one
                                                                                      monthprior to the
                                                                                      certification test.
2.........  Torque...................  2 %  .................  Monthly or within one month
                                                                                      prior tothe 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.............  Asrequired.
                                        [deg]C.
10........  Air inlet temperature      2[deg]C.
11........  Atmospheric pressure.....  0.5  Same.............  As required.
                                        %.
12........  Humidity (combustion air)  3.0  Same.............  Asrequired.
             (relative).                %.
13........  Fuel temperature.........  2    Same.............  As required.
                                        [deg]C.
14........  Temperature with regard    2[deg]C.
15........  Dilution air humidity....  3 %  Same.............  Asrequired.
                                        absolute.
16........  HC analyzer..............  2    Same.............  Monthly or within one
                                        %**.                                          monthprior to the
                                                                                      certification test.
17........  CO analyzer..............  2 %  Same.............  Monthly or withinone month
                                        **.                                           prior to the certification
                                                                                      test.
18........  NOX analyzer.............  2%   Same.............  Monthly or within one month
                                        **.                                           prior to thecertification
                                                                                      test.
19........  NOX converter check......  90 %.....................  Same.............  Monthly or withinone month
                                                                                      prior to the certification
                                                                                      test.
20........  CO2 analyzer.............  2%   Same.............  Monthly or within one month
                                        **.                                           prior to thecertification
                                                                                      test.
----------------------------------------------------------------------------------------------------------------
* All accuracy requirements pertain to the final recordedvalue which is inclusive of the data acquisition
  system.
** If reading is under 100 ppm then the accuracy shall be2 ppm.


                                        Table 3--Test FuelSpecifications
----------------------------------------------------------------------------------------------------------------
                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
                                                                                            D2700-92
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

[[Page 222]]

 
Olefins, %..........................  9.2......................  4.0  D 1319-89
Saturates, %........................  Remainder................  .........................  D 1319-89
----------------------------------------------------------------------------------------------------------------
\1\ All ASTM procedures in this table have been incorporatedby reference. See Sec.  90.7.


[[Page 223]]



             Sec. Appendix B to Subpart D of Part90--Figures

[GRAPHIC] [TIFF OMITTED] TC01MR92.085


[[Page 224]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.086


[[Page 225]]





                Subpart E_Gaseous Exhaust Test Procedures



Sec. 90.401  Applicability.

    (a) This subpart describes the procedures to follow in order 
toperform exhaust emission tests on new nonroad spark-ignition 
enginesand vehicles subject to the provisions of subpart A of part 
90.Provisions specific to raw gas sampling are in Sec. 90.414through 
Sec. 90.419, provisions specific to constant volumesampling are in 
Sec. 90.420 through Sec. 90.426.All other sections in this subpart 
apply to both raw gas sampling andconstant volume sampling except where 
indicated otherwise.
    (b) Requirements for emission test equipment and calibrating 
thisequipment are found in subpart D of this part.
    (c) Certain text in this subpart is identified as pertaining toPhase 
1 or Phase 2 engines. Such text pertains only to engines of thespecified 
Phase. If no indication of Phase is given, the text pertainsto all 
engines, regardless of Phase.
    (d) For Phase 2 Class I, Phase 2 Class I-B, and Phase 2Class II 
natural gas fueled engines, use the equipment specified in 40CFR part 
1065, subparts D and E, to measure nonmethane hydrocarbon(NMHC) exhaust 
emissions from Phase 2 Class I, Phase 2 ClassI-B, and Phase 2 Class II 
natural gas fueled engines.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15244, Mar.30, 1999; 65 
FR 24312, Apr. 25, 2000; 70 FR 40449, July 13, 2005]



Sec. 90.402  Definitions.

    The definitions in Sec. 90.3, Sec. 90.101, andSec. 90.302 apply 
to this subpart.



Sec. 90.403  Symbols, acronyms, and abbreviations.

    (a) The acronyms and abbreviations in Sec. 90.5 apply tothis 
subpart.
    (b) The symbols in Table 1 in Appendix A to Subpart D apply tothis 
subpart.



Sec. 90.404  Test procedure overview.

    (a) The test consists of prescribed sequences of engine 
operatingconditions to be conducted on an engine dynamometer or 
equivalent loadand speed measurement device. The exhaust gases generated 
duringengine operation are sampled either raw or dilute and 
specificcomponents are analyzed through the analytical system.
    (b) The test is designed to determine the brake-specific emissionsof 
hydrocarbons, carbon monoxide, carbon dioxide, and oxides ofnitrogen and 
fuel consumption. For Phase 2 Class I-B, Class I, andClass II natural 
gas fueled engines the test is also designed todetermine the brake-
specific emissions of non-methane hydrocarbons.The test consists of 
three different test cycles which are applicationspecific for engines 
which span the typical operating range of nonroadspark-ignition engines. 
Two cycles exist for Class I-B, I and IIengines and one is for Class I-
A, III, IV, and V engines (seeSec. 90.103(a) and Sec. 90.116(b) for 
thedefinitions of Class I-A, I-B, and I--V engines). The testcycles for 
Class I-B, I, and II engines consist of one idle mode andfive power 
modes at one speed (rated or intermediate). The test cyclefor Class I-A, 
III, IV, and V engines consists of one idle mode atidle speed and one 
power mode at rated speed. These procedures requirethe determination of 
the concentration of each pollutant, fuel flow,and the power output 
during each mode. The measured values areweighted and used to calculate 
the grams of each pollutant emitted perbrake kilowatt hour (g/kW-hr).
    (c)(1) When an engine is tested for exhaust emissions the 
completeengine must be tested, with all emission control devices 
installed andfunctioning.
    (2) On air cooled engines, the cooling fan must be installed. 
Forengines whose cooling fan serves a dual purpose, such as an airpump/
blower, an external fan may be used to provide the engine withcooling 
air and the original cooling fan may be removed.
    (d) All emission control systems installed on or incorporated inthe 
application must be functioning during all procedures in thissubpart. In 
case of component malfunction or failure, no maintenanceis allowed 
without prior approval from the Administrator, inaccordance 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]

[[Page 226]]



Sec. 90.405  Recorded information.

    (a) Record the information described in this section for eachtest, 
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 priorto 
beginning the warm-up portion of the test (to the nearest tenthhour).
    (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 asthis 
information is traceable, it may be summarized by system numberor 
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 
bemeasured 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 segmentzero 
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 theassociated 
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 
flowmeasurement is not required for dilute testing, but is allowed. If 
thefuel flow measurement is a volume measurement system, record the 
fueltemperature in the measurement system for fuel density corrections 
tothe mass flow rate. If the fuel temperature is within 3 [deg]C of 
thecalibration 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.
    (e) Test data; post-test. (1) Recorder chart or equivalent.Identify 
the hang-up check.
    (2) Recorder chart or equivalent. Identify the zero traces foreach 
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.

[60 FR 34598, July 13, 1995, as amended at 70 FR 40449, July13, 2005]



Sec. 90.406  Engine parameters to be measured and recorded.

    Measure or calculate, then record the engine parameters in Table 1in 
Appendix A of this subpart.



Sec. 90.407  Engine inlet and exhaust systems.

    (a) The engine manufacturer is liable for exhaust emissioncompliance 
over the full range of air inlet filter systems and exhaustmuffler 
systems.
    (b) The air inlet filter system and exhaust muffler 
systemcombination used on the test engine must be the systems expected 
toyield 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 manufacturerfor exhaust 
emission stabilizing of an engine, consistent with goodengineering 
practice (see Sec. 90.118).
    (1) The manufacturer determines, for each engine family, thenumber 
of hours at which the engine exhaust emission control systemcombination 
is stabilized for emission testing. However, thisstabilization procedure 
may not exceed 12 hours. The manufacturer mustmaintain, and provide to 
the Administrator upon request, a record ofthe rationale used in making 
this determination. If the manufacturercan document that at some time 
prior to the full 12 hour serviceaccumulation

[[Page 227]]

period the engine emissions are decreasing for theremainder of the 12 
hours, the service accumulation may be completedat that time. The 
manufacturer may elect to accumulate 12 hours oneach test engine within 
an engine family without making thisdetermination.
    (2) During service accumulation, the fuel and lubricants specifiedin 
Sec. 90.308 must be used.
    (3) Engine maintenance during service accumulation is allowed onlyin 
accordance with Sec. 90.118.
    (b) Engine pre-test preparation. (1) Drain and charge thefuel 
tank(s) with the specified test fuel (seeSec. 90.308(b)) to 50 percent 
of the tank's nominalcapacity. If an external fuel tank is used, the 
engine fuel inletsystem pressure must be typical of what the engine will 
see in use.
    (2) An evaluation of the effects of test measurement systems 
onengine emissions shall be conducted using good engineering judgment 
toensure that such test systems do not significantly impact 
exhaustemissions from the engine. For example, this would require 
evaluationof all types of emission sampling systems, and of fuel- and 
air-flowmeasurement systems for raw sampling. This can be accomplished 
byoperating the engine at the highest engine torque value that will 
beencountered on the test cycle before and after such test systems 
areinstalled to ensure that the impact on measured torque is less than 
5percent. This may also be accomplished by measuring air-to-fuel 
ratiousing a zirconia universal exhaust gas oxygen (UEGO) sensor to 
ensurethat the impact on measured air-to-fuel ratio is less than 5 
percentat the highest engine torque value that will be encountered on 
thetest cycle before and after such test systems are installed. 
Theimpact of air- and fuel-flow measurement systems may be 
evaluatedbased on an engineering analysis of the impact of the change 
inpressure induced on air-intake pressure and fuel supply pressure 
bythese measurement systems. While this would typically be done 
beforetesting, it may also be done as a post-test verification.
    (c) Analyzer pre-test procedures. (1) If necessary, warm upand 
stabilize the analyzer(s) before calibrations are performed.
    (2) Replace or clean the filter elements and then leak check 
thesystem as required by Sec. 90.324(a). If necessary, allowthe heated 
sample line, filters, and pumps to reach operatingtemperature.
    (3) Perform the following system checks:
    (i) If necessary, check the sample-line temperature. Heated 
FIDsample line temperature must be maintained between 110 [deg]C and 
230[deg]C; a heated NOX sample line temperature must 
bemaintained between 60 [deg]C and 230 [deg]C.
    (ii) Check that the system response time has been accounted forprior 
to sample collection data recording.
    (iii) A HC hang-up check is permitted (seeSec. 90.413(e)).
    (4) Check analyzer zero and span before and after each test at 
aminimum. Further, check analyzer zero and span any time a range 
changeis made or at the maximum demonstrated time span for stability 
foreach 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; 70 
FR 40449, July 13, 2005]



Sec. 90.409  Engine dynamometer test run.

    (a) Engine and dynamometer start-up. (1) Only adjustments 
inaccordance with Sec. 90.119 may be made to the test engineprior to 
starting a test.
    (2) If necessary, warm up the dynamometer as recommended by 
thedynamometer manufacturer or use good engineering practice.
    (3) For Phase 1 engines, at the manufacturer's option, the enginecan 
be run with the throttle in a fixed position or by using theengine's 
governor (if the engine is manufactured with a governor). Ineither case, 
the engine speed and load must meet the requirementsspecified 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 anengine speed governor, 
the governor must be used to control enginespeed during all test cycle 
modes except for Mode 1 or Mode 6, and noexternal throttle control may

[[Page 228]]

be used that interferes with thefunction of the engine's governor; a 
controller may be used to adjustthe governor setting for the desired 
engine speed in Modes 2-5or Modes 7-10; and during Mode 1 or Mode 6 
fixed throttleoperation 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 inSec. 90.405(b).
    (2) Precondition the engine in the following manner;
    (i) Operate the engine at a power greater than or equal to 50percent 
maximum power at the appropriate speed (rated or intermediate)for 20 
minutes;
    (ii) Option. If the engine has been operating on serviceaccumulation 
for a minimum of 40 minutes, the service accumulation maybe substituted 
for step (i).
    (3) Record all pre-test data specified inSec. 90.405(c).
    (4) Start the test cycle (see Sec. 90.410) within fiveminutes of 
the completion of the steps required by paragraph (b)(2) ofthis section.
    (5) Modes are to be performed in the numerical order specified 
forthe appropriate test cycle (see ``Mode Points'' Table 2 inAppendix A 
of this subpart).
    (6) For Class I, I-B, and II engines, during the maximum torquemode 
calculate the torque corresponding to 75, 50, 25, and 10 percentof the 
maximum observed torque (see Table 2 in Appendix A to thissubpart).
    (7) Once engine speed and load are set for a mode, run the enginefor 
a sufficient period of time to achieve thermal stability. At 
themanufacturer's option, determine and document the 
appropriatecriterion for thermal stability for each engine family. If 
themanufacture chooses not to make this determination, an 
acceptablealternative is to run the engine at each mode until the 
cylinder headtemperature remains within a 10 [deg]C bandwidth for three 
minutes.Cylinder head temperature may be measured at the base of the 
sparkplug. After stability is achieved, emission measurements 
areinitiated.
    (8) Record all modal data specified in Sec. 90.405(d)for a minimum 
time period of the last two minutes of each mode. Longeraveraging 
periods are acceptable, but the data averaged must be from acontinuous 
time period. The duration of time during which this data isrecorded is 
referred to as the ``sampling period.'' Thedata collected during the 
sampling period is used for modal emissioncalculations.
    (9) Continuously record the analyzer's response to the exhaust 
gasduring each mode.
    (10) Modes may be repeated.
    (11) If a delay of more than one hour occurs between the end ofone 
mode and the beginning of another mode, the test is void and mustbe 
restarted at paragraph (b)(1) of this section.
    (12) The engine speed and load must be maintained within 
therequirements of Sec. 90.410 during the sampling period ofeach mode. 
If this requirement is not met, the mode is void and mustbe restarted.
    (13) If at any time during a mode the test equipment malfunctionsor 
the specifications in Sec. 90.410 can not be met, thetest is void and 
must be aborted. Corrective action should be takenand 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 thesteps required by paragraph (b)(6) of this section. If the 
engine willnot restart within five minutes the test is void. If 
maintenance isrequired on the engine, advance approval from the 
Administrator isrequired as specified in Sec. 90.119. After 
correctiveaction is taken, the engine may be rescheduled for testing. 
Report thereason for the malfunction (if determined) and the corrective 
actiontaken.
    (15) Fuel flow and air flow during the idle condition may 
bedetermined just prior to or immediately following the 
dynamometersequence, if longer times are required for accurate 
measurements. Ifthe dilute sampling method (Constant Volume Sampling) is 
used, neitherfuel flow nor air flow measurements are required.
    (c) Exhaust gas measurements. (1) Measure HC, CO,CO2, and 
NOX concentration in the exhaustsample.
    (2) Each analyzer range that may be used during a test mode musthave 
the

[[Page 229]]

zero and span responses recorded prior to the start ofthe test. Only the 
range(s) used to measure the emissions during thetest is required to 
have its zero and span recorded after thecompletion of the test. 
Depending on the stability of each individualanalyzer, more frequent 
zero checks or spans between modes may benecessary.
    (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 (seeSec. 90.413).
    (6) If, during the emission measurement portion of a mode, thevalue 
of the gauges downstream of the NDIR analyzer(s) G3 or G4 (seeFigure 1 
in Appendix B of this subpart), differs by more than0.5kPa 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; 70 FR 40449, July 13, 2005]



Sec. 90.410  Engine test cycle.

    (a) Follow the appropriate 6-mode test cycle for Class I, I-B andII 
engines and 2-mode test cycle for Class I-A, III, IV, and V engineswhen 
testing spark-ignition engines (see Table 2 in Appendix A of 
thissubpart).
    (b) For Phase 1 engines and Phase 2 Class I-A, III, IV, and V, 
andPhase 2 Class I and II engines not equipped with an engine 
speedgovernor, during each non-idle mode, hold both the specified speed 
andload within five percent of point. During the 
idle mode, holdspeed within ten percent of the 
manufacturer's specified idleengine speed. For Phase 2 Class I, I-B, and 
II engines equipped withan engine speed governor, during Mode 1 or Mode 
6 hold both thespecified speed and load within five percent of point, duringModes 2-3, or Modes 7-8 
hold the specified load withfive percent of point, 
during Modes 4-5 or Modes9-10, hold the specified load within the larger 
range providedby 0.27 Nm (0.2 lb-ft), or ten (10) percentof 
point, and during the idle mode hold the specified speed withinten percent of the manufacturer's specified idle engine 
speed(see Table 1 in Appendix A of this subpart for a description of 
testModes). The use of alternative test procedures is allowed if 
approvedin advance by the Administrator.
    (c) If the operating conditions specified in paragraph (b) of 
thissection for Class I, I-B, and II engines using Mode Points 2, 3, 
4,and 5 cannot be maintained, the Administrator may authorize 
deviationsfrom the specified load conditions. Such deviations may not 
exceed 10percent of the maximum torque at the test speed. The 
minimumdeviations, above and below the specified load, necessary for 
stableoperation shall be determined by the manufacturer and approved by 
theAdministrator 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 completionof 
the last mode in the test. Use the following procedure:
    (1) Introduce a zero gas or room air into the sample probe orvalve 
V2 (see Figure 2 in Appendix B of Subpart D) to check the``hangup zero'' 
response. Simultaneously start a timemeasurement.
    (2) Select the lowest HC range used during the test.
    (3) Within four minutes of beginning the time measurement 
inparagraph (a)(1) of this section, the difference between the zero 
gasresponse and the hang-up zero response may not be greater than 
5.0percent of full scale or 10 ppmC, whichever is greater.
    (b) Begin the analyzer span checks within six minutes after 
thecompletion of the last mode in the test. Record for each analyzer 
thezero and span response for each range used during the preceding 
testor test segment.
    (c) If during the test, the filter element(s) were replaced 
orcleaned, a vacuum check must be performed per Sec. 
90.324(a)immediately after the span checks. If the vacuum side leak 
check doesnot meet the requirements of Sec. 90.324(a), the test isvoid.
    (d) Read and record the post-test data specified inSec. 90.405(e).

[[Page 230]]

    (e) For a valid test, the analyzer drift between the before-segment 
and after-segment span checks for each analyzer must meet thefollowing 
requirements:
    (1) The span drift (defined as the change in the differencebetween 
the zero response and the span response) may not exceed twopercent 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 below155 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 ofthis subpart.
    (b) Determine from the data collection records the analyzerresponses 
corresponding to the end of each mode.
    (c) Record data at a minimum of rate of one Hz (one time persecond).
    (d) Determine the final value for power by averaging theindividually 
calculated power points for each value of speed andtorque recorded 
during the sampling period. As an alternative, thefinal value for power 
can be calculated from the average values forspeed and torque, collected 
during the sampling period.
    (e) Determine the final value for CO2, CO, HC, 
andNOX concentrations by averaging the concentration of 
eachpoint taken during the sample period for each mode.



Sec. 90.413  Exhaust sample procedure--gaseous components.

    (a) Automatic data collection equipment requirements. Theanalyzer 
response may be read by automatic data collection (ADC)equipment such as 
computers, data loggers, and so forth. If ADCequipment is used, the 
following is required:
    (1) For dilute grab (``bag'') sample analysis, theanalyzer response 
must be stable at greater than 99 percent of thefinal reading for the 
dilute exhaust sample. The ADC must store asingle value representing the 
average chart deflection over a 10-second stabilized period. 
Alternatively, the ADC may store theindividual instantaneous chart 
deflections collected over a 10-secondstabilized period.
    (2) For continuous analysis systems, the ADC must store a 
singlevalue representing the average integrated concentration over 
ameasurement period. Alternatively, the ADC may store the 
individualinstantaneous values collected during the measurement period.
    (3) The chart deflections or average integrated 
concentrationsrequired in paragraphs (a)(1) and (a)(2) of this section 
may be storedon long-term computer storage devices such as computer 
tapes, storagediscs, punch cards, or they may be printed in a listing 
for storage.In either case a chart recorder is not required and records 
from achart recorder, if they exist, need not be stored.
    (4) If ADC equipment is used to interpret analyzer values, the 
ADCequipment is subject to the calibration specifications of the 
analyzeras if the ADC equipment is part of analyzer system.
    (b) Data records from any one or a combination of analyzers may 
bestored as chart recorder records.
    (c) Grab sample analysis. For dilute grab sample analysisperform the 
following procedure:
    (1) Calibrate analyzers using the procedure described inSec. 
90.326.
    (2) Record the most recent zero and span response as the pre-
analysis values.
    (3) Measure and record HC, CO, CO2, andNOX 
concentrations in the exhaust sample bag(s) andbackground sample bag(s) 
using the same flow rates and pressures.
    (4) Good engineering practice dictates that exhaust emissionsample 
bag analyzer readings below 15 percent of full scale shouldgenerally not 
be used.
    (5) A post-analysis zero and span calibration check of each 
rangemust be performed and the values recorded. The number of events 
thatmay occur between the pre- and post-checks is not specified. 
However,the difference between pre-analysis zero and span values 
(recorded inparagraph (c)(2) or (c)(3) of this section) versus those 
recorded forthe post-analysis check may not exceed the zero drift limit 
or thespan drift limit of two percent of full-

[[Page 231]]

scale chart deflectionfor any range used. Otherwise the analysis is 
void.
    (d) Continuous sample analysis. For continuous sampleanalysis 
perform the following procedure:
    (1) Calibrate analyzers using the procedure described inSec. 
90.326.
    (2) Leak check portions of the sampling system that operate 
atnegative 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 
samplingsystem:
    (i) Zero the analyzer using zero gas introduced at the analyzerport.
    (ii) Flow zero gas through the overflow sampling system. Check 
theanalyzer response.
    (iii) If the overflow zero response exceeds the analyzer 
zeroresponse by two percent or more of the FID or HFID full-
scaledeflection, 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 procedurespecified 
in paragraph (d)(1) of this section.
    (5) Good engineering practice dictates that analyzers used 
forcontinuous analysis should be operated such that the 
measuredconcentration 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, andNOX in 
a sample bag (for dilute exhaust sampling only, seeSec. 90.422).
    (8) Perform a post-analysis zero and span check for each rangeused 
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 
threepercent for HC, or two percent for NOX. CO, 
andCO2, of full-scale chart deflection, or the test is 
void.(If the HC drift is greater than three percent of full-scale 
chartdeflection, HC hang-up is likely.)
    (10) Determine background levels of HC, NOX. CO, 
orCO2 (for dilute exhaust sampling only) by the grab(``bag'') 
technique outlined in paragraph (c) of thissection.
    (e) Hydrocarbon hang-up. If HC hang-up is indicated, thefollowing 
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 analyzerports.
    (4) Analyze the background air through the entire sample 
probesystem.
    (5) If the difference between the readings obtained is two ppm 
ormore, 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 thissection.



Sec. 90.414  Raw gaseous exhaust sampling and analytical system description.

    (a) Schematic drawing. An example of a sampling andanalytical system 
which may be used for testing under this subpart isshown in Figure 2 in 
Appendix B of Subpart D. All components or partsof components that are 
wetted by the sample or corrosive calibrationgases must be either 
chemically cleaned stainless steel or inertmaterial (e.g., 
polytetrafluoroethylene resin). The use of``gauge savers'' or 
``protectors'' withnonreactive 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 maynot 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. Thefitting that 
attaches the probe to the exhaust pipe must be as smallas practical in 
order to minimize heat loss from the probe.
    (2) The probe must have a minimum of three holes. The spacing ofthe 
radial planes for each hole in the probe

[[Page 232]]

must be such thatthey cover approximately equal cross-sectional areas of 
the exhaustduct. See Figure 2 in Appendix B of Subpart D. The angular 
spacing ofthe holes must be approximately equal. The angular spacing of 
any twoholes 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 holesshould be sized such that each has approximately 
the same flow. Ifonly three holes are used, they may not all be in the 
same radialplane.
    (3) The exhaust gas probe must be located in a position whichyields 
a well mixed, homogenous sample of the engine exhaust. Theprobe must 
extend radially across the exhaust gas stream. The probemust pass 
through the approximate center and must extend across atleast 80 percent 
of the exhaust gas stream. The exact position of theprobe may vary from 
engine family to engine family.
    (c) Mixing chamber. The exhaust mixing chamber is located inthe 
exhaust system between the muffler and the sample probe. Themixing 
chamber is an optional component of the raw gas samplingequipment.
    (1) The internal volume of the mixing chamber may not be less 
thanten times the cylinder displacement of the engine under test. 
Theshape of the mixing chamber must be such that it provides a 
wellmixed, homogenous sample at the sample probe location.
    (2) Couple the mixing chamber as closely as possible to the 
enginemuffler.
    (3) Maintain the inner surface of the mixing chamber at a 
minimumtemperature of 179 [deg]C.
    (4) Thermocouple temperature monitoring of the mixing chamberinner 
surface is required to assure wall temperatures specified inparagraph 
(c)(3) of this section. The temperature measurement must beaccurate to 
within 5 [deg]C.
    (5) The sample probe must extend radially across the exit of 
themixing chamber. The probe must pass through the approximate center 
andmust extend across at least 80 percent of the diameter of the 
exit.The exact position of the probe may vary from engine family to 
enginefamily. The probe must be located in a position which yields a 
wellmixed, homogenous sample of the exhaust.
    (d) Sample transfer line. (1) The maximum inside diameter ofthe 
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 
ofoptional valve V2 in Figure 1 of Appendix B of Subpart D may not 
begreater than 1.22 m from the exhaust duct.
    (3) The location of optional valve V16, Figure 1 of Appendix B 
ofthis subpart, may not be greater than 61 cm from the sample pump. 
Theleakage rate for this section on the pressure side of the sample 
pumpmay not exceed the leakage rate specification for the vacuum side 
ofthe pump.
    (e) Venting. All vents, including analyzer vents, bypassflow, and 
pressure relief vents, of regulators should be vented insuch 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 
additionalinformation and coordinate the functions of the component 
systems.
    (h) The following requirements must be incorporated in each 
systemused for raw testing under this subpart.
    (1) Take the sample for all components with one sample probe 
andsplit it internally to the different analyzers.
    (2) Heat the sample transport system from the engine exhaust pipeto 
the HC analyzer for the raw gas sampling method as indicated inFigure 1 
in Appendix B of this subpart. The NOX analyzerfor the raw 
gas sampling method may be heated as indicated in Figure 1in Appendix B 
of this subpart. The HC analyzer and the NOXanalyzer for the 
dilute sampling method may be heated as indicated inFigure 1 in Appendix 
B of this subpart.

[[Page 233]]



Sec. 90.415  Raw gaseous sampling procedures.

    Fit all heated sampling lines with a heated filter to extractsolid 
particles from the flow of gas required for analysis. The sampleline for 
HC measurement must be heated. The sample line for CO,CO2 and 
NOX analysis may be heated orunheated.



Sec. 90.416  Intake air flow measurement specifications.

    (a) If used, the engine intake air flow measurement method usedmust 
have a range large enough to accurately measure the air flow overthe 
engine operating range during the test. Overall measurementaccuracy must 
be two percent of full-scale value of the measurementdevice for all 
modes except the idle mode. For the idle mode, themeasurement accuracy 
must be five percent or less of thefull-scale 
value. The Administrator must be advised of the method usedprior to 
testing.
    (b) When an engine system incorporates devices that affect the 
airflow measurement (such as air bleeds, air injection, pulsed air, 
andso forth) resulting in understated exhaust emission results, 
makecorrections to the exhaust emission results to account for 
sucheffects.



Sec. 90.417  Fuel flow measurement specifications.

    (a) Fuel flow measurement is required only for raw testing. Fuelflow 
is allowed for dilute testing.
    (b) The fuel flow measurement instrument must have a minimumaccuracy 
of one percent of full-scale flow rate for each measurementrange used. 
An exception is allowed for the idle mode. For this mode,the minimum 
accuracy is five percent of full-scale flow 
ratefor the measurement range used. The controlling parameters are 
theelapsed time measurement of the event and the weight or 
volumemeasurement. You may apply the accuracy specifications of 40 CFR 
part1065, subpart C, instead of those in this paragraph (b).

[70 FR 40449, July 13, 2005]



Sec. 90.418  Data evaluation for gaseous emissions.

    For the evaluation of the gaseous emissions recording, record 
thelast two minutes of each mode and determine the average values for 
HC,CO, CO2 and NOX during each mode from 
theaverage concentration readings determined from the 
correspondingcalibration data. Longer averaging times are acceptable, 
but thereported sampling period must be a continuous set of data.

[70 FR 40449, July 13, 2005]



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 massrates 
are measured, use the following equations to determine theweighted 
emission values for the test engine:
[GRAPHIC] [TIFF OMITTED] TR03JY95.016

Where:

WHC = Mass rate of HC in exhaust [g/hr],

[[Page 234]]

GAIRD = Intake air mass flow rate on dry basis[g/hr],
GFUEL = Fuel mass flow rate [g/hr],
MHCexh = Molecular weight of hydrocarbons in theexhaust, 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 
thefollowing 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 theexhaust, 
wet
DCO2 = CO2 percent concentration in theexhaust, 
dry
WNOX = NO volume concentration in exhaust, ppm wet
WO2 = O2 percent concentration in theexhaust, wet
WH2 = H2 percent concentration in exhaust,wet
K = correction factor to be used when converting dry measurementsto a 
wet basis. Therefore, wet concentration=dry concentrationx 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 
onNO2 formation for 4-stroke gasoline small engines, 
asfollows:

KH = (9.953 x H + 0.832)

Where:

H = the amount of water in an ideal gas; 40 CFR 1065.645 describeshow to 
determine this value (referred to asxH2O).
KH = 1 for two-stroke gasoline engines.

    (c) Fuel flow method. The following equations are to be usedwhen 
fuel flow is selected as the basis for mass emission calculationsusing 
the raw gas method.

[[Page 235]]

[GRAPHIC] [TIFF OMITTED] TR03JY95.022

Where:
WHC = Mass rate of HC in exhaust, [g/hr]
MHCexh = Molecular weight of hydrocarbons in theexhaust, 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 theexhaust, 
wet
DCO = CO percent concentration in the exhaust, dry
DCO2 = CO2 percent concentration in theexhaust, 
dry
WHC = HC volume concentration in exhaust, ppmC wet
WNOX = NOX volume concentration inexhaust, ppm wet
K = correction factor to be used when converting dry measurementsto a 
wet basis. Therefore, wet concentration=dryconcentrationxK, 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 
onNO2 formation for 4-stroke gasoline small engines, 
asfollows:
    KH = (9.953 x H + 0.832)

Where:

H = the amount of water in an ideal gas; 40 CFR 1065.645 describeshow to 
determine this value (referred to asxH2O).
KH = 1 for two-stroke gasoline engines.

    (d) Calculate the final weighted brake-specific emission rate 
foreach individual gas component using the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.028

Where:
AWM = Final weighted brake-specific massemission rate (HC, 
CO, NOX) [g/kW-hr]
Wi = Mass emission rate during mode i [g/hr]
WFi = Weighting factors for each mode according toSec. 
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]

[60 FR 34598, July 13, 1995, as amended at 70 FR 40449, July13, 2005]

[[Page 236]]



Sec. 90.420  CVS concept of exhaust gas sampling system.

    (a) A dilute exhaust sampling system is designed to directlymeasure 
the true mass of emissions in engine exhaust without thenecessity of 
measuring either fuel flow or intake air flow. This isaccomplished by 
diluting the exhaust produced by a test engine withambient background 
air and measuring the total diluted exhaust flowrate and the 
concentration of emissions within the dilute flow. Totalmass flow of an 
emission is then easily calculated.
    (b) A constant volume sampler (CVS) is typically used to controlthe 
total amount of dilute flow through the system. As the nameimplies, a 
CVS restricts flow to a known value dependent only on thedilute exhaust 
temperature and pressure.
    (c) For the testing described in this subpart, a CVS must consistof: 
a mixing tunnel into which the engine exhaust and dilutant(background) 
air are dumped; a dilute exhaust flow metering system; adilute exhaust 
sample port; a background sample port; a dilute exhaustsampling system; 
and a background sampling system.
    (1) Mixing tunnel. The mixing tunnel must be constructedsuch that 
complete mixing of the engine exhaust and background air isassured prior 
to the sampling probe.
    (2) Exhaust flow metering system. A dilute exhaust flowmetering 
system must be used to control the total flow rate of thedilute engine 
exhaust as described in Sec. 90.421.
    (3) Exhaust sample port. A dilute exhaust sample port mustbe located 
in or downstream of the mixing tunnel at a point wherecomplete mixing of 
the engine exhaust and background air is assured.
    (4) Background sample port. A dilute exhaust sample portmust be 
located in the stream of background air before it is mixedwith the 
engine exhaust. The background probe must draw arepresentative sample of 
the background air during each sampling mode.
    (5) Exhaust sampling system. The dilute exhaust samplingsystem 
controls the flow of samples from the mixing tunnel to theanalyzer 
system. This could be either a continuous sampling system orgrab (bag) 
sampling system. If a critical flow venturi (CFV) is usedon the dilute 
exhaust sample probe, this system must assure that thesample CFV is in 
choke flow during testing. If no CFV is used, thissystem must assure a 
constant volumetric flow rate through the diluteexhaust sample probe or 
must incorporate electronic flow compensation.
    (6) Background sampling system. The background samplingsystem 
controls the flow of samples from the background air supply tothe 
analyzer system. This could be either a continuous sampling systemor 
grab (bag) sampling system. This system must assure a constantvolumetric 
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 inthis 
section is designed to measure the true mass of gaseous emissionsin the 
exhaust of nonroad small spark-ignition engines. This systemutilizes the 
Constant Volume Sampling (CVS) concept (described inSec. 90.420) of 
measuring mass emissions of HC,NOX. CO, and CO2. 
Grab sampling for individualmodes is an acceptable method of dilute 
testing for all constituents,HC, NOX. CO, and CO2. 
Continuous dilutesampling is not required for any of the exhaust 
constituents, but isallowable for all. Heated sampling is not required 
for any of theconstituents, but is allowable for HC and NOX. 
The mass ofgaseous emissions is determined from the sample concentration 
andtotal flow over the test period. As an option, the measurement 
oftotal fuel mass consumed over a cycle may be substituted for 
theexhaust measurement of CO2. General requirements are 
asfollows:
    (1) This sampling system requires the use of a PositiveDisplacement 
Pump--Constant Volume Sampler (PDP-CVS) system witha heat exchanger, or 
a Critical Flow Venturi--Constant VolumeSampler (CFV-CVS) system with 
CFV sample probes and/or a heatexchanger or electronic flow 
compensation. Figure 2 in Appendix B ofthis subpart is a schematic 
drawing of the PDP-CVS system. Figure 3 inAppendix

[[Page 237]]

B of this subpart is a schematic drawing of the CFV-CVSsystem.
    (2) The HC analytical system requires:
    (i) Grab sampling (see Sec. 90.420, and Figure 2 orFigure 3 in 
Appendix B of this subpart) and analytical capabilities(see Sec. 
90.423, and Figure 4 in Appendix B of thissubpart), or
    (ii) Continuously integrated measurement of diluted HC meeting 
theminimum requirements and technical specifications contained 
inparagraph (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 thediluted 
exhaust stream through a heated probe and integratedcontinuously over 
the test cycle.
    (v) The heated probe must be located in the sampling system 
farenough downstream of the mixing area to ensure a uniform 
sampledistribution 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 orFigure 3 in 
Appendix B of this subpart) and analytical capabilities(see Sec. 
90.423, and Figure 4 in Appendix B of thissubpart), or
    (ii) Continuously integrated measurement of diluted CO 
andCO2 meeting the minimum requirements and 
technicalspecifications contained in paragraph (b)(4) of this section.
    (4) The NOX analytical system requires:
    (i) Grab sampling (see Sec. 90.420, and Figure 2 orFigure 3 in 
Appendix B of this subpart) and analytical capabilities(see Sec. 
90.423, and Figure 4 in Appendix B of thissubpart), or
    (ii) A continuously integrated measurement of dilutedNOX 
meeting the minimum requirements and technicalspecifications contained 
in paragraph (b)(4) of this section.
    (5) Since various configurations can produce equivalent 
results,exact conformance with these drawings is not required. 
Additionalcomponents such as instruments, valves, solenoids, pumps, and 
switchesmay be used to provide additional information and coordinate 
thefunctions of the component systems. Other components, such 
assnubbers, which are not needed to maintain accuracy on some 
systems,may be excluded if their exclusion is based upon good 
engineeringjudgment.
    (6) Other sampling and/or analytical systems may be used if shownto 
yield equivalent results and if approved in advance by theAdministrator.
    (b) Component description. The components necessary forexhaust 
sampling must meet the following requirements:
    (1) Exhaust dilution system. The PDP-CVS must conform to allof the 
requirements listed for the exhaust gas PDP-CVS inSec. 90.420 of this 
chapter. The CFV-CVS must conform to allof the requirements listed for 
the exhaust gas CFV-CVS inSec. 90.420 of this chapter. In addition, the 
CVS mustconform to the following requirements:
    (i) The flow capacity of the CVS must be sufficient to maintainthe 
diluted exhaust stream in the dilution system at a temperature of190 
[deg]C or less at the sampling zone for hydrocarbon measurementand as 
required to prevent condensation at any point in the dilutionsystem. 
Gaseous emission samples may be taken directly from thissampling point.
    (ii) For the CFV-CVS, either a heat exchanger or electronic 
flowcompensation is required (see Figure 3 in Appendix B of this 
subpart).
    (iii) For the CFV-CVS when a heat exchanger is used, the gasmixture 
temperature, measured at a point immediately ahead of thecritical flow 
venturi, must be within 11 [deg]C of theaverage 
operating temperature observed during the test with thesimultaneous 
requirement that condensation does not occur. Thetemperature measuring 
system (sensors and readout) must have anaccuracy and precision of 
2 [deg]C. For systems utilizing aflow compensator 
to maintain proportional flow, the requirement formaintaining constant 
temperature is not necessary.
    (2) Continuous HC measurement system. (i) The continuous HCsample 
system (as shown in Figure 2 or 3 in Appendix B of thissubpart) uses an 
``overflow'' zero and span system. Inthis type of system, excess zero or 
span gas spills

[[Page 238]]

out of theprobe when zero and span checks of the analyzer are made.
    (ii) No other analyzers may draw a sample from the continuous 
HCsample probe, line, or system, unless a common sample pump is used 
forall analyzers and the sample line system design reflects 
goodengineering practice.
    (iii) The overflow gas flow rates into the sample line must be 
atleast 105 percent of the sample system flow rate.
    (iv) The overflow gases must enter the sample line as close 
aspractical to the outside surface of the CVS duct or dilution system.
    (v) The continuous HC sampling system consists of a probe (whichfor 
a HFID analyzer must raise the sample to the specifiedtemperature) and, 
where used, a sample transfer system (which for aHFID must maintain the 
specified temperature). The HFID continuoushydrocarbon sampling system 
(exclusive of the probe) must:
    (A) Maintain a wall temperature of 190 11 
[deg]C asmeasured at every separately controlled heated component (that 
is,filters, heated line sections), using permanent thermocouples 
locatedat each of the separate components.
    (B) Have a wall temperature of 190 11 [deg]C 
over itsentire length. The temperature of the system is demonstrated 
byprofiling the thermal characteristics of the system where possible 
atinitial installation and after any major maintenance performed on 
thesystem. The profiling is to be accomplished using the 
insertionthermocouple probing technique. The system temperature must 
bemonitored continuously during testing at the locations and 
temperaturedescribed in Sec. 90.421(b)(2).
    (C) Maintain a gas temperature of 190 11 
[deg]Cimmediately before the heated filter and HFID. Determine these 
gastemperatures by a temperature sensor located immediately upstream 
ofeach component.
    (vi) The continuous hydrocarbon sampling probe:
    (A) Is defined as the first 25.4 to 76.2 cm of the 
continuoushydrocarbon sampling system.
    (B) Has a 0.483 cm minimum inside diameter.
    (C) Is installed in the dilution system at a point where thedilution 
air and exhaust are well mixed and provide a homogenousmixture.
    (D) Is sufficiently distant (radially) from other probes and 
thesystem wall so as to be free from the influence of any wakes 
oreddies.
    (E) For a continuous HFID sample probe, the probe must increasesthe 
gas stream temperature to 190 11 [deg]C at the 
exit ofthe probe. Demonstrate the ability of the probe to accomplish 
thisusing the insertion thermocouple technique at initial installation 
andafter any major maintenance. Demonstrate compliance with 
thetemperature specification by continuously recording during each 
testthe temperature of either the gas stream or the wall of the 
sampleprobe at its terminus.
    (vii) The response time of the continuous measurement system mustbe 
taken into account when logging test data.
    (3) Sample mixing. (i) Configure the dilution system toensure a well 
mixed, homogeneous sample prior to the samplingprobe(s).
    (ii) Make the temperature of the diluted exhaust stream inside 
thedilution system sufficient to prevent water condensation.
    (iii) Direct the engine exhaust downstream at the point where itis 
introduced into the dilution system.
    (4) Continuously integrated NOX, CO, andCO2 
measurement systems--(i) Sampleprobe requirements:
    (A) The sample probe for continously intergrated NOX.CO, 
and CO2 must be in the same plane as the continuous HCprobe, 
but sufficiently distant (radially) from other probes and thetunnel wall 
so as to be free from the influences of any wakes oreddies.
    (B) The sample probe for continously intergrated NOX.CO, 
and CO2 must be heated and insulated over the entirelength, 
to prevent water condensation, to a minimum temperature of 55[deg]C. 
Sample gas temperature immediately before the first filter inthe system 
must be at least 55 [deg]C.
    (ii) Conform to the continuous NOX, CO, orCO2 
sampling and analysis system to the specifications of40 CFR 1065.145, 
with the following exceptions and revisions:
    (A) Heat the system components requiring heating only to 
preventwater

[[Page 239]]

condensation, the minimum component temperature is 55[deg]C.
    (B) Coordinate analysis system response time with CVS 
flowfluctuations and sampling time/test cycle offsets, if necessary.
    (C) Use only analytical gases conforming to the specifications 
ofSec. 90.312 of this subpart for calibration, zero and spanchecks.
    (D) Use a calibration curve conforming to Sec. 90.321for CO and 
CO2 and Sec. 90.318 forNOX for any range on a 
linear analyzer below 155 ppm.
    (iii) Convert the chart deflections or voltage output of 
analyzerswith non-linear calibration curves to concentration values by 
thecalibration curve(s) specified in Sec. 90.321 of thischapter before 
flow correction (if used) and subsequent integrationtakes place.

[60 FR 34598, July 3, 1995, as amended at 70 FR 40450, July13, 2005]



Sec. 90.422  Background sample.

    (a) Background samples are produced by drawing a sample of 
thedilution air during the exhaust collection phase of each test 
cyclemode.
    (1) An individual background sample may be produced and analyzedfor 
each mode. Hence, a unique background value will be used for theemission 
calculations for each mode.
    (2) Alternatively, a single background sample may be produced 
bydrawing a sample during the collection phase of each test cycle 
mode.Hence, a single cumulative background value will be used for 
theemission 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 
chartdeflection over a 10-second stabilized period must be stored. 
Allreadings taken during the data logging period must be stable 
withinone percent of full scale.
    (c) Measure HC, CO, CO2, and NOX exhaustand 
background concentrations in the sample bag(s) with approximatelythe 
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 thissubpart is a 
schematic drawing of the exhaust gas analytical systemsused for 
analyzing CVS grab ``bag'' samples from spark-ignition engines. Since 
various configurations can produce accurateresults, exact conformance 
with the drawing is not required.Additional components such as 
instruments, valves, solenoids, pumpsand switches may be used to provide 
additional information andcoordinate the functions of the component 
systems. Other componentssuch as snubbers, which are not needed to 
maintain accuracy in somesystems, may be excluded if their exclusion is 
based upon goodengineering judgment.
    (b) Major component description. The analytical system,Figure 4 in 
Appendix B of this subpart, consists of a flame ionizationdetector (FID) 
or a heated flame ionization detector (HFID) for themeasurement of 
hydrocarbons, non-dispersive infrared analyzers (NDIR)for the 
measurement of carbon monoxide and carbon dioxide, and 
achemiluminescence detector (CLD) (or heated CLD (HCLD)) for 
themeasurement of oxides of nitrogen. The exhaust gas analytical 
systemmust conform to the following requirements:
    (1) The CLD (or HCLD) requires that the nitrogen dioxide presentin 
the sample be converted to nitric oxide before analysis. Othertypes of 
analyzers may be used if shown to yield equivalent resultsand if 
approved in advance by the Administrator.
    (2) If CO instruments are used which are essentially free 
ofCO2 and water vapor interference, the use of 
theconditioning column may be deleted. (See Sec. 90.317 andSec. 
90.320.)
    (3) A CO instrument is considered to be essentially free 
ofCO2 and water vapor interference if its response to 
amixture of three percent CO2 in N2, which hasbeen 
bubbled through water at room temperature, produces an equivalentCO 
response, as measured on the most sensitive CO range, which is lessthan 
one percent of full-scale CO concentration on ranges above 300ppm full 
scale or less than three ppm on ranges below 300 ppm fullscale. (See 
Sec. 90.317.)
    (c) Alternate analytical systems. Analysis systems meetingthe 
specifications

[[Page 240]]

and requirements of this subpart for dilutesampling may be used upon 
approval of the Administrator.
    (d) Other analyzers and equipment. Other types of analyzersand 
equipment may be used if shown to yield equivalent results and 
ifapproved in advance by the Administrator.



Sec. 90.424  Dilute sampling procedures--CVS calibration.

    (a) The CVS is calibrated using an accurate flowmeter andrestrictor 
valve.
    (1) The flowmeter calibration must be traceable to the 
NationalInstitute for Standards and Testing (NIST) and serves as the 
referencevalue (NIST ``true'' value) for the CVS calibration.(Note: In 
no case should an upstream screen or other restriction whichcan affect 
the flow be used ahead of the flowmeter unless calibratedthroughout the 
flow range with such a device.)
    (2) The CVS calibration procedures are designed for use of 
a``metering venturi'' type flowmeter. Large radius orAmerican Society of 
Mechanical Engineers (ASME) flow nozzles areconsidered equivalent if 
traceable to NIST measurements. Othermeasurement systems may be used if 
shown to be equivalent under thetest conditions in this section and 
traceable to NIST measurements.
    (3) Measurements of the various flowmeter parameters are recordedand 
related to flow through the CVS.
    (4) Procedures using both PDP-CVS and CFV-CVS are outlined in 
thefollowing paragraphs. Other procedures yielding equivalent results 
maybe used if approved in advance by the Administrator.
    (b) After the calibration curve has been obtained, verification 
ofthe entire system may be performed by injecting a known mass of 
gasinto the system and comparing the mass indicated by the system to 
thetrue mass injected. An indicated error does not necessarily mean 
thatthe calibration is wrong, since other factors can influence 
theaccuracy of the system (for example, analyzer calibration, leaks, 
orHC hangup). A verification procedure is found in paragraph (e) of 
thissection.
    (c) PDP-CVS calibration. (1) The following calibrationprocedure 
outlines the equipment, the test configuration, and thevarious 
parameters which must be measured to establish the flow rateof the CVS 
pump.
    (i) All the parameters related to the pump are 
simultaneouslymeasured with the parameters related to a flowmeter which 
is connectedin series with the pump.
    (ii) The calculated flow rate, in cm\3\/s, (at pump inlet 
absolutepressure and temperature) can then be plotted versus a 
correlationfunction which is the value of a specific combination of 
pumpparameters.
    (iii) The linear equation which relates the pump flow and 
thecorrelation function is then determined.
    (iv) In the event that a CVS has a multiple speed drive, 
acalibration for each range used must be performed.
    (2) This calibration procedure is based on the measurement of 
theabsolute values of the pump and flowmeter parameters that relate 
theflow rate at each point. Two conditions must be maintained to 
assurethe accuracy and integrity of the calibration curve:
    (i) The temperature stability must be maintained duringcalibration. 
(Flowmeters are sensitive to inlet temperatureoscillations; this can 
cause the data points to be scattered. Gradualchanges in temperature are 
acceptable as long as they occur over aperiod of several minutes.)
    (ii) All connections and ducting between the flowmeter and the 
CVSpump must be absolutely void of leakage.
    (3) During an exhaust emission test the measurement of these 
samepump parameters enables the user to calculate the flow rate from 
thecalibration equation.
    (4) Connect a system as shown in Figure 5 in Appendix B of 
thissubpart. Although particular types of equipment are shown, 
otherconfigurations that yield equivalent results may be used if 
approvedin advance by the Administrator. For the system indicated, 
thefollowing measurements and accuracies are required:

[[Page 241]]



                      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
 meteringventuri.                                       kPa.
Air flow......................  QS        m\3\/min.    0.5
                                                        percent of
                                                        NISTvalue.
Air temperature at CVS pump     PTI       [deg]C       1.11[deg]
                                                        C.
Pressure depression at CVS      PPI       kPa          0.055kPa.
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 
inAppendix B of this subpart, set the variable restrictor in the 
wideopen position and run the CVS pump for 20 minutes. Record 
thecalibration data.
    (6) Reset the restrictor valve to a more restricted condition inan 
increment of pump inlet depression that will yield a minimum of sixdata 
points for the total calibration. Allow the system to stabilizefor three 
minutes and repeat the data acquisition.
    (7) Data analysis:
    (i) The air flow rate, Qs, at each test point 
iscalculated in standard cubic feet per minute 20 [deg]C, 101.3 kPafrom 
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 inlettemperature 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 perminute, 
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 thencalculated 
from the calibration data:
[GRAPHIC] [TIFF OMITTED] TR03JY95.032

Where:

Xo = correlation function.
[Delta]p = The pressure differential from pump inlet to pumpoutlet [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 
thecalibration 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 
oneach speed used. The calibration curves generated for the ranges 
willbe approximately parallel and the intercept values, 
Do,will increase as the pump flow range decreases.
    (9) If the calibration has been performed carefully, thecalculated 
values from the equation will be within 0.50percent of the measured value of Vo. 
Values of M will varyfrom one pump to another, but values of 
Do for pumps ofthe same make, model, and range should agree 
within threepercent of each other. Calibrations 
should be performed at pump start-up and after major maintenance to 
assure the stability of the pumpslip rate. Analysis of

[[Page 242]]

mass injection data will also reflect pumpslip stability.
    (d) CFV-CVS calibration. (1) Calibration of the CFV is basedupon the 
flow equation for a critical venturi. Gas flow is a functionof 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 
thissection establishes the value of the calibration coefficient 
atmeasured values of pressure, temperature, and air flow.
    (2) The manufacturer's recommended procedure must be followed 
forcalibrating 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 inH2 O
 and throat of meteringventuri.
Air flow........................  QS                   m\3\/min             .5 percent
                                                                             ofNIST value
CFV inlet depression............  PPI                  (kPa)                .055 kPa
Temperature at venturiinlet.....  TV                   [deg]C               2.22 [deg]C
----------------------------------------------------------------------------------------------------------------

    (4) Set up equipment as shown in Figure 6 in Appendix B of 
thissubpart and eliminate leaks. (Leaks between the flow measuring 
devicesand the critical flow venturi will seriously affect the accuracy 
ofthe calibration.)
    (5) Set the variable flow restrictor to the open position, startthe 
blower, and allow the system to stabilize. Record data from 
allinstruments.
    (6) Vary the flow restrictor and make at least eight readingsacross 
the critical flow range of the venturi.
    (7) Data analysis. The data recorded during the calibrationare to be 
used in the following calculations:
    (i) Calculate the air flow rate (designated as Qs) ateach 
test point in standard cubic feet per minute from the flow meterdata 
using the manufacturer's prescribed method.
    (ii) Calculate values of the calibration coefficient for each 
testpoint:
[GRAPHIC] [TIFF OMITTED] TR03JY95.035

Where:

Qs = Flow rate in standard cubic meters per minute, atthe 
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 inletpressure. For 
choked flow, Kv will have a relativelyconstant value. As 
pressure decreases (vacuum increases), the venturibecomes unchoked and 
Kv decreases. (See Figure 7 inAppendix B to Subpart D.)
    (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 
averageKv , take corrective action.
    (e) CVS system verification. The following``gravimetric'' technique 
may be used to verify that theCVS and analytical instruments can 
accurately measure a mass of gasthat has been injected into the system. 
(Verification can also beaccomplished by constant flow metering using 
critical flow orificedevices.)
    (1) Obtain a small cylinder that has been charged with 99.5percent 
or greater propane or carbon monoxide gas(CAUTION--carbon monoxide is 
poisonous).
    (2) Determine a reference cylinder weight to the nearest 0.01grams.
    (3) Operate the CVS in the normal manner and release a quantity 
ofpure propane into the system during the

[[Page 243]]

sampling period(approximately five minutes).
    (4) The calculations are performed in the normal way except in 
thecase 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 massand 
then divided by the gravimetric mass to determine the percentaccuracy of 
the system.
    (6) Good engineering practice requires that the cause for 
anydiscrepancy greater than two percent must be 
found andcorrected.



Sec. 90.425  CVS calibration frequency.

    Calibrate the CVS positive displacement pump or critical flowventuri 
following initial installation, major maintenance, or asnecessary when 
indicated by the CVS system verification (described inSec. 90.424(e)).



Sec. 90.426  Dilute emission sampling calculations--gasoline fueledengines.

    (a) The final reported emission test results must be computed byuse 
of the following formula:
[GRAPHIC] [TIFF OMITTED] TR03JY95.036

Where:

AWM = Final weighted brake-specific mass emission ratefor 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 inSec. 
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 formode 
i. This correction factor only affects calculations for tionfactor only 
affects calculations for NOX and is equal toone for all other 
emissions. KHi is also equal to 1 forall two-stroke engines.

    (b) The mass flow rate, Wi in g/hr, of an emission 
formode i is determined from the following equations:
[GRAPHIC] [TIFF OMITTED] TR03JY95.038

Where:

Qi = Volumetric flow rate oandard conditions [m\3\/hrat STP].
Density = Density of a specific emission 
(DensityHC,DensityCO, DensityCO2, 
DensityNOx)[g/m\3\].
DFi = Dilution factor of the dilute exhaust duringmode i.
CDi = Concentration of the emission (HC, CO,NOX) 
in dilute exhaust extracted from the CVS during modei [ppm].
CBi = Concentration of the emission (HC, CO,NOX) 
in the background sample during mode i [ppm].
STP = Standard temperature and pressure. All volumetriccalculations made 
for the equations in this section are to becorrected to a standard 
temperature of 20 [deg]C and 101.3 kPa.

    (c) Densities for emissions that are to be measured for this 
testprocedure 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 basedon 
the assumption that the fuel used has a carbon to hydrogen ratio 
of1:1.85. For other fuels DensityHC can be calculated fromthe 
following formula:
[GRAPHIC] [TIFF OMITTED] TR03JY95.039

Where:

MHC = The molecular weight of the hydrocarbon moleculedivided 
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 thenumber of 
carbon atoms in the molecule, MHC, can becalculated from the 
following formula:

[[Page 244]]

[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 
thatNOX is entirely in the form of NO2
    (d) The dilution factor, DF, is the ratio of the volumetric flowrate 
of the background air to that of the raw engine exhaust. Thefollowing 
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 dilutesample 
[ppm]

    (e) The humidity correction factor KH is an 
adjustmentmade to measured NOX values. This corrects for 
thesensitivity that a spark-ignition engine has to the humidity of 
itscombustion air. The following formula is used to 
determineKH for NOX calculations:

KH = (9.953 H + 0.832)

Where:

H = the amount of water in an ideal gas; 40 CFR 1065.645 describeshow to 
determine this value (referred to asxH2O).

KH = 1 for two-stroke gasoline engines.

    (f)-(g) [Reserved]
    (h) The fuel mass flow rate, Fi, can be eithermeasured or 
calculated using the following formula:
[GRAPHIC] [TIFF OMITTED] TR03JY95.046

Where:

MFUEL = Mass of fuel consumed by the engine during themode 
[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 samplingperiod 
[g]
R2 = The fuel carbon weight fraction, which is themass of 
carbon in fuel per mass of fuel [g/g]

    The grams of carbon measured during the mode, Gs, canbe 
calculated from the following equation:
[GRAPHIC] [TIFF OMITTED] TR03JY95.048

Where:

HCmass=mass of hydrocarbon emissions for the modesampling 
period [grams]
CO2mass=mass of carbon monoxide emissions for the 
modesampling period [grams]
CO2mass=mass of carbon dioxide emissions for the modesampling 
period [grams]
[alpha]=The atomic hydrogen to carbon ratio of the fuel

[60 FR 34598, July 3, 1995, as amended at 70 FR 40450, July13, 2005]



Sec. 90.427  Catalyst thermal stress resistance evaluation.

    (a) The purpose of the evaluation procedure specified in thissection 
is to determine the effect of thermal stress on catalystconversion 
efficiency for Phase 1 engines. The thermal stress isimposed on the test 
catalyst by exposing it to quiescent heated air inan oven. The 
evaluation of the effect of such stress on catalystperformance is based 
on the resultant degradation of

[[Page 245]]

theefficiency with which the conversions of specific pollutants 
arepromoted. The application of this evaluation procedure involves 
theseveral steps that are described in the following paragraphs.
    (b) Determination of initial conversion efficiency. (1) Asynthetic 
exhaust gas mixture having the composition specified inSec. 90.329 is 
heated to a temperature of 450 [deg]C5 [deg]C and 
passed through the new test catalyst or,optionally, a test catalyst that 
has been exposed to temperatures lessthan or equal to 500 [deg]C for 
less than or equal to two hours,under flow conditions that are 
representative of anticipated in-useconditions.
    (2) The concentration of each pollutant of interest, that 
is,hydrocarbons, carbon monoxide, or oxides of nitrogen, in the 
effluentof the catalyst is determined by means of the instrumentation 
that isspecified 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 
initialconcentration;
    (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 placedin an 
oven that has been pre-heated to 1000 [deg]C and thetemperature of the 
air in the oven is maintained at 1000 [deg]C10 
[deg]C for six hours.
    (2) The catalyst is removed from the oven and allowed to cool toroom 
temperature.
    (d) Determination of final conversion efficiency. The stepslisted in 
paragraph (b) of this section are repeated.
    (e) Determination of conversion efficiency degradation. (1)The final 
conversion efficiency determined in paragraph (c) of thissection is 
subtracted from the initial conversion efficiencydetermined 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. Thepercent 
degradation determined in paragraph (e) of this section mustnot be 
greater than 20 percent.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15244, Mar.30, 1999]



             Sec. Appendix A to Subpart E of Part90--Tables

      Table 1--Parameters to be Measured orCalculated 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 forClass 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

[[Page 246]]

 
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 247]]



             Sec. Appendix B to Subpart E of Part90--Figures

[GRAPHIC] [TIFF OMITTED] TC01MR92.087


[[Page 248]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.088


[[Page 249]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.089


[[Page 250]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.090


[[Page 251]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.006


[[Page 252]]


[GRAPHIC] [TIFF OMITTED] TC01MR92.007


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[GRAPHIC] [TIFF OMITTED] TC01MR92.008



                Subpart F_Selective Enforcement Auditing



Sec. 90.501  Applicability.

    The requirements of subpart F shall be applicable to all 
nonroadengines and vehicles subject to the provisions of subpart A of 
part90.



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 percentageof 
failing engines that can be considered a satisfactory processaverage for 
sampling inspections.
    Configuration means any subclassification of an enginefamily which 
can be described on the basis of gross power, emissioncontrol system, 
governed speed, fuel system, engine calibration, andother parameters as 
designated by the Administrator.
    Inspection criteria means the pass and fail numbersassociated with a 
particular sampling plan.
    Test engine means an engine in a test sample.
    Test sample means the collection of engines selected fromthe 
population of an engine family for emission testing.



Sec. 90.503  Test orders.

    (a) The Administrator shall require any testing under this subpartby 
means of a test order addressed to the manufacturer.
    (b) The test order will be signed by the Assistant Administratorfor 
Air and Radiation or his or her designee. The test order will 
bedelivered in person by an EPA enforcement officer or EPA 
authorizedrepresentative to a company representative or sent by 
registered mail,return receipt requested, to the manufacturer's 
representative

[[Page 254]]

who signed the application for certification submitted by 
themanufacturer, pursuant to the requirements of the applicable 
sectionof subpart B of this part. Upon receipt of a test order, 
themanufacturer shall comply with all of the provisions of this 
subpartand instructions in the test order.
    (c) Information included in test order. (1) The test orderwill 
specify the engine family to be selected for testing, themanufacturer's 
engine assembly plant or associated storage facility orport facility 
(for imported engines) from which the engines must beselected, the time 
and location at which engines must be selected, andthe procedure by 
which engines of the specified family must beselected. The test order 
may specify the configuration to be auditedand/or the number of engines 
to be selected per day. Enginemanufacturers will be required to select a 
minimum of four engines perday unless an alternate selection procedure 
is approved pursuant toSec. 90.507(a), or unless total production of 
the specifiedconfiguration is less than four engines per day. If total 
productionof the specified configuration is less than four engines per 
day, themanufacturer will select the actual number of engines produced 
perday.
    (2) The test order may include alternate families to be selectedfor 
testing at the Administrator's discretion in the event thatengines of 
the specified family are not available for testing becausethose engines 
are not being manufactured during the specified time, orare not being 
stored at the specified assembly plant, associatedstorage facilities or 
port of entry.
    (3) If the specified family is not being manufactured at a rate ofat 
least two engines per day in the case of manufacturers specified inSec. 
90.508(g)(1), or one engine per day in the case ofmanufacturers 
specified in Sec. 90.508(g)(2), over theexpected duration of the audit, 
the Assistant Administrator or his orher designated representative may 
select engines of the alternatefamily for testing.
    (4) In addition, the test order may include other directions 
orinformation essential to the administration of the required testing.
    (d) A manufacturer may submit a list of engine families and 
thecorresponding assembly plants, associated storage facilities, or 
(inthe case of imported engines) port facilities from which 
themanufacturer prefers to have engines selected for testing in 
responseto a test order. In order that a manufacturer's preferred 
location beconsidered for inclusion in a test order for a particular 
enginefamily, the list must be submitted prior to issuance of the 
testorder. Notwithstanding the fact that a manufacturer has submitted 
thelist, the Administrator may order selection at other than a 
preferredlocation.
    (e) Upon receipt of a test order, a manufacturer shall proceed 
inaccordance with the provisions of this subpart.
    (f)(1) During a given model year, the Administrator shall notissue 
to a manufacturer more Selective Enforcement Auditing (SEA) testorders 
than an annual limit determined by the following:
    (i) for manufacturers with a projected annual production of lessthan 
100,000 engines bound for the United States market for that modelyear, 
the number is two;
    (ii) for manufacturers with a projected annual production of100,000 
or more engines bound for the United States market for thatmodel year, 
by dividing the manufacturer's total number of certifiedengine families 
by five and rounding to the nearest whole number,unless the number of 
engine families is less than eight, in which casethe number is two.
    (2) If a manufacturer submits to EPA in writing prior to or 
duringthe model year a reliable sales projection update or adds 
enginefamilies or deletes engine families from its production, 
thatinformation will be used for recalculating the manufacturer's 
annuallimit of SEA test orders.
    (3) Any SEA test order for which the family or configuration, 
asappropriate, fails under Sec. 90.510 or for which testing isnot 
completed will not be counted against the annual limit.
    (4) When the annual limit has been met, the Administrator mayissue 
additional test orders to test those families or configurationsfor which 
evidence

[[Page 255]]

exists indicating nonconformity, or for whichthe Administrator has 
reason to believe are not being appropriatelyrepresented or tested in 
Production Line Testing conducted undersubpart H of this part, if 
applicable. An SEA test order issuedpursuant to this provision will 
include a statement as to the reasonfor 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 underSec. 90.503 
that engines of a specified family be selectedin a manner consistent 
with the requirements of Sec. 90.507and submitted to the Administrator 
at the place designated for thepurpose of conducting emission tests. 
These tests will be conducted inaccordance with Sec. 90.508 to 
determine whether enginesmanufactured by the manufacturer conform with 
the regulations withrespect to which the certificate of conformity was 
issued.
    (b) Designating official data. (1) Whenever theAdministrator 
conducts a test on a test engine or the Administratorand manufacturer 
each conduct a test on the same test engine, theresults of the 
Administrator's test will comprise the official datafor 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 
ontesting conducted under paragraph (a) of this section that there is 
asubstantial lack of agreement between the manufacturer's test 
resultsand the Administrator's test results, no manufacturer's test data 
fromthe manufacturer's test facility will be accepted for purposes of 
thissubpart.
    (c) If testing conducted under paragraph (a) of this section 
isunacceptable under Sec. 90.503, the Administrator shall:
    (1) Notify the manufacturer in writing of the 
Administrator'sdetermination that the test facility is inappropriate for 
conductingthe tests required by this subpart and the reasons therefor; 
and
    (2) Reinstate any manufacturer's data upon a showing by 
themanufacturer that the data acquired under paragraph (a) of 
thissection was erroneous and the manufacturer's data was correct.
    (d) The manufacturer may request in writing that the 
Administratorreconsider his or her determination in paragraph (b)(2) of 
thissection based on data or information which indicates that changes 
havebeen made to the test facility and these changes have resolved 
thereasons for disqualification.



Sec. 90.505  Maintenance of records; submittal of information.

    (a) The manufacturer of any new nonroad engine subject to any ofthe 
provisions of this subpart shall establish, maintain, and retainthe 
following adequately organized and indexed records:
    (1) General records. A description of all equipment used totest 
engines, as specified in subpart D of this part, in accordancewith Sec. 
90.508 pursuant to a test order issued under thissubpart.
    (2) Individual records. These records pertain to each auditconducted 
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 
whenthe test began and ended;
    (iii) The names of all supervisory personnel involved in theconduct 
of the audit;
    (iv) A record and description of any repairs performed prior toand/
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 ofthe repair;
    (v) The date the engine was shipped from the assembly 
plant,associated storage facility or port facility and date the engine 
wasreceived at the testing facility;
    (vi) A complete record of all emission tests performed pursuant 
tothis subpart (except tests performed directly by EPA), including 
allindividual worksheets and/or other documentation relating to 
eachtest, or exact copies thereof, to be in accordance with the 
recordrequirements specified in

[[Page 256]]

Sec. Sec. 90.405, 90.406,90.418, and/or 90.425 as applicable.
    (vii) A brief description of any significant audit eventscommencing 
with the test engine selection process, but not describedunder paragraph 
(a)(2) of this section, including such extraordinaryevents 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 thatcan be used to perform emission testing under this subpart.
    (b) The manufacturer shall retain all records required to 
bemaintained under this subpart for a period of one year aftercompletion 
of all testing in response to a test order. Records may beretained as 
hard copy or reduced to microfilm, floppy disc, and soforth, depending 
upon the manufacturer's record retention procedure,provided that in 
every case all the information contained in the hardcopy 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 
withineach 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 therequest;
    (3) Number of engines, by configuration and by assembly 
plant,storage facility or port facility, scheduled to be stored 
atfacilities 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 arecomplete for 
introduction into commerce.
    (d) Nothing in this section limits the Administrator's discretionin 
requiring the manufacturer to retain additional records or 
submitinformation 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. 
EnvironmentalProtection Agency, 6405-J, 401 M St., SW., Washington, 
DC20460.



Sec. 90.506  Right of entry and access.

    (a) To allow the Administrator to determine whether a manufactureris 
complying with the provisions of this subpart, a test order isissued 
which authorizes EPA enforcement officers or their 
authorizedrepresentatives upon presentation of credentials to enter 
duringoperating 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 
ismanufactured, assembled, or stored;
    (2) Any facility where any tests conducted pursuant to a testorder 
or any procedures or activities connected with these tests areor were 
performed;
    (3) Any facility where any engine which is being tested, wastested, 
or will be tested is present; and
    (4) Any facility where any record or other document relating toany 
of the above is located.
    (b) Upon admission to any facility referred to in paragraph (a) 
ofthis section, EPA enforcement officers or EPA 
authorizedrepresentatives 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 whichthese 
procedures are conducted;
    (2) To inspect and monitor any aspect of engine test procedures 
oractivities, including, but not limited to, engine 
selection,preparation, service accumulation, emission test cycles, 
andmaintenance and verification of test equipment calibration;
    (3) To inspect and make copies of any records or documents relatedto 
the assembly, storage, selection and testing of an engine incompliance 
with a test order; and
    (4) To inspect and photograph any part or aspect of any engine 
andany component used in the assembly thereof that is reasonably 
relatedto the purpose of the entry.
    (c) EPA enforcement officers or EPA authorized representatives 
areauthorized to obtain reasonable assistance

[[Page 257]]

without cost fromthose in charge of a facility to help the officers 
perform anyfunction listed in this subpart, and they are authorized to 
requestthe recipient of a test order to make arrangements with those 
incharge of a facility operated for the manufacturer's benefit tofurnish 
reasonable assistance without cost to EPA, whether or not therecipient 
controls the facility.
    (1) Reasonable assistance includes, but is not limited to,clerical, 
copying, interpretation and translation services, the makingavailable on 
an EPA enforcement officer's or EPA authorizedrepresentative's request 
of personnel of the facility being inspectedduring their working hours 
to inform the EPA enforcement officer orEPA authorized representative of 
how the facility operates and toanswer the officer's questions, and the 
performance on request ofemission tests on any engine which is being, 
has been, or will be usedfor SEA testing.
    (2) A manufacturer may be compelled to cause the personalappearance 
of any employee at such a facility before an EPAenforcement officer or 
EPA authorized representative by writtenrequest for his or her 
appearance, signed by the AssistantAdministrator for Air and Radiation, 
served on the manufacturer. Anysuch employee who has been instructed by 
the manufacturer to appearwill be entitled to be accompanied, 
represented, and advised bycounsel.
    (d) EPA enforcement officers or EPA authorized representatives 
areauthorized to seek a warrant or court order authorizing the 
EPAenforcement officers or EPA authorized representatives to 
conductactivities 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 exparte to obtain a warrant whether or not the EPA enforcement 
officersor EPA authorized representatives first attempted to seek 
permissionof the recipient of the test order or the party in charge of 
thefacilities in question to conduct activities related to entry 
andaccess as authorized in this section.
    (e) A recipient of a test order shall permit an EPA 
enforcementofficer(s) or EPA authorized representative(s) who presents a 
warrantor court order to conduct activities related to entry and access 
asauthorized in this section and as described in the warrant or 
courtorder. The recipient shall also cause those in charge of its 
facilityor a facility operated for its benefit to permit entry and 
access asauthorized in this section pursuant to a warrant or court 
orderwhether or not the recipient controls the facility. In the absence 
ofa warrant or court order, an EPA enforcement officer(s) or 
EPAauthorized representative(s) may conduct activities related to 
entryand access as authorized in this section only upon the consent of 
therecipient of the test order or the party in charge of the 
facilitiesin question.
    (f) It is not a violation of this part or of the Clean Air Act 
forany person to refuse to permit an EPA enforcement officer(s) or an 
EPAauthorized representative(s) to conduct activities related to 
entryand access as authorized in this section if the officer 
orrepresentative appears without a warrant or court order.
    (g) A manufacturer is responsible for locating its foreign 
testingand manufacturing facilities in jurisdictions in which local 
foreignlaw does not prohibit an EPA enforcement officer(s) or an 
EPAauthorized representative(s) from conducting the entry and 
accessactivities specified in this section. EPA will not attempt to make 
anyinspections which it has been informed that local foreign 
lawprohibits.



Sec. 90.507  Sample selection.

    (a) Engines comprising a test sample will be selected at thelocation 
and in the manner specified in the test order. If amanufacturer 
determines that the test engines cannot be selected inthe manner 
specified in the test order, an alternative selectionprocedure may be 
employed, provided the manufacturer requests approvalof the alternative 
procedure prior to the start of test sampleselection, and the 
Administrator approves the procedure.
    (b) The manufacturer shall assemble the test engines of the 
familyselected for testing using its normal mass production process 
forengines to be distributed into commerce. If, between

[[Page 258]]

the time themanufacturer is notified of a test order and the time the 
manufacturerfinishes selecting test engines, the manufacturer implements 
anychange(s) in its production processes, including quality 
control,which may reasonably be expected to affect the emissions of 
theengines selected, then the manufacturer shall, during the 
audit,inform the Administrator of such changes. If the test engines 
areselected at a location where they do not have their operational 
andemission control systems installed, the test order will specify 
themanner and location for selection of components to complete 
assemblyof the engines. The manufacturer shall assemble these components 
ontothe test engines using normal assembly and quality control 
proceduresas documented by the manufacturer.
    (c) No quality control, testing, or assembly procedures will beused 
on the test engine or any portion thereof, including parts 
andsubassemblies, that have not been or will not be used during 
theproduction and assembly of all other engines of that family, 
unlessthe Administrator approves the modification in assembly 
procedurespursuant 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, selectthe 
test engines according to the method specified in the test order.
    (e) The order in which test engines are selected determines theorder 
in which test results are to be used in applying the samplingplan in 
accordance with Sec. 90.510.
    (f) The manufacturer shall keep on hand all untested engines, ifany, 
comprising the test sample until a pass or fail decision isreached in 
accordance with Sec. 90.510(e). The manufacturermay ship any tested 
engine which has not failed in accordance withSec. 90.510(b). However, 
once the manufacturer ships anytest engine, it relinquishes the 
prerogative to conduct retests asprovided 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 
enginetest procedures as described in subpart E of this part.
    (b)(1) The manufacturer shall not adjust, repair, prepare, ormodify 
the engines selected for testing and shall not perform anyemission tests 
on engines selected for testing pursuant to the testorder unless this 
adjustment, repair, preparation, modification,and/or tests are 
documented in the manufacturer's engine assembly andinspection 
procedures and are actually performed or unless theseadjustments and/or 
tests are required or permitted under this subpartor are approved in 
advance by the Administrator.
    (2) The Administrator may adjust or cause to be adjusted anyengine 
parameter which the Administrator has determined to be subjectto 
adjustment for certification and Selective Enforcement Audittesting in 
accordance with Sec. 90.112(c), to any settingwithin the physically 
adjustable range of that parameter, asdetermined by the Administrator in 
accordance withSec. 90.112(a), prior to the performance of any 
tests.However, if the idle speed parameter is one which the 
Administratorhas determined to be subject to adjustment, the 
Administrator shallnot adjust it to any setting which causes a lower 
engine idle speedthan would have been possible within the physically 
adjustable rangeof the idle speed parameter if the manufacturer had 
accumulated 12hours of service on the engine under paragraph (c) of this 
section,all other parameters being identically adjusted for the purpose 
of thecomparison. The manufacturer may be requested to supply 
informationneeded to establish an alternate minimum idle speed. 
TheAdministrator, in making or specifying these adjustments, may 
considerthe effect of the deviation from the manufacturer's 
recommendedsetting on emission performance characteristics as well as 
thelikelihood that similar settings will occur on in-use engines. 
Indetermining likelihood, the Administrator may consider factors suchas, 
but not limited to, the effect of the adjustment on engineperformance 
characteristics and surveillance information from similarin-use engines.
    (c) Service Accumulation. Prior to performing exhaustemission 
testing on an SEA test engine, the manufacturer

[[Page 259]]

mayaccumulate on each engine a number of hours of service equal to 
thegreater of 12 hours or the number of hours the 
manufactureraccumulated during certification on the emission data 
enginecorresponding to the family specified in the test order.
    (1) Service accumulation must be performed in a manner using 
goodengineering judgment to obtain emission results representative 
ofnormal production engines. This service accumulation must beconsistent 
with the new engine break-in instructions contained in theapplicable 
owner's manual.
    (2) The manufacturer shall accumulate service at a minimum rate of12 
hours per engine during each 24-hour period, unless otherwiseapproved by 
the Administrator.
    (i) The first 24 hour period for service shall begin as soon 
asauthorized checks, inspections, and preparations are completed on 
eachengine.
    (ii) The minimum service or mileage accumulation rate does notapply 
on weekends or holidays.
    (iii) If the manufacturer's service or target is less than 
theminimum rate specified (12 hours per day), then the minimum 
dailyaccumulation rate shall be equal to the manufacturer's service 
target.
    (3) Service accumulation shall be completed on a sufficient numberof 
test engines during consecutive 24-hour periods to assure that thenumber 
of engines tested per day fulfills the requirements ofparagraphs (g)(1) 
and (g)(2) of this section.
    (d) The manufacturer shall not perform any maintenance on 
testengines after selection for testing, nor shall the Administrator 
allowdeletion of any engine from the test sequence, unless requested by 
themanufacturer and approved by the Administrator before any 
enginemaintenance or deletion.
    (e) The manufacturer shall expeditiously ship test engines fromthe 
point of selection to the test facility. If the test facility isnot 
located at or in close proximity to the point of selection, 
themanufacturer shall assure that test engines arrive at the 
testfacility within 24 hours of selection, except that the 
Administratormay approve more time for shipment based upon a request by 
themanufacturer accompanied by a satisfactory justification.
    (f) If an engine cannot complete the service accumulation or 
anemission test because of a malfunction, the manufacturer may 
requestthat the Administrator authorize either the repair of that engine 
orits deletion from the test sequence.
    (g) Whenever a manufacturer conducts testing pursuant to a testorder 
issued under this subpart, the manufacturer shall notify 
theAdministrator within one working day of receipt of the test order 
asto which test facility will be used to comply with the test order. 
Ifno test cells are available at a desired facility, the 
manufacturermust provide alternate testing capability satisfactory to 
theAdministrator.
    (1) A manufacturer with projected nonroad engine sales for theUnited 
States market for the applicable year of 7,500 or greater shallcomplete 
emission testing at a minimum rate of two engines per 24-hourperiod, 
including each voided test.
    (2) A manufacturer with projected nonroad engine sales for theUnited 
States market for the applicable year of less than 7,500 shallcomplete 
emission testing at a minimum rate of one engine per 24-hourperiod, 
including each voided test.
    (3) The Administrator may approve a lower daily rate of 
emissiontesting based upon a request by a manufacturer accompanied by 
asatisfactory justification.
    (h) The manufacturer shall perform test engine selection,shipping, 
preparation, service accumulation, and testing in such amanner as to 
assure that the audit is performed in an expeditiousmanner.
    (i) Retesting. (1) The manufacturer may retest any enginestested 
during a Selective Enforcement Audit once a fail decision forthe audit 
has been reached in accordance withSec. 90.510(e).
    (2) The Administrator may approve retesting at other times basedupon 
a request by the manufacturer accompanied by a 
satisfactoryjustification.
    (3) The manufacturer may retest each engine a total of threetimes. 
The manufacturer shall test each engine or vehicle the samenumber of 
times. The

[[Page 260]]

manufacturer may accumulate additionalservice before conducting a 
retest, subject to the provisions ofparagraph (c) of this section.
    (j) A manufacturer may test engines with the test procedurespecified 
in subpart E of this part to demonstrate compliance with theexhaust 
emission standards; however, if alternate procedures were usedin 
certification pursuant to Sec. 90.120, then thosealternate procedures 
shall be used.



Sec. 90.509  Calculation and reporting of test results.

    (a) Initial test results are calculated following the applicabletest 
procedure specified in paragraph (a) of Sec. 90.508.The manufacturer 
shall round these results, in accordance with ASTME29-93a, to the number 
of decimal places contained in theapplicable emission standard expressed 
to one additional significantfigure. ASTM E29-93a has been incorporated 
by reference. SeeSec. 90.7.
    (b)(1) Final test results are calculated by summing the initialtest 
results derived in paragraph (a) of this section for each testengine, 
dividing by the number of tests conducted on the engine, androunding to 
the same number of decimal places contained in theapplicable standard. 
For Phase 2 engines only, this result shall beexpressed to one 
additional significant figure.
    (2) Final deteriorated test results (for Phase 2 test enginesonly) 
are calculated by applying the appropriate deteriorationfactors, from 
the certification process for the engine family, to thefinal test 
results, and rounding to the same number of decimal placescontained in 
the applicable standard.
    (c) Within five working days after completion of testing of 
allengines pursuant to a test order, the manufacturer shall submit to 
theAdministrator a report which includes the following information:
    (1) The location and description of the manufacturer's 
exhaustemission test facilities which were utilized to conduct 
testingreported pursuant to this section;
    (2) The applicable standards or compliance levels against whichthe 
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 
totesting;
    (ii) Location where service accumulation was conducted 
anddescription of accumulation procedure and schedule;
    (iii) Test number, date, test procedure used, initial test 
resultsbefore and after rounding and final test results for all 
exhaustemission tests, whether valid or invalid, and the reason 
forinvalidation, if applicable;
    (iv) A complete description of any modification, repair,preparation, 
maintenance, and/or testing which was performed on thetest engine and 
has not been reported pursuant to any other paragraphof this subpart and 
will not be performed on all other productionengines;
    (v) Where an engine was deleted from the test sequence 
byauthorization of the Administrator, the reason for the deletion;
    (vi) Any other information the Administrator may request relevantto 
the determination as to whether the new engines being manufacturedby the 
manufacturer do in fact conform with the regulations withrespect 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 
theClean Air Act. This Selective Enforcement Audit was conducted 
incomplete conformance with all applicable regulations under 40 CFR 
part90 et seq. and the conditions of the test order. No emission-related 
changes to production processes or quality control proceduresfor the 
engine family tested have been made between receipt of thetest order and 
conclusion of the audit. All data and informationreported herein is, to 
the best of (Company Name) knowledge, true andaccurate. I am aware of

[[Page 261]]

the penalties associated with violationsof the Clean Air Act and the 
regulations thereunder. (AuthorizedCompany 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 failingcriteria 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 
finaltest results pursuant to Sec. 90.509(b), for one or more ofthe 
applicable pollutants exceed the emission standard. For Phase 2engines, 
a failed engine is an engine whose final deteriorated testresults 
pursuant to Sec. 90.509(b), for one or more of theapplicable pollutants 
exceed the emission standard (FEL, ifapplicable).
    (c) The manufacturer shall test engines comprising the test 
sampleuntil a pass decision is reached for all pollutants or a fail 
decisionis reached for one pollutant. A pass decision is reached when 
thecumulative number of failed engines, as defined in paragraph (b) 
ofthis section, for each pollutant is less than or equal to the 
passdecision number, as defined in paragraph (d) of this 
section,appropriate to the cumulative number of engines tested. A 
faildecision is reached when the cumulative number of failed engines 
forone or more pollutants is greater than or equal to the fail 
decisionnumber, as defined in paragraph (d) of this section, appropriate 
tothe cumulative number of engines tested.
    (d) The pass and fail decision numbers associated with thecumulative 
number of engines tested are determined by using the tablesin Appendix A 
to this subpart, ``Sampling Plans for SelectiveEnforcement Auditing of 
Small Nonroad Engines,'' appropriate tothe projected sales as made by 
the manufacturer in its report to EPAunder Sec. 90.505(c)(1). In the 
tables in Appendix A to thissubpart, sampling plan ``stage'' refers to 
the cumulativenumber of engines tested. Once a pass or fail decision has 
been madefor a particular pollutant, the number of engines with final 
testresults exceeding the emission standard for that pollutant shall 
notbe considered any further for the purposes of the audit.
    (e) Passing or failing of an SEA occurs when the decision is madeon 
the last engine test required to make a decision under paragraph(c) of 
this section.
    (f) The Administrator may terminate testing earlier than requiredin 
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 
anyengine failing pursuant to Sec. 90.510(b) effective from thetime 
that testing of that engine is completed.
    (b) The Administrator may suspend the certificate of conformityfor a 
family which does not pass an SEA, pursuant to paragraphSec. 90.510(c), 
based on the first test or all testsconducted on each engine. This 
suspension will not occur before tendays after failure of the audit.
    (c) If the results of testing pursuant to these regulationsindicate 
that engines of a particular family produced at one plant ofa 
manufacturer do not conform to the regulations with respect to whichthe 
certificate of conformity was issued, the Administrator maysuspend the 
certificate of conformity with respect to that family forengines 
manufactured by the manufacturer at all other plants.
    (d) Notwithstanding the fact that engines described in 
theapplication may be covered by a certificate of conformity, 
theAdministrator may suspend such certificate in whole or in part if 
theAdministrator finds any one of the following infractions to 
besubstantial:
    (1) The manufacturer refuses to comply with the provisions of atest 
order issued by the Administrator under Sec. 90.503.
    (2) The manufacturer refuses to comply with any of therequirements 
of this subpart.
    (3) The manufacturer submits false or incomplete information inany 
report or information provided to the Administrator under thissubpart.

[[Page 262]]

    (4) The manufacturer renders inaccurate any test datasubmitted under 
this subpart.
    (5) An EPA enforcement officer or EPA authorized representative 
isdenied the opportunity to conduct activities related to entry 
andaccess as authorized in this subpart and a warrant or court order 
ispresented to the manufacturer or the party in charge of a facility 
inquestion.
    (6) An EPA enforcement officer or EPA authorized representative 
isunable to conduct activities related to entry and access as 
authorizedin Sec. 90.506 because a manufacturer has located a 
facilityin a foreign jurisdiction where local law prohibits those 
activities.
    (e) The Administrator shall notify the manufacturer in writing ofany 
suspension or revocation of a certificate of conformity in wholeor in 
part, except that the certificate is immediately suspended withrespect 
to any failed engines as provided for in paragraph (a) of thissection.
    (f) The Administrator may revoke a certificate of conformity for 
afamily when the certificate has been suspended pursuant to paragraph(b) 
or (c) of this section if the proposed remedy for thenonconformity, as 
reported by the manufacturer to the Administrator,is one requiring a 
design change or changes to the engine and/oremission control system as 
described in the application forcertification of the affected family.
    (g) Once a certificate has been suspended for a failed engine, 
asprovided for in paragraph (a) of this section, the manufacturer 
shalltake 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 standardsby 
retesting the engine in accordance with these regulations.
    (2) Submit a written report to the Administrator, after 
successfulcompletion of testing on the failed engine, which contains 
adescription of the remedy and test results for each engine in 
additionto other information that may be required by this regulation.
    (h) Once a certificate for a failed family has been 
suspendedpursuant to paragraph (b) or (c) of this section, the 
manufacturershall take the following actions before the Administrator 
willconsider reinstating the certificate:
    (1) Submit a written report to the Administrator which identifiesthe 
reason for the noncompliance of the engines, describes theproposed 
remedy, including a description of any proposed qualitycontrol and/or 
quality assurance measures to be taken by themanufacturer to prevent 
future occurrences of the problem, and statesthe date on which the 
remedies will be implemented.
    (2) Demonstrate that the engine family for which the certificateof 
conformity has been suspended does in fact comply with theseregulations 
by testing engines selected from normal production runs ofthat engine 
family, at the plant(s), port facility(ies) or associatedstorage 
facility(ies) specified by the Administrator, in accordancewith the 
conditions specified in the initial test order. If themanufacturer 
elects to continue testing individual engines aftersuspension of a 
certificate, the certificate is reinstated for anengine actually 
determined to be in conformance with the applicablestandards through 
testing in accordance with the applicable testprocedures, provided that 
the Administrator has not revoked thecertificate pursuant to paragraph 
(f) of this section.
    (i) Once the certificate has been revoked for a family and 
themanufacturer desires to continue introduction into commerce of 
amodified version of that family, the following actions shall be 
takenbefore the Administrator may consider issuing a certificate for 
thatmodified family:
    (1) If the Administrator determines that the proposed change(s) 
inengine design may have an effect on emission performancedeterioration, 
the Administrator shall notify the manufacturer, withinfive working days 
after receipt of the report in paragraph (f) of thissection, whether 
subsequent testing under this subpart will besufficient to evaluate the 
proposed change or changes or whetheradditional testing will be 
required; and

[[Page 263]]

    (2) After implementing the change or changes intended toremedy the 
nonconformity, the manufacturer shall demonstrate that themodified 
engine family does in fact conform with these regulations bytesting 
engines selected from normal production runs of that modifiedengine 
family in accordance with the conditions specified in theinitial test 
order. If the subsequent audit results in passing of theaudit, the 
Administrator shall reissue the certificate or issue a newcertificate, 
as the case may be, to include that family, provided thatthe 
manufacturer has satisfied the testing requirements of paragraph(i)(1) 
of this section. If the subsequent audit is failed, therevocation 
remains in effect. Any design change approvals under thissubpart are 
limited to the family affected by the test order.
    (j) At any time subsequent to an initial suspension of acertificate 
of conformity for a test engine pursuant to paragraph (a)of this 
section, but not later than 15 days or such other period asmay be 
allowed by the Administrator after notification of theAdministrator's 
decision to suspend or revoke a certificate ofconformity in whole or in 
part pursuant to paragraphs (b), (c), or (f)of this section, a 
manufacturer may request a hearing as to whetherthe tests have been 
properly conducted or any sampling methods havebeen 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 offeredan 
opportunity for a hearing conducted in accordance withSec. Sec. 90.512, 
90.513, and 90.514 and
    (2) Not apply to engines no longer in the possession of 
themanufacturer.
    (l) After the Administrator suspends or revokes a certificate 
ofconformity pursuant to this section and prior to the commencement of 
ahearing under Sec. 90.512, if the manufacturer demonstratesto 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 engineswhen 
conducting an audit of a family subsequent to a failure of an SEAand 
while reauditing the failed family it may request that theAdministrator 
conditionally reinstate the certificate for that family.The 
Administrator may reinstate the certificate subject to thecondition that 
the manufacturer commits to recall all engines of thatfamily produced 
from the time the certificate is conditionallyreinstated if the family 
fails the subsequent audit at the level ofthe standard and to remedy any 
nonconformity at no expense to theowner.



Sec. 90.512  Request for public hearing.

    (a) If the manufacturer disagrees with the Administrator'sdecision 
to suspend, revoke or void a certificate or disputes thebasis for an 
automatic suspension pursuant toSec. 90.511(a), the manufacturer may 
request a publichearing.
    (b) The manufacturer's request shall be filed with theAdministrator 
not later than 15 days after the Administrator'snotification of his or 
her decision to suspend, revoke or void, unlessotherwise specified by 
the Administrator. The manufacturer shallsimultaneously serve two copies 
of this request upon the Director ofthe Engine Programs and Compliance 
Division and file two copies withthe Hearing Clerk of the Agency. 
Failure of the manufacturer torequest a hearing within the time provided 
constitutes a waiver of theright to a hearing. Subsequent to the 
expiration of the period forrequesting a hearing as of right, the 
Administrator may, in his or herdiscretion and for good cause shown, 
grant the manufacturer a hearingto contest the suspension, revocation or 
voiding.
    (c) A manufacturer shall include in the request for a publichearing:
    (1) A statement as to which engine configuration(s) within afamily 
is to be the subject of the hearing;
    (2) A concise statement of the issues to be raised by 
themanufacturer at the hearing, except that in the case of the 
hearingrequested under Sec. 90.511(j), the hearing is restricted tothe 
following issues:

[[Page 264]]

    (i) Whether tests have been properly conducted (specifically,whether 
the tests were conducted in accordance with applicableregulations under 
this part and whether test equipment was properlycalibrated and 
functioning);
    (ii) Whether sampling plans have been properly applied(specifically, 
whether sampling procedures specified in Appendix A ofthis subpart were 
followed and whether there exists a basis fordistinguishing engines 
produced at plants other than the one fromwhich engines were selected 
for testing which would invalidate theAdministrator's decision under 
Sec. 90.511(c));
    (3) A statement specifying reasons why the manufacturer believesit 
will prevail on the merits of each of the issues raised; and
    (4) A summary of the evidence which supports the 
manufacturer'sposition on each of the issues raised.
    (d) A copy of all requests for public hearings will be kept onfile 
in the Office of the Hearing Clerk and will be made available tothe 
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 
Judgeappointed pursuant to 5 U.S.C. 3105 (see also 5 CFR part 930 
asamended).
    (b) The Judicial Officer shall be an officer or employee of 
theAgency appointed as a Judicial Officer by the Administrator, 
pursuantto this section, who shall meet the qualifications and 
performfunctions as follows:
    (1) Qualifications. A Judicial Officer may be a permanent 
ortemporary employee of the Agency who performs other duties for 
theAgency. The Judicial Officer shall not be employed by the Office 
ofEnforcement or have any connection with the preparation orpresentation 
of evidence for a hearing held pursuant to this subpart.The Judicial 
Officer shall be a graduate of an accredited law schooland a member in 
good standing of a recognized Bar Association of anystate or the 
District of Columbia.
    (2) Functions. The Administrator may consult with theJudicial 
Officer or delegate all or part of the Administrator'sauthority to act 
in a given case under this section to a JudicialOfficer, provided that 
this delegation does not preclude the JudicialOfficer from referring any 
motion or case to the Administrator whenthe Judicial Officer determines 
such referral to be appropriate.
    (c) For the purposes of this section, one or more JudicialOfficers 
may be designated. As work requires, a Judicial Officer maybe designated 
to act for the purposes of a particular case.
    (d) Summary decision. (1) In the case of a hearing requestedunder 
Sec. 90.511(j), when it clearly appears from the dataand other 
information contained in the request for a hearing that nogenuine and 
substantial question of fact exists with respect to theissues specified 
in Sec. 90.512(c)(2), the Administratorshall enter an order denying the 
request for a hearing and reaffirmingthe original decision to suspend or 
revoke a certificate ofconformity, if this decision has been made 
pursuant toSec. 90.511(e) at any time prior to the decision to deny 
therequest for a hearing.
    (2) In the case of a hearing requested under Sec. 90.512to 
challenge a proposed suspension of a certificate of conformity forthe 
reasons specified in Sec. 90.511(d), when it clearlyappears from the 
data and other information contained in the requestfor the hearing that 
no genuine and substantial question of factexists with respect to the 
issue of whether the refusal to comply withthe provisions of a test 
order or any other requirement ofSec. 90.503 was caused by conditions 
and circumstancesoutside the control of the manufacturer, the 
Administrator shall enteran order denying the request for a hearing and 
suspending thecertificate of conformity.
    (3) Any order issued under paragraph (d)(1) or (d)(2) of thissection 
has the force and effect of a final decision of theAdministrator, as 
issued pursuant to Sec. 90.515.
    (4) If the Administrator determines that a genuine and 
substantialquestion of fact does exist with respect to any of the issues 
referredto in paragraphs (d)(1) and (d)(2) of this section, the 
Administratorshall grant the request for a hearing and publish a notice

[[Page 265]]

ofpublic hearing in the Federal Register or by such other means asthe 
Administrator finds appropriate to provide notice to the public.
    (e) Filing and service. (1) An original and two copies ofall 
documents or papers required or permitted to be filed pursuant tothis 
section and Sec. 90.512(c) must be filed with theHearing Clerk of the 
Agency. Filing is considered timely if mailed, asdetermined by the 
postmark, to the Hearing Clerk within the timeallowed by this section 
and Sec. 90.512(b). If filing is tobe accomplished by mailing, the 
documents must be sent to the addressset 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 
inwritten form. Copies of written testimony will be served upon 
allparties as soon as practicable prior to the start of the hearing. 
Acertificate of service will be provided on or accompany each documentor 
paper filed with the Hearing Clerk. Documents to be served upon 
theDirector of the Manufacturers Operations Division must be sent 
byregistered 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 uponmailing.
    (f) Computation of time. (1) In computing any period of 
timeprescribed or allowed by this section, except as otherwise 
provided,the day of the act or event from which the designated period of 
timebegins to run is not included. Saturdays, Sundays, and federal 
legalholidays are included in computing the period allowed for the 
filingof any document or paper, except that when the period expires on 
aSaturday, Sunday, or federal legal holiday, the period is extended 
toinclude the next following business day.
    (2) A prescribed period of time within which a party is requiredor 
permitted to do an act is computed from the time of service, exceptthat 
when service is accomplished by mail, three days will be added tothe 
prescribed period.
    (g) Consolidation. The Administrator or the PresidingOfficer in his 
or her discretion may consolidate two or moreproceedings to be held 
under this section for the purpose of resolvingone or more issues 
whenever it appears that consolidation willexpedite or simplify 
consideration of these issues. Consolidation doesnot affect the right of 
any party to raise issues that could have beenraised if consolidation 
had not occurred.
    (h) Hearing date. To the extent possible, hearings underSec. 90.512 
will be scheduled to commence within 14 days ofreceipt 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 toSec. 90.514.



Sec. 90.516  Treatment of confidential information.

    The provisions for treatment of confidential information describedin 
Sec. 90.4 apply to this subpart.



  Sec. Appendix A to Subpart F of Part90--Sampling Plans for Selective 

              Enforcement Auditing of SmallNonroad Engines

                   Table 1--Sampling Plan Code Letter
------------------------------------------------------------------------
                                                                  Code
                  Annualengine 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]
------------------------------------------------------------------------
                                               Fail          Pass   Fail
               Stage                 PassNo.   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 266]]

 
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]
------------------------------------------------------------------------
                                                                   Fail
                         Stage                          PassNo.    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]
------------------------------------------------------------------------
                                                                   Fail
                         Stage                          PassNo.    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]
------------------------------------------------------------------------
                                                                   Fail
                         Stage                          PassNo.    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 267]]

 
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 applicableto 
engines and vehicles which are offered for importation or importedinto 
the United States and for which the Administrator has 
promulgatedregulations under subpart B of this part prescribing 
emissionstandards, but which are not covered by certificates of 
conformityissued under section 213 and section 206(a) of the Clean Air 
Act (thatis, which are nonconforming engines as defined below) and 
undersubpart B of this part at the time of importation or 
conditionalimportation, as applicable. Compliance with regulations under 
thissubpart shall not relieve any person or entity from compliance 
withother applicable provisions of the Clean Air Act.
    (b) Regulations prescribing further procedures for the importationof 
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 
Serviceregulations.



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 theAdministrator 
under section 213 and section 206(a) of the Act.
    Nonconforming engine. An engine which is not covered by acertificate 
of conformity prior to final or conditional admission (orfor which such 
coverage has not been adequately demonstrated to EPA).
    Original engine manufacturer (OEM). The entity whichoriginally 
manufactured the engine.
    Original production (OP) year. The calendar year in whichthe engine 
was originally produced by the OEM.
    Original production (OP) years old. The age of an engine 
asdetermined by subtracting the original production year of the 
enginefrom the calendar year of importation.
    Production changes. Those changes in the engineconfiguration, 
equipment or calibration which are made by an OEM inthe course of engine 
production and required to be reported underSec. 90.123.
    United States. United States includes the Customs territoryof the 
United States as defined in 19 U.S.C. 1202, and the VirginIslands, Guam, 
American Samoa and the Commonwealth of the NorthernMariana Islands.

[[Page 268]]



Sec. 90.603  [Reserved]



Sec. 90.604  General requirements.

    (a) A nonconforming engine offered for importation into the 
UnitedStates may only be imported for purposes other than resale 
underSec. 90.611, or under the provisions ofSec. 90.612, provided that 
an exemption or exclusion isgranted by the Administrator.
    (b) Final admission shall not be granted unless:
    (1) The engine is imported for purposes other than resale underSec. 
90.611; or
    (2) The engine is exempted or excluded underSec. 90.612.
    (c) An engine offered for importation may be admitted into theUnited 
States. In order to obtain admission, the importer must submitto the 
Administrator a written request for approval containing thefollowing:
    (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 theseregulations 
the engine is to be imported;
    (5) Identification of the place where the subject engine is to 
bestored until EPA approval of the importer's application to 
theAdministrator for final admission;
    (6) Authorization for EPA enforcement officers to conductinspections 
or testing otherwise permitted by the Act or regulationsthereunder; and
    (7) Such other information as is deemed necessary by 
theAdministrator.



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 
fewernonconforming engines for purposes other than resale. Such 
importationby individuals is permitted without modification to the 
engines andwithout prior written approval of EPA. Importations under 
thisprovision shall be made by completing such applications as required 
bythe Administrator. Such applications shall contain:
    (1) Identification of the importer of the engine and theimporter's 
address, telephone number, and taxpayer identificationnumber;
    (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 bythe 
individual;
    (4) A statement that the individual has not previously importedany 
engines under Sec. 90.611;
    (5) A statement that the individual is not importing the enginesfor 
the purpose of resale;
    (6) For each engine imported, identification of the engineincluding 
make, model, identification number, and original productionyear;
    (7) Information indicating under what provision of theseregulations 
the engine is to be imported;
    (8) Authorization for EPA enforcement officers to conductinspections 
permitted by the Act or regulations thereunder;
    (9) Such other information as is deemed necessary by 
theAdministrator.
    (b) EPA will not require a U.S. Customs Service bond for 
anonconforming engine which is imported under Sec. 90.611.



Sec. 90.612  Exemptions and exclusions.

    (a) Individuals shall be eligible for importing engines into 
theUnited States under the provisions of this section, unless 
otherwisespecified.
    (b) Notwithstanding other requirements of this subpart, an 
engineentitled to one of the temporary exemptions of this paragraph may 
beconditionally admitted into the United States if prior writtenapproval 
for the conditional admission is obtained from theAdministrator. 
Conditional admission is to be under U.S. CustomsService bond. The 
Administrator may request that the U.S. CustomsService require a 
specific bond amount to ensure compliance with therequirements of the 
Act and this subpart. A written request forapproval from the 
Administrator is to contain the identification

[[Page 269]]

required in Sec. 90.604(c) and information thatdemonstrates that the 
importer is entitled to the exemption.Noncompliance with provisions of 
this section may result in theforfeiture of the total amount of the bond 
or exportation of theengine. The following temporary exemptions are 
permitted by thisparagraph:
    (1) Exemption for repairs or alterations. A person mayconditionally 
import under bond a nonconforming engine solely forpurpose of repairs or 
alterations. The engine may not be operated inthe United States other 
than for the sole purpose of repair oralteration or shipment to the 
point of repair or alteration and to theport of export. It may not be 
sold or leased in the United States andis to be exported upon completion 
of the repairs or alterations.
    (2) Testing exemption. A test engine may be conditionallyimported by 
a person subject to the requirements ofSec. 90.905. A test engine may 
be operated in the UnitedStates provided that the operation is an 
integral part of the test.This exemption is limited to a period not 
exceeding one year from thedate of importation unless a request is made 
by the appropriateimporter concerning the engine in accordance withSec. 
90.905(f) for a subsequent one-year period.
    (3) Display exemptions. (i) An engine intended solely fordisplay may 
be conditionally imported subject to the requirements ofSec. 90.907.
    (ii) A display engine may be imported by any person for 
purposesrelated to a business or the public interest. Such purposes do 
notinclude collections normally inaccessible or unavailable to the 
publicon a daily basis, display of an engine at a dealership, private 
use,or other purpose that the Administrator determines is not 
appropriatefor display exemptions. A display engine may not be sold in 
the UnitedStates and may not be operated in the United States except for 
theoperation 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 
isshorter. Two extensions of up to 12 months (one year) each 
areavailable upon approval by the Administrator. In no 
circumstances,however, may the total period of exemption exceed 36 
months (threeyears).
    (c) Notwithstanding any other requirement of this subpart, anengine 
may be finally admitted into the United States under thisparagraph if 
prior written approval for such final admission isobtained from the 
Administrator. Conditional admission of theseengines under this subpart 
is not permitted for the purpose ofobtaining such written approval from 
the Administrator. A request forapproval is to contain the 
identification information required inSec. 90.604(c) and information 
that demonstrates that theimporter is entitled to the exemption or 
exclusion. The followingexemptions or exclusions are permitted by this 
paragraph:
    (1) National security exemption. An engine may be importedunder the 
national security exemption found at Sec. 90.908.
    (2) Hardship exemption. The Administrator may exempt on acase-by-
case basis an engine from federal emission requirements toaccommodate 
unforeseen cases of extreme hardship or extraordinarycircumstances.
    (3) Exemption for engines identical to United States 
certifiedversions. (i) A person (including businesses) is eligible 
forimporting an engine into the United States under the provisions 
ofthis 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 anengine 
certified by the original equipment manufacturer (OEM) for salein the 
United States or is proven to have been modified to beidentical, in all 
material respects, to an engine certified by the OEMfor sale in the 
United States according to complete writteninstructions provided by the 
OEM's United States representative, orhis/her designee.
    (ii) Proof of Conformity. (A) Documentation submittedpursuant to 
this section for the purpose of proving conformity ofindividual engines 
is to contain sufficiently organized data orevidence demonstrating that 
the engine

[[Page 270]]

identified pursuant toSec. 90.604(c) is identical, in all material 
respects, to anengine identified in an OEM's application for 
certification.
    (B) If the documentation does not contain all the 
informationrequired by this part, or is not sufficiently organized, EPA 
willnotify the importer of any areas of inadequacy, and that 
thedocumentation will not receive further consideration until 
therequired information or organization is provided.
    (C) If EPA determines that the documentation does not clearly 
orsufficiently demonstrate that an engine is eligible for 
importation,EPA will notify the importer in writing.
    (D) If EPA determines that the documentation clearly andsufficiently 
demonstrates that an engine is eligible for importation,EPA will grant 
approval for importation and notify the importer inwriting.
    (d) Foreign diplomatic and military personnel may import 
anonconforming engine without bond. At the time of admission, 
theimporter shall submit to the Administrator the written report 
requiredin Sec. 90.604(a) and a statement from the U.S. Departmentof 
State confirming qualification for this exemption. Foreign 
militarypersonnel may, in lieu of a statement from the U.S. Department 
ofState, submit to the Administrator a copy of their orders for duty 
inthe United States. The engine may not be sold in the United States 
andmust be exported if the individual's diplomatic status is no 
longerapplicable, as determined by the Department of State, or the 
foreignmilitary orders for duty in the United States are no 
longerapplicable, unless subsequently brought into conformity with 
U.S.emission requirements.
    (e) Competition exclusion. A nonconforming engine may 
beconditionally admitted by any person provided the importerdemonstrates 
to the Administrator that the engine is used to propel anonroad vehicle 
used solely for competition and obtains prior writtenapproval from the 
Administrator. A nonconforming engine importedpursuant to this paragraph 
may not be operated in the United Statesexcept for that operation 
incident and necessary for the competitionpurpose, unless subsequently 
brought into conformity with UnitedStates emission requirements in 
accordance withSec. 90.612(c)(3).
    (f) Exclusions/exemptions based on date of originalmanufacture. (1) 
Notwithstanding any other requirements of thissubpart, engines 
originally manufactured prior to model year 1997 areexcluded from the 
requirements of the Act in accordance with section213 of the Act and may 
be imported by any person.
    (2) Notwithstanding other requirements of this subpart, an enginenot 
subject to an exclusion under Sec. 90.612(f)(1) butgreater than 20 
original production (OP) years old is entitled to anexemption from the 
requirements of the Act, provided that it has notbeen modified in those 
20 OP years. At the time of admission, theimporter shall submit to the 
Administrator the written report requiredin Sec. 90.604(c).
    (g) Applications for exemptions and exclusions provided for 
inparagraphs (b), (c), and (e) of this section are to be mailed to: 
U.S.Environmental Protection Agency, Office of Mobile Sources, 
EngineCompliance Programs Group (6403-J), Washington, DC 
20460,Attention: Imports.

[60 FR 34598, July 3, 1995, as amended at 64 FR 15245, Mar.30, 1999; 70 
FR 40450, July 13, 2005]



Sec. 90.613  Prohibited acts; penalties.

    (a) The importation of an engine which is not covered by 
acertificate of conformity other than in accordance with this subpartand 
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 
ofconditional 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 toSec. 90.612(b), 
(d), or (e) and not granted final admissionwithin the period of time 
specified for such conditional admission inthe written prior approval 
obtained from EPA, or within suchadditional time as designated by the 
Administrator, is deemed to beunlawfully imported into the United

[[Page 271]]

States in violation ofsection 213(d) and section 203 of the Act, unless 
the engine has beendelivered to the U.S. Customs Service for export or 
other dispositionunder applicable Customs laws and regulations. An 
engine not sodelivered is subject to seizure by the U.S. Customs 
Service.
    (d) An importer who violates section 213(d) and section 203 of 
theAct is subject to a civil penalty under section 205 of the Act of 
notmore than $32,500 for each engine subject to the violation. 
Inaddition to the penalty provided in the Act, where applicable, 
underthe exemption provisions of Sec. 90.612(b), a person orentity who 
fails to deliver the engine to the U.S. Customs Service isliable for 
liquidated damages in the amount of the bond required byapplicable 
Customs laws and regulations. The maximum penalty valuelisted in this 
paragraph (d) is shown for calendar year 2004. Maximumpenalty limits for 
later years may be adjusted based on the ConsumerPrice Index. The 
specific regulatory provisions for changing themaximum penalties, 
published in 40 CFR part 19, reference theapplicable U.S. Code citation 
on which the prohibited action is based.

[60 FR 34598, July 3, 1995, as amended at 70 FR 40450, July13, 2005]



Sec. 90.614  Treatment of confidential information.

    The provisions for treatment of confidential information describedin 
Sec. 90.4 apply to this subpart.



Sec. 90.615  Importation of partially complete engines.

    The provisions of 40 CFR 1068.330 apply for importation ofpartially 
complete engines, or engines that will be modified forapplications other 
than those covered by this part 90.

[70 FR 40450, July 13, 2005]



         Subpart H_Manufacturer Production Line Testing Program

    Source: 64 FR 15245, Mar. 30, 1999, unless otherwisenoted.



Sec. 90.701  Applicability.

    (a) The requirements of this subpart are applicable to all Phase 
2nonroad handheld and nonhandheld engines families subject to 
theprovisions of subpart A of this part unless otherwise exempted in 
thissubpart.
    (b) The procedures described in this subpart are optional forsmall 
volume engine manufacturer